HSE ASSURANCE PROCEDURE

Prepared by Reviewed by Approved by

Name

Designation Asst. Manager Manager AGM – HSE (MRU)

Date

Signature
Amendment Sheet
Revision
Date Description of Changes
No

• 4th point under 5.4 is deleted as it is not applicable now

20.04.2020 • Added Matrix in 5.7 Section
• HSE Assurance Plan format changed entirely
03 • Table 2.2 added in HSE assessment check sheet
HSE Assurance Check Sheet for Engineering Services
30.03.2020 (LTHE/HSE/PR01/F04) has been removed from this procedure. The
same is now part of Design HSE Procedure (LTHE/HSE/PR43).

• Document No. and Format No. updated

02
23.12.2019 • Document reviewed to check adequacy

• Regularised document number

• Changed terminology “ udit” as “ ssurance” all over the
procedure
01 30.09.2016 • Revised assurance scoring criteria
• Changed “HSE ssurance ssessment Sheet” format name as
“HSE ssurance Check Sheet”
• Revised “HSE ssurance Check Sheet”
• Revised ”HSE ssurance Plan”
00 16.06.2016 Issued for Implementation
Contents
1.0 Purpose...................................................................................................................................... 1
2.0 Scope......................................................................................................................................... 1
3.0 Abbreviations & Definitions..................................................................................................... 1
3.1 Abbreviations........................................................................................................................ 1
3.2 Definitions............................................................................................................................. 1
4.0 Roles & Responsibilities........................................................................................................... 2
5.0 Procedure.................................................................................................................................. 3
5.1 Assurance Types.................................................................................................................... 3
5.2 Pre-Assurance Activities........................................................................................................ 3
5.3 Opening Meeting................................................................................................................... 4
5.4 Conduct the HSE assurance................................................................................................... 4
5.5 Closing Meeting.....................................................................................................................4
5.6 HSE Assurance Report........................................................................................................... 4
5.7 Corrective Actions................................................................................................................. 6
5.8 Review of Corrective Actions................................................................................................. 6
5.9 Records.................................................................................................................................. 7
1.0 Purpose
The purpose of the procedure is to evaluate

• The implementation of LTHE HSE Management System.

• The effectiveness of HSE Management System in achieving the organizations HSE policy, HSE
objectives and ability to meet applicable statutory and regulatory requirements.
• The continual improvement of LTHE HSE Management System.

2.0 Scope
This procedure is applicable to all LTHE Units.

3.0 Abbreviations & Definitions

3.1 Abbreviations
LTHE L&T Hydrocarbon Engineering
HSE Health, Safety & Environment
HAT HSE Action Tracking

3.2 Definitions

HSE Assurance
A systematic examination against defined criteria to determine whether the process or activities
conform whether the arrangements are implemented effectively and are suitable to achieve
organizations policy, objectives and LTHE management systems.

Auditee
An Auditee is a Unit or Project Site that is being audited.
Unit Head/Project Manager/Unit Head is responsible person for the assurance.

HSE Assurance Criteria

HSE Assurance Criteria shall cover following requirements

• LTHE HSE Management System

• Statutory and Regulatory Requirement
• Customer Requirement

HSE Assurance Findings

HSE Assurance findings may be non-fulfilment of the requirements or an opportunity for
improvement. The requirement could be any HSE assurance criteria.

Corporate HSE Assurance

Corporate HSE assurance shall be conducted for all Units’ at least once in every year to evaluate the
implementation of LTHE Management System and Effectiveness of HSE Assurance Criteria
Internal HSE Assurance
An Internal HSE assurance shall be conducted quarterly for any one of the Unit’s project sites or
zones, to evaluate the implementation of LTHE Management system.

4.0 Roles & Responsibilities

Group HSE Head
Group HSE head shall

• Publish the Corporate HSE assurance plan.

• Ensure corporate HSE assurance is conducted annually for all Units.
• Select the audit team comprising trained auditors for corporate assurance.
• Appoint lead auditor for the assurance.
• Analyse and evaluate assurance findings and corrective actions.
• Check the corrective actions have been closed out and their effectiveness monitored.
• Maintain the records of assurance programs.
• Ensure adequate trained auditors are available for total LTHE group.
• Organize lead or internal audit training programs to train the auditors.

UNIT HSE Head

Unit HSE Head shall

• Publish the Internal HSE assurance plan.

• To select the assurance team for internal assurance.
• Appoint lead auditor for the assurance.
• Analyse and evaluate HSE assurance findings and corrective actions.
• Check the corrective actions have been closed out and their effectiveness monitored.
• Maintain the records of HSE assurance programs.

Lead Auditor
Lead auditor shall

• Communicate the HSE assurance plan to Auditee.

• Communicate to Auditee for any changes in the HSE assurance plan.
• Conduct opening meeting, daily review meeting and closing meeting.
• Manage task, team and Auditee.
• Review and approve corrective actions.
• Distribute the HSE assurance result.
• Ensuring the HSE assurance report is delivered to the location being audited within the
agreed time frames.

Auditor or Assurance team

Auditor or Assurance team shall be
 • Familiar with HSE assurance procedure, type of HSE assurance, scope of the HSE Assurance
and have broad knowledge on HSE matters.
• Knowledge and experience on the activity being audited.
• Communicate & present the HSE assurance findings and recommendations.
• Search for objective evidence.

Auditee
Auditee shall responsible to

• Provide all resources needed for the team in order to ensure an effective & efficient
assurance process.
• Provide access to the facilities and objective evidence as requested by the auditors.
• Cooperate with auditors to achieve the HSE assurance plan.
• Determine and initiate corrective actions based on the HSE assurance report.
• Facilitate the assurance team.
• Participate in assurance activities as required.

Project/Site HSE Manager

HSE manager shall

• Maintain HSE action tracking register or fill the HSE action tracking (HAT), online portal.

5.0 Procedure

5.1 Assurance Types

Sr.
Assurance Type Assurance Team Frequency Responsibility
No.
1. Internal HSE Minimum of two trained Once in every BV /Unit HSE Head
Assurance auditors (Lead or quarter
Internal) from same
UNIT’s
2. Corporate HSE Two Senior HSE Once in a year Group HSE Head
Assurance Personnel from
Independent Unit HSE
team
A member from Group
HSE team

5.2 Pre-Assurance Activities

Group HSE Head (for Corporate HSE Assurance) or Unit HSE Head (for Internal HSE Assurance) shall,

• Prepare and publish HSE assurance plan ( LTHE/HSE/PR01/F01).

 • Identifying assurance team & lead auditor for the audit.
• Notify Unit’s& project sites about HSE assurance at least15 days in advance.

5.3 Opening Meeting

Lead auditor shall conduct opening meeting to,

• Reinforce scope of the HSE assurance.

• Confirm the HSE assurance purpose and the criteria.
• How the HSE assurance will be conducted.
• Confirm the schedule of the HSE assurance.

5.4 Conduct the HSE assurance

HSE assurance shall be conducted by the assurance team as follows,

The lead auditor with his team will conduct, which will involve the following steps:

• Conduct interview/discussion with area staff.

• Obtain objective evidence for examination to assess conformance.
• Observe for the implementation of HSE Management System.
• Review the documents.
• Follow assurance trails to confirm evidence.
• Record the information and evidence.

5.5 Closing Meeting

• On completion of audit, a close out meeting has to be conducted by the auditor to present
HSE assurance findings to the Auditee.
• HSE assurance findings and recommendations should be discussed and diverging opinions
shall be resolved.
• Unresolved disputes shall be arbitrated by Group HSE Head for corporate assurance and Unit
HSE Head for Internal assurance.

5.6 HSE Assurance Report

HSE Assurance Sheet

• Use HSE assurance check sheet to record the information and evidence for the findings
against each element of the assurance check sheet ( LTHE/HSE/PR01/F02).
• Document the findings and recommendations.
• Provide score against each element based on the level of conformance.
 Assurance Scoring Criteria
Sr. Score
Level of Compliance
No. (% in Max. Score)
1 0 % to 24.99% None
2 25 % to 49.99% Week

3 50 % to 74.99% Adequate
4 75 % to 90.99 % Good

5 91% to 100 % Excellent

Lead Auditor shall distribute the completed draft HSE assurance report within a week to the Auditee
for comments and discussion for requested changes.
Comments shall be sent to Auditor within a week from the receipt of draft report. Group HSE
Head/Auditor shall publish and circulate the Final HSE assurance report within two days to

• Auditee
• Auditor team
• Group HSE Head
• Unit HSE Head
• Others appropriate

HSE Assurance Performance Classification

Sr.
Marks obtained Result
No.
1 Less than 50 % Below Average
2 50 - 64.99 % Average
3 65 - 79.99 % Good
4 80 - 94.99 % Very Good
5 95 - 100 % Excellent

HSE assurance performance shall be analysed by Group HSE Head (for Corporate HSE
assurance)/Unit HSE head (for Internal HSE assurance) and appropriate actions with time frame shall
be communicated to Unit Head/Project Manager/Zone Head for further actions.

HSE Assurance Findings

The non-fulfilment of a requirement shall be recorded in the HSE Assurance findings report
(LTHE/HSE/PR01/F03) and issued to the Auditee. The requirement could be any HSE assurance
criteria. Auditors shall classify the findings as “High or Medium or Low” based on the severity of the
findings.

Classification Criteria
Violation of Legal requirement / Client specifications which may cause
High - H serious/immediate risk to employee or environment or property/
Conditions or activity which has potential to cause reportable injury
Medium - M Noncompliance of contract HSE plan and HSE Management System.

The findings may be unlikely to have any impact but required

Low - L
for
improvement.
5.7 Corrective Actions
On receipt of the HSE assurance report, the auditee shall review the HSE assurance findings with
concern peoples and propose corrective actions to the assurance team for review, feedback and
approval.
Online HAT or HSE tracking register shall be maintained and monitored for closure of the action.

Corrective actions & recommendations shall be prioritised, have an agreed time for them to be
completed based on the severity of the findings.

Corrective actions may require subsequent HSE assurance or specific follow up to make sure agreed
actions have been implemented.

Auditee Project HSE Manager BV/ Unit HSE Head Group HSE Head

Corrective Action To take To assist auditee for To assist auditee To monitor

corrective corrective actions and &Project HSE corrective action
actions and monitor closure of Manager and and support
close the findings monitor for timely BV/units for
findings closure of findings timely closure of
the findings
Accountable

Responsible

5.8 Review of Corrective Actions

Group HSE Head &BV/Unit HSE Head shall monitor the corrective action and present the HSE
assurance findings, status of corrective actions, trends in HSE assurance findings, recommendations
and other relevant information in HSE Committee and Management Review Meeting.
5.9 Records

Sr.
Formats Document Number
No.
1 HSE Assurance Plan LTHE/HSE/PR01/F01
Summery Sheet
2 HSE Assurance Check Sheet LTHE/HSE/PR01/F02
HSE Assurance Assessment
Sheet
3 HSE Assurance Findings Report LTHE/HSE/PR01/F03
HSE Action Tracing (HAT) or
4
Tracking Register