HSSE Documents (1)

Main file

SUD-HSE-PR-003-01.pdf

Annexes Native file

-/- -/-

Title Relative Weight Planned Submission Date

HSE Audit 0,007 03/05/2021

Approval Status

A Approved

Comments file Comments

-/-
- SUDAIR-HSE-PR-003-01 HSE
Audit_CSR.xlsx
- SUD-HSSE-
MDL_20210617.xlsx

Transmittal

Details

HSSE MDL (1)

Code (txt) Title

SUD-HSE-PR-003 HSE Audit

Relative Weight Weight Planned Submission Date

0,007 -/- 03/05/2021

References

Sender Subject Received Document type

Afzaal, Mohammed SUD-HSE-PR-003 UR Under Review Thu 17/06/2021 09:43 HSSE Documents, HSSE MDL
L&T Construction
Power Transmission & Distribution (Middle East)

HSSE Audit
SUDAIR-HSE-PR-003-01
1.6 GWac / 1.8 GWp Sudair
PV IPP Project, KSA
 L&T Construction
Power Transmission & Distribution (Middle East)

Revision history
Revision Date Description of changes Status

00 10.06.2021 First issue Superseded

01 17.06.2021 Aligned audit frequency (par. with the requirements of IFA

document no. SUD-HSE-PL-001-xx-Health, Safety, and
Security Management Plan, in accordance with ACWA
comments per Comment Resolution Sheet No.
SUDAIR-HSE-PR-003-00 HSE Audit

Status Codes
IFR: Issued for Review
IFA: Issued for Approval
IFI: Issued for Implementation

Document reviews and approvals

Prepared by: Reviewed by: Approved by:

Rajeev Ramakrishnan Anthony Papadopoulos Bharathi Kumar

Head HSSE – PT&D – KSA Head QHSSE – PT&D – Middle East Project Director

Date: Date: Date:

17.06.2021 17.06.2021 17.06.2021

Legal Notice
Any exploitation and/or other utilization, including but not limited to reproduction (including photocopying or storing in any
medium by electronic means and whether or not transiently or incidentally to some other use of this publication), and/or
distribution, of this document and its contents are strictly prohibited unless expressly authorized in writing by Larsen & Toubro
Limited – PT&D, Middle East. Offenders are liable for damages. All rights, including but not limited to all proprietary rights in
relation to patents, utility models and/or other industrial property rights, are reserved.

2: 12
1.6 GWac / 1.8 GWp Sudair PV IPP Project, KSA

SUDAIR-HSE-PR-003-01-HSSE Audit
Rev.: 01/Date: 17 Jun. 2021
 L&T Construction
Power Transmission & Distribution (Middle East)

Contents
1. Purpose ................................................................................................................................... 4
2. Scope ...................................................................................................................................... 4
3. References .............................................................................................................................. 4
4. Acronyms and definitions ........................................................................................................ 5
4.1 Acronyms ...................................................................................................................... 5
4.2 Definitions..................................................................................................................... 5
5. Roles and responsibilities......................................................................................................... 6
5.1 Project HSSE Manager ................................................................................................... 6
5.2 Lead Auditor.................................................................................................................. 7
5.3 Auditor .......................................................................................................................... 7
5.4 Auditee(s)...................................................................................................................... 8
6. Procedure ................................................................................................................................ 8
6.1 Planning ........................................................................................................................ 8
6.2 Auditor qualifications .................................................................................................... 9
6.3 Preparation ................................................................................................................... 9
6.4 Performance of the Audit ............................................................................................ 10
6.5 Reporting .................................................................................................................... 11
6.6 Implementation of corrective actions and audit closeout ............................................ 11
7. Records ................................................................................................................................. 12
8. Associated Documentation .................................................................................................... 12
8.1 Forms .......................................................................................................................... 12
8.2 Plans ........................................................................................................................... 12

3: 12
1.6 GWac / 1.8 GWp Sudair PV IPP Project, KSA

SUDAIR-HSE-PR-003-01-HSSE Audit
Rev.: 01/Date: 17 Jun. 2021
 L&T Construction
Power Transmission & Distribution (Middle East)

1. Purpose
The purpose of this procedure is to establish and maintain a method for assessing and verifying
the performance of the HSSE management systems implemented by L&T and and its
subcontractors, by means of a uniform and controlled process of planning, scheduling,
coordinating, and conducting first- and second-party audits.

2. Scope
The scope of this procedure applies to the 1.6 GWac / 1.8 GWp Sudair PV IPP Project, in the
Kingdom of Saudi Arabia.

It covers first- and second-party audits on the HSSE management systems implemented by L&T
and all of its subcontractors.

3. References
This procedure is aligned with the third-party documents detailed below, which should be
consulted for further guidance.

 ACWA Power. (n.d.). Appendix J – Environmental Requirements & Mitigation Plan. Clause 6
 ACWA Power. (2018). Appendix Z – Contractor Management HSSE Standard. Standard 9.
 ISO 9001:2015, Quality management systems – Requirements; Clause 9.2, Internal Audit.
 ISO 45001:2018. Occupational health and safety management systems – Requirements with
guidance for use; Clause 9.2, Internal Audit.
 ISO 45002-0:2018. Occupational health and safety management systems – Part 0: Guidelines
for the application of ISO 45001. Clause 9.2, Internal Audit.
 ISO 14001:2015, Environmental management systems – Requirements with guidance for
use; Clause 9.2, Internal Audit.
 ISO 19011:2018, Guidelines for auditing management systems.

4: 12
1.6 GWac / 1.8 GWp Sudair PV IPP Project, KSA

SUDAIR-HSE-PR-003-01-HSSE Audit
Rev.: 01/Date: 17 Jun. 2021
 L&T Construction
Power Transmission & Distribution (Middle East)

4. Acronyms and definitions

4.1 Acronyms
The acronyms used in this procedure shall have the meanings ascribed to them hereunder:

Acronym Meaning
CQI Chartered Quality Institute
HSSE Health, Safety, Security, and Environment(al)
IRCA International Register of Certificated Auditors
ISO International Organization for Standardization
L&T Larsen & Toubro Limited
NCR Nonconformance Report
PT&D Power Transmission & Distribution

4.2 Definitions
The terms used in this procedure shall have the meanings ascribed to them hereunder:

Actionable Item: Documented event, task or activity that needs to be carried out,
with a view to addressing a nonconformity, resolving a problem
or implementing an improvement.

Audit: Systematic, independent, and documented process for obtaining

audit evidence and evaluating it objectively to determine the
extent to which the audit criteria are fulfilled.

Audit Conclusion: Outcome of an audit, after consideration of the audit objectives

and all audit findings.

Audit Criteria: Set of policies, procedures or requirements used as a reference

against which audit evidence is compared.

Audit Evidence: Records, statements of fact or other information which are

relevant to the audit criteria and verifiable.

Audit Findings: Results of the evaluation of the collected audit evidence against
audit criteria.

Audit Program: Arrangements for a set of one or more audits planned for a
specific time frame and directed towards a specific purpose.

5: 12
1.6 GWac / 1.8 GWp Sudair PV IPP Project, KSA

SUDAIR-HSE-PR-003-01-HSSE Audit
Rev.: 01/Date: 17 Jun. 2021
 L&T Construction
Power Transmission & Distribution (Middle East)

Audit Plan: Description of the activities and arrangements for an audit.

Audit Scope: Extent and boundaries of an audit.

Audit Team: One or more auditors conducting an audit, supported if needed

by technical experts.

Auditee: Owner of process being audited.

Auditor: Person who conducts and audit.

Competence: Ability to apply knowledge and skills to achieve intended results.

Conformity: Fulfilment of a requirement.

First-Party Audit: An audit conducted by L&T staff on the company’s own systems.
Also referred to as internal audit.

Internal Audit: Refer to definition under first-party audit.

Lead Auditor: Senior auditor, who heads the audit team and has the overall
responsibility for the audit.

Nonconformity: Non-fulfilment of a requirement.

Second-Party Audit: An audit conducted by L&T staff on the HSSE management

system(s) of one of L&T’s subcontractors.

Technical Expert: Person who provides specific knowledge or expertise to the audit
team.

5. Roles and responsibilities

5.1 Project HSSE Manager
The HSSE Manager shall:

 prepare the audit program for the project, ensuring that all processes, functions, and sites
are covered;

6: 12
1.6 GWac / 1.8 GWp Sudair PV IPP Project, KSA

SUDAIR-HSE-PR-003-01-HSSE Audit
Rev.: 01/Date: 17 Jun. 2021
 L&T Construction
Power Transmission & Distribution (Middle East)

 ensure that there are adequate resources, including trained auditors, for the effective
implementation of the audit program;
 monitor implementation of the audit program;
 designate the Lead Auditor and members of the audit team;
 notify the Lead Auditor, members of the audit team, and the auditees of the impending date
of the audit;
 update top management on the performance of the HSSE systems and highlight the need for
any changes;
 maintain audit records.

5.2 Lead Auditor

The Lead Auditor shall:

 liaise with auditee(s) regarding audit arrangements and timings;

 prepare the audit plan and notify it to auditee(s);
 manage the audit team;
 prepare the audit checklist(s);
 evaluate processes for compliance with HSSE requirements;
 identify processes where L&T or its subcontractors are meeting requirements, as well as
opportunities for improvement;
 prepare NCR and monitor them to closure;
 prepare audit reports and present them to auditee(s), the project management team and the
Project Company;
 assist with follow-up audits, as required.

5.3 Auditor
The Auditor shall:

 assist in the preparation of audit checklist(s);

 evaluate processes for compliance with HSSE requirements;
 Identify processes where L&T or its subcontractors are meeting requirements, as well as
opportunities for improvement;
 inform the Lead Auditor of any nonconformities identified during the audit;
 provide input to the Lead Auditor for the preparation of audit reports;
 assist with follow-up audits, as required.

7: 12
1.6 GWac / 1.8 GWp Sudair PV IPP Project, KSA

SUDAIR-HSE-PR-003-01-HSSE Audit
Rev.: 01/Date: 17 Jun. 2021
 L&T Construction
Power Transmission & Distribution (Middle East)

5.4 Auditee(s)
The Auditee(s) shall:

 provide all resources needed for the audit team to ensure an effective, efficient audit
process;
 appoint selected employees to meet with audit team;
 provide access to the facilities and evidential materials as requested by the auditors;
 cooperate with auditors to permit the audit objectives to be achieved;
 determine and initiate planned actions to address nonconformities, based on the audit
report

6. Procedure
6.1 Planning
6.1.1 On commencement of mobilization, the Project HSSE Manager shall prepare an audit
program for the project, taking account of the status and importance of each process,
function and/or site to be audited.

6.1.2 In planning the audits, the Project HSSE Manager shall ensure that the first of such audits
shall be done as soon as each mobilization milestone is achieved, to allow for further follow-
up of findings. To that end, the project shall be audited as soon as L&T is fully mobilized and
ready to start the awarded works.

6.1.3 Thereafter, following audits shall be conducted no less than every three (3) months during
Rev. 01 the construction period until the plant is handed over to the Project Company.

6.1.4 The Project HSSE Manager may, at his discretion, conduct audits more frequently to address
health, safety, security, and/or environmental concerns. Factors that may influence the
frequency of audits, include, but are not limited to, the following :

 results of previous first-party audits;

 results of previous audits by the Project Company;
 results of third-party audits;
 number of NCR raised, etc.

6.1.5 The Project HSSE Manager may plan audits using an Excel spreadsheet or any other
application better suited to the particular needs of the project.

8: 12
1.6 GWac / 1.8 GWp Sudair PV IPP Project, KSA

SUDAIR-HSE-PR-003-01-HSSE Audit
Rev.: 01/Date: 17 Jun. 2021
 L&T Construction
Power Transmission & Distribution (Middle East)

6.1.6 The Project HSSE Manager shall also prepare dedicated second-party HSSE audit programs,
ensuring that every subcontractor is audited, at a minimum, on a quarterly basis or, if their
scope is less than three (3) months, once during their engagement on site. Second-party
audits shall be carried out in the same manner as internal audits, in accordance with the
requirements set out under paras. 6.2 to 6.6.

6.2 Auditor qualifications

6.2.1 Audits shall be carried out by personnel that have the required training and experience and
are independent of the activity/site being audited.

6.2.2 Preferably, personnel conducting audits shall have attended a two-day CQI/IRCA approved
internal auditor course on the standards against which they will be auditing. Personnel who
have attended in-house internal auditor training may also be eligible to conduct audits, on
condition that they will have performed at least five (5) internal audits under the direct
supervision of an experienced Lead Auditor.

6.2.3 If required, audit services may also be outsourced to qualified third-party agencies approved
by the Project Company.

6.3 Preparation
6.3.1 One week prior to the scheduled date of the audit, the Project HSSE Manager shall send
an e-mail to the Lead Auditor and, if applicable, the audit team members, informing them
of the system areas/processes to be audited, as well as of the audit scope and applicable
standard(s) and/or project-specific plans and procedures .

6.3.2 On receipt of said e-mail, the Lead Auditor shall liaise with the auditee(s) and develop the
audit plan, specifying audit arrangements, timings, and staff availability requirements. To
that end, the Lead Auditor shall use SUDAIR-HSE-FO-060-xx-Audit Notification Form.

6.3.3 The Lead Auditor shall then forward the audit notification to the auditee(s) by email,
copying the Project Director/Assistant Project Director.

6.3.4 The auditee(s) shall acknowledge receipt and confirm acceptability of the audit plan’s
arrangements by return mail or, if the proposed audit date is inopportune, shall propose
an alternative date, within no more than ten (10) days of the original audit date. In such a
case, the Lead Auditor shall modify and resend the associated notification form.

6.3.5 Once the audit date and details have been fixed, the Lead Auditor shall inform the Project
HSSE Manager, who shall, in turn, email the Project Company, inviting them to attend the
audit, if they so wish.

9: 12
1.6 GWac / 1.8 GWp Sudair PV IPP Project, KSA

SUDAIR-HSE-PR-003-01-HSSE Audit
Rev.: 01/Date: 17 Jun. 2021
 L&T Construction
Power Transmission & Distribution (Middle East)

6.3.6 In preparation of the audit, members of the audit team may review the standardized audit
checklist, form SUDAIR-HSE-CL-001-xx-HSSE Audit Checklist, and, if required, modify it to
better suit the audit scope and objectives, or they may prepare customized checklist(s).

6.3.7 One (1) day prior to the audit, the Lead Auditor shall communicate with the auditee(s) to
confirm that necessary arrangements are in place and that required staff will be available
for the audit.

6.4 Performance of the Audit

6.4.1 Upon arrival at the audit location, the Lead Auditor shall convene a brief opening meeting
between the audit team and the relevant personnel for the area(s) to be audited, with a
view to:

 briefly discussing the scope and objectives of the audit;

 reviewing the audit agenda and arrangements in place;
 confirming tentative audit timings.

6.4.2 Opening meeting attendees shall sign an attendance sheet, which shall be part of the
audit documentation.

6.4.3 On conclusion of the opening meeting, the auditor(s) shall proceed with the audit, by
collecting evidence through interviews, examination of documents and records, and
observation of activities and conditions in area(s) of concern. During the audit, the
auditor(s) shall reference appropriate standard(s), approved plans, and procedures, as
well as third party regulatory documents, operative legislation, etc.

6.4.4 Information gathered through interviews shall be verified by acquiring the same
information from different independent sources (e.g. other auditees), physical
observation, measurements, and records.

6.4.5 To facilitate the auditing process auditor(s) may, at their discretion, use the standardized
or bespoke checklist(s) to record the objective evidence examined and any actionable
items identified.

6.4.6 After completion of the audit, and prior to the closing meeting, the audit team shall meet
to discuss and evaluate the objective evidence reviewed during the audit and analyze
potential actionable items to ensure the validity of audit findings. Any identified
nonconformities shall be recorded on SUDAIR-HSE-FO-011-xx-NCR Form.

10: 12
1.6 GWac / 1.8 GWp Sudair PV IPP Project, KSA

SUDAIR-HSE-PR-003-01-HSSE Audit
Rev.: 01/Date: 17 Jun. 2021
 L&T Construction
Power Transmission & Distribution (Middle East)

6.4.7 The Lead Auditor shall then convene the closing meeting, with a view to:

 presenting the audit team’s conclusions regarding the effectiveness of the HSSE
management system(s);
 discussing audit observations with auditees;
 agreeing on suitable preventive and corrective actions and a timeline for their
implementation, considering the perceived significance of each observation.

6.4.8 Similarly with the opening meeting, attendees shall sign the attendance sheet, , which
shall be part of the audit documentation.

6.5 Reporting
6.5.1 Within seven (7) days of the completion of the audit, the Lead Auditor shall prepare the
audit report, consisting of the following documents:

 Audit report, form SUDAIR-HSE-RP-006-xx-HSSE Audit Report

 Audit questionnaire, form SUDAIR-HSE-CL-001-xx-HSSE Audit Checklist;
 Nonconformance Report(s), form SUDAIR-HSE-FO-011-xx-NCR Form;
 Opening and closing meeting attendance sheets.

6.5.2 The Lead Auditor shall then forward said filled out forms to the auditee(s) and audit team
members, copying the Project Director/Assistant Project Director, Project HSSE Manager
and Project Company.

6.6 Implementation of corrective actions and audit closeout

6.6.1 The Lead Auditor shall monitor any NCR raised during the audit, until the agreed upon
preventive and corrective actions have been implemented.

6.6.2 Once the agreed upon preventive and/or corrective actions have been implemented, the
Lead Auditor shall review them to ensure that they are effective. If the Lead Auditor is
satisfied, he shall sign-off and close out the NCR, else he shall agree on a new set of
preventive and corrective actions with the auditee(s).

6.6.3 The process described under paras. 6.6.1 and 6.6.2 shall be repeated as many times as
required until the Lead Auditor is satisfied of the effectiveness of implemented actions.

6.6.4 The audit shall be deemed to have been closed out on closure of all identified NCR, if
applicable.

11: 12
1.6 GWac / 1.8 GWp Sudair PV IPP Project, KSA

SUDAIR-HSE-PR-003-01-HSSE Audit
Rev.: 01/Date: 17 Jun. 2021
 L&T Construction
Power Transmission & Distribution (Middle East)

7. Records
7.1 Following records will be maintained onsite and made available as requested:

 audit programs;
 audit notifications;
 audit checklists;
 audit reports;
 audit opening and closing meeting attendance sheets;
 nonconformity reports.

7.2 All records shall be retained by the Project HSSE Manager. A project life cycle file
retention period shall be maintained.

7.3 The Project HSSE Manager shall assist and provide records, when and as requested by the
Project Company and/or the authorities.

8. Associated Documentation
8.1 Forms
 SUDAIR-HSE-CL-001-xx-HSSE Audit Checklist
 SUDAIR-HSE-FO-011-xx-NCR
 SUDAIR-HSE-FO-060-xx-Audit Notification Form
 HSE-RP-006-xx-HSSE Audit Report

8.2 Plans
 SUDAIR-HSE-PL-001-xx-Health, Safety, Security, and Environmental Management Plan,
par. 11.1
 SUDAIR-HSE-PL-002-xx-Security Management Plan, par. 6.15
 SUDAIR-HSE-PL-006-xx-Construction Environmental and Social Management Plan, par. 18.3
 SUDAIR-HSE-PL-008-xx-COVID-19 Management Plan and Procedures, par. 19
 SUDAIR-HSE-PL-010-xx-Emergency Response Plan, par. 16

12: 12
1.6 GWac / 1.8 GWp Sudair PV IPP Project, KSA

SUDAIR-HSE-PR-003-01-HSSE Audit
Rev.: 01/Date: 17 Jun. 2021