INSPECTIONS-ASSESSMENTS AND AUDITS

This comprehensive safe work method document uploaded for its PRO users is regarding the practice including Planned Inspections/Assessments, Weekly Inspections/Assessments, Annual Site Self-Assessments, Management Site Tours, Regional HSE Support, Planned Corporate Audits, Audit Criteria, Regulatory HSE Inspections Performed by Outside Agencies. To download the complete file, click on the link given at the end of this article.

PURPOSE

This Methodology defines and describes the inspection, assessment, and audit requirements for your projects and the offices.

SCOPE

1. This practice includes the following major sections:
2. Planned Inspections/Assessments
3. Weekly Inspections/Assessments
4. Annual Site Self-Assessments
5. Management Site Tours
6. Regional HSE Support
7. Planned Corporate Audits
8. Audit Criteria
9. Regulatory HSE Inspections Performed by Outside Agencies

APPLICATION

This practice applies to work activities and employees under the control of [YOUR COMPANY NAME] and its contractors.

DEFINITIONS

Annual Site Self-Assessment – The site self-assessment is a comprehensive review of all applicable HSE Management System requirements.  The site performs this self-assessment annually.

HSE Audit – HSE audits are formal methods used by Business Unit and Corporate HSE Representatives to evaluate compliance with HSE practices on a project.

Inspections/Assessments – Inspections and assessments are formal methods conducted by project employees to evaluate compliance with field HSE practices on a project.  The project develops the method most appropriate for the site and performs the inspections/assessments weekly.

Maximum Impact List/Projects – The Maximum Impact List is a method for prioritizing the corporate audit schedule.

Planned Inspections/Assessments 

1. Each site will develop a weekly inspection/assessment schedule, Site HSE Inspection Schedule, or similar).  The schedule designates individuals performing the inspection/assessment and the area/process to be assessed.
2. The project team, including the foreman, general foreman, superintendent, Construction Manager, Project/Site Manager, and appropriate field support staff, are expected to participate in weekly inspections/assessments.
3. The HSE Representative will maintain the inspection/assessment schedule and track participation.
4. The HSE Representative, along with the Project/Site Manager, tracks the status of corrective actions and develops a tracking log such as Form HSE Deficiency Tracking Log, or similar.
5. Where practical, a minimum of 2 people should participate in the inspection.  Craft employees should be included in the inspection walk-through.
6. Inspectors will use a standard format for the inspection/assessment 
7. Inspectors will sign the completed form and forward it to the Project/Site Manager within 24 hours of completing an inspection.
8. Sections of the inspection form, which are not relevant to a particular inspection/assessment or site/area, should be marked as “Not applicable” by the inspector(s).
9. The project keeps a copy of inspection/assessment schedules and completed reports in the formal project filing system.
10. The Project/Site Manager will promptly investigate all areas where low inspection scores have been noted, take the necessary corrective action, and address all safety-related infractions and recommendations.
11. Results of inspections/assessments are made available to employees via the scheduled Toolbox Meetings together with results of remedial actions taken.

Annual Site Self-Assessments

1. Each project will perform a comprehensive self-assessment on an annual basis. This assessment verifies compliance with the HSE Management System as well as applicable site-specific HSE requirements.
2. The site uses a team approach to perform the annual self-assessment.  The team consists of, as a minimum, the HSE Representative, supervisor, and craft employee.
3. The site uses the checklist in Form, HSE Site Self-Assessment, to perform the annual self-assessment.
4. The results of the annual self-assessment are communicated to the management team.
5. The assessment is used as an integral part of the continuous improvement process.

Management Site Tours

Management site tours are not intended to be another audit; these tours provide an opportunity for managers to walk the field, introduce themselves to the worker, and be a visible example of Fluor’s commitment to worker health and safety on and off the job.

When employees see and meet a manager walking the field and asking them personally for their opinions on how we can make their employment on a [YOUR COMPANY NAME] project a safer place to work, it will ultimately leave a lasting impression on them that [YOUR COMPANY NAME] truly cares about the safety and well-being of their employees.  It will also encourage the managers to reinforce their behavior and demonstrate their commitment and support for HSE-related efforts on the Jobsite.

Managers are encouraged to:

1. Engage in dialogue about the project’s challenges and constraints and assist the project in being successful.
2. Give the workers a chance to discuss their unique schedule, cost, and design issues that may be affected, both positive and negative.
3. Discuss possible actions to maintain the positive status or continuously improve on these issues.

Managers are encouraged to visit active projects and to carry out a project tour when possible, during normal site visits, documented on Form, Manager HSE Site Tour, (document findings, areas of concern, and thoughts for improvement).  Tour frequencies may need to be on a case-by-case basis for projects that have a high-risk potential or poor performance.

Managers should distribute their completed forms to appropriate leaders.  The project should provide periodic progress reports to the manager who conducted the tour.

Regional HSE Support

The Regional HSE Lead will conduct inspections/assessments/audits as requested by the Business Unit HSE Lead.

PLANNED CORPORATE AUDITS

Corporate HSE will conduct audits, with invited participation from Site HSE Representatives and Project/Site Management.

Frequency

The Business Unit HSE Lead, with agreement from the HSE Leadership Council, will compile an annual Maximum Impact List. The corporate audit goal is to audit 100 percent of maximum-impact projects annually.  The total number of corporate audits also considers the size of each Business Unit.  The schedule will have an equitable distribution.

Maximum impact criteria include the following:

1. Projects not meeting corporate goals
2. Projects with significant work hours
3. Projects in high-risk industries
4. High-profile projects
5. Client-/project-requested audits

Notification

The auditor will contact the Project/Site Manager to confirm the audit date, coordinate the entrance meeting, and arrange site access for the audit team.  If document reviews are part of the audit, and if those documents can be provided before the audit, this notification will also request copies and/or electronic access to those documents.

Entrance Meeting

The entrance meeting is the first formal activity of the audit and will be conducted on day one.  The purpose of the meeting is to introduce the auditors and to confirm the purpose, scope, and schedule for the audit.

Audit Activity

Typical audit activities include a review of documentation, the team’s observation of activities in the field, and interviews with project employees.  The HSE audit protocol is explained in Form, Corporate HSE Audit Protocol.  Results of HSE audits will be documented on the Form, Corporate HSE Audit Scorecard.  HSE audit scoring references are described in the Form.

Audit Report Preparation

After audit activities, the audit team(s) will compile notes to review with Project/Site Management in the closeout meeting.  The team will prepare the official report after leaving the site, using Form, Sample HSE Audit Assessment Closeout Letter, as the distribution and cover document.

Closeout Meeting

The closeout meeting is the last formal activity of the audit and is typically held on day two.  Attendees include relevant project employees, the audit team, and those interviewed, as appropriate. The purpose of the meeting is to allow the audit team to present a synopsis of the audit findings.

Audit Criteria

All audits conducted on a project intend to determine the project’s adherence to the relevant company, site-specific, statutory, and legislative requirements/industry codes of practice and where applicable, the relevant manufacturer’s instructions and operating requirements.  However, the method/manner of conducting an audit can vary according to focus areas, project needs, and other issues.

Adherence to requirements outlined in relevant site-specific documentation (such as contracts and work statements) and industry codes of practice will be required as will compliance with the project and contractor HSE Management System.

Deviations from requirements will result in a deduction of points as determined by the audit team.  Deductions will be discussed with the Project/Site Manager and relevant area supervisors.  While the audit team may offer recommendations during the audit, corrective actions will be determined by the project, with concurrence from the audit lead.

HSE Engineering Discipline Audit Sample

The HSE Discipline (Engineering) Audit template, Form, is designed to be used at appropriate points of the engineering phases of a project. Typically, these HSE engineering audits are performed at 30 percent and 60 percent of the engineering phase scope. The exact frequency of a project’s audits should be determined by the Project HSE Representative in consultation with the Project/Site Manager, and the Quality Manager who serves as the lead auditor for HSE engineering audits.  Instructions for preparing and conducting the audit are included at the beginning of the audit template.  The audit should reflect the actual scope of project engineering as reflected in the contract unless other disciplines are auditing that scope in their discipline audits.

Corporate HSE Audit Protocol and Scorecard

The Corporate HSE Audit Protocol and Corporate HSE Audit Scorecard will be used to address HSE items in an office environment at a field site.  A Corporate HSE Representative will use the Corporate HSE Audit Scorecard when performing corporate audits. 

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INSPECTIONS-ASSESSMENTS AND AUDITS