MODEC Self Assessment Audits

Information

Audit Title
Client / Site
Conducted on
Prepared by
Location
Personnel

Standard 1 Leadership and Commitment

Standard 1- Leadership and Commitment

Executive management, managers, staff, and subcontractors understand their HSSEQ account abilities and are responsible for leading and engaging in meeting HSSEQ policy, standards, objectives and goals.
1.1 Managers are accountable for the HSSEQ performance of the business, the implementation and communication of the HSSEQ Policy, and meeting HSSEQ performance objectives.
Guidance: Site personnel view HSSEQ as a line management responsibility rather than just an HSSEQ function.

Verification:
Is there a site specific annual HSSEQ plan available? If so is that plan endorsed by local management, posted and communicated to affected employees?
Is the plan kept up to date?
Do managers report objectives and targets status at least quarterly?
Is the most current copy of the HSSEQ Policy posted?
Is the policy discussed in the induction process?
1.2 Managers provide adequate and sufficient resources for the effective implementation and operation of health safety security and environmental management systems and the provision of specialist advice.
Guidance: Management personnel view HSSEQ as a vital function and ensure that the necessary resources needed to ensure success are funded and provided.

Verification:
Is there access to a local or regional HSSEQ Manager / Advisor?
Is there a budget for HSSEQ?
1.3 Managers demonstrate visible leadership and proactive commitment to achieving HSSEQ excellence and continual improvement through personal example, by promoting initiatives, and by frequent site inspections and reviews.
Guidance: Management demonstrates their commitment to the HSSEQ process through a variety of methods, including but not limited to: reporting, communications, and presence and visual activities.

Verification:
Is there a published schedule KPI of number of management visits for the worksite?
Does local management nurture an organisational culture focused on performance improvement?
Does the OIM conduct walkabouts and inspections? Are these documented, communicated, and recorded on the monthly HSSEQ statistics report?
Are minutes of HSSEQ management review meetings available?
Are meetings started with a HSSEQ moment?
1.4 Managers include specific and measurable HSSEQ activities and results in performance plans and appraisal systems for all staff.
Verification:
Are specified, measurable HSSEQ activities in each employee appraisal?
Are managers held accountable for maintaining and improving the management system?
1.5 Managers ensure that staff and subcontractors understand that they have the right and responsibility to stop work or refuse to work until conditions are made safe, as well as to bring these conditions to the attention of management.
Verification:
Is the right to stop work communicated during the induction process, toolbox meetings and job descriptions?
1.6 Managers ensure compliance with the rules, regulations, permits and customer requirements relating to HSSEQ is maintained across all MODECs activities.
Verification:
Is there a regulatory register available for the country of operation or facility specific?
Are new laws, regulations and permits discussed HSSEQ management review meetings?
1.7 Managers shall ensure that customer requirements are determined and are met with the aim of enhancing customer satisfaction.
Verification:
Processes for customer satisfaction must be in place.
Locally, daily reports and communication processes should be verified.
Interviewees
Documents

CORPORATE REVIEW

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

Standard 2 Policy and Strategic objectives

Standard 2 - Policy and Strategic Objectives

2.1 Executive management endorses the HSSEQ policy and seeks assurance of compliance by systematic and regular review of health, safety, security, environmental and quality performance.
Guidance: ensure each procedure/document is reviewed annually for application and value and revised as necessary.
Verification: Are regular HSSEQ meetings and senior leadership walk throughs conducted? Are HSSEQ audits conducted? Is there a site specific workplace hazard management system?
2.2 Managers are accountable for the implementation and communication of HSSEQ policy requirements and meeting HSSEQ performance standards required.
Guidance: MODEC management is responsible for leading and engaging in meeting the HSSEQ policy.

Verification:
Is the HSSPQ policy displayed in a prominent location?
Is there a documented stated commitment to the HSSEQ policy from local management?
Site personnel can locate the HSSEQ intranet page, 14 HSSEQ standards, and have viewed the awareness video.
2.3 Executive management establishes and documents measurable HSSEQ objectives, targets, and performance indicators.
Verification:
Are there set a specific HSSEQ targets to be achieved in a certain time period?
If HSSEQ targets present, are they in accordance with the 2014 corporate HSSEQ goals and targets?
Are they prioritised and communicated throughout the site and interested parties?
2.4 HSSEQ plans (and programs) include designated responsibilities, resources and timeframes to achieve goals and targets.
Verification:
Are there site-specific HSSEQ plans available?
If so do the plans contain specific tasks that must be completed to ensure that objectives and targets are met?
A designation of responsibility for achieving objectives and targets at relevant functions and levels in the organisation?
How performance against objectives and targets will be measured?
The timeframes by which the program is to be achieved.
2.5 Risks and legal requirements are considered when establishing HSSEQ objectives, targets, and performance indicators.
Verification:
Is there a country specific environmental compliance register?
Is the MODEC risk matrix used to determine the significance of environmental impacts?
2.6 HSSEQ performance measurements are used to refine plans, objectives, targets and performance indicators to improve.
Guidance: Working to keep HSSEQ as a defined role for all employees, MODEC management will include specific measurable HSSEQ activities and results in HSSEQ performance plans and appraisal systems for all staff.
2.7 HSSEQ initiatives and positive outcomes are recognised and rewarded.
Guidance: Look for documentation of HSSEQ campaigns, and communications for outstanding achievement or recommendations for improvement based on monthly reports and statistics
2.8 Managers report progress against HSSEQ objectives, targets and performance indicators to executive management, at least quarterly.
Verification:
Are HSSEQ statistics being documented on a monthly basis?
Interviewees
Documents

CORPORATE REVIEW - Standard 2

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

Standard 3 Organisational Roles and Responsibilities

Standard 3 - Organisational Roles and Responsibilities

Expectation: An organisation is defined, responsibilities clearly identified, with resources commensurate with implementing the requirements of the HSSEQ policy. Personnel are competent to conduct their assigned activities, training provided and recorded to maintain their skills and competencies, with their competencies regularly assessed.
3.1 HSSEQ responsibilities, accountabilities and authorities of staff and subcontractors are identified, defined, documented, maintained, understood and applied.
Verification:
Are job descriptions available for all positions?
If job descriptions available, are they approved and readily available to employees?
Do they include appropriate competencies needed for job function?
3.2 Recruitment for staff includes an assessment of HSSEQ awareness, competencies and performance.
Guidance: Recruitment process allows for and ensures that personnel performing HSSEQ critical activities or tasks have the appropriate training and competency level commensurate with activities involved.

Verification:
Is there a system in place to evaluate the HSSEQ competence of job applicants?
3.3 Staff and subcontractors are consulted on HSSEQ matters and included in related decision making as appropriate.
Verification:
Do HSSEQ communication forums exist? If so, are they available to all interested parties such as staff and subcontractors?
3.4. Inductions addressing relevant HSSEQ objectives, hazards, risks, controls and behaviour are conducted for staff, subcontractors and visitors.
Verification:
Are site inductions conducted? If so, do they include site-specific hazards, risks, controls, policies?
Is the induction conducted for staff, subcontractors and visitors?
3.5. HSSEQ competencies required for all positions are identified, documented, and periodically reviewed.
Verification:
Job tasks analysis are undertaken to identify the competency and training requirements for each position and specifically for individuals placed in HSSEQ critical positions.
3.6 Systems are in place to identify, prioritise, plan, document and monitor training needs and performance for staff and subcontractors.
Verification:
Is there a training matrix? If so, is it assessed annually in order to verify that it remains valid and personnel are being provided the necessary training to perform their work?
Is there a training program that ensures employees obtain and maintain the necessary competencies to perform their job work? If so, does it comprise of initial, ongoing, and refresher training
3.7 on-the-job behaviour observation programs are encouraged to correct at risk behaviour and reinforce positive behaviour.
Guidance: Behaviour observation systems are present and encouraged by local management.
3.8 Competence based training programs and systems are in place for positions where critical HSSEQ tasks or activities have been identified.
Guidance: Competency assessments and verification is conducted initially and as an ongoing process to maintain the necessary competencies of personnel to safely and effectively perform the duties required of the position.
3.9 HSSEQ matters are effectively communicated throughout the organisation with relevant information on HSSEQ issues being communicated to personnel on a regular basis.
Guidance: Key HSSEQ information is communicated to and from employees.
Verification: do HSSEQ communication forums exist? If so, are they available to all interested parties such as staff and subcontractors?
3.10. All internal and external complaints related to HSSEQ aspects of our operations are recorded, acknowledged and investigated as incidents.
Verification:
All internal and external complaints related to HSSEQ are documented and investigated.
Interviewees
Documents

CORPORATE REVIEW - Standard 3

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

Standard 4 Hazards and Effects Management

Standard 4 - Hazard and Effects Management

Expectation: hazards are identified and associated risks assessed. The hazards and effects management processes form an integral part of decision making and are documented, with appropriate action taken to manage risks to a level that is tolerable and as low as reasonably practicable (ALARP).
4.1 Hazards and risks are identified, evaluated, prioritised and controlled by a structured process, including means that address normal and nonroutine work activities.
Verification:

Have site-specific hazards been identified? If so, are they documented on a site-specific hazard register?
Are they prioritised using the MODEC risk matrix?
Controlled through appropriate measures with controls being monitored for effectiveness?
Is there a permit to work system in place? If so, are personnel trained on the systems requirements?
4.2 formal risk assessments are planned and conducted during all phases/activities.
Guidance: Where required, formal risk assessments are scheduled, conducted and documented.
4.3. HSSEQ critical elements are identified (e.g. equipment, processes, personnel, procedures).
Verification:
Are HSSEQ critical elements identified? if so, are they documented and prioritised using the MODEC risk matrix?
4.4 Staff and subcontractors involved in Hazard identification, evaluation, control and formal risk assessments are trained and qualified.
Verification:
Review documentation from a random set of risk assessments and verify through training records, education, experience, etc. That the personnel involved in the assessments have the adequate training and qualifications.
4.5 Reporting and documentation requirements of Hazard identification, evaluation and control, and formal risk assessment and risk management are defined and executed effectively and in a timely manner.
Guidance: Hazards and their potential effects are identified as early as possible in order to enable the appropriate controls and recovery measures to be developed and implemented.
4.6. Risks are communicated to relevant interested parties, as appropriate.
Guidance: HSSEQ risks are communicated to affected employees and subcontractors.

Verification:
Are potential hazards associated with a job activity evaluated before starting the job?
Affected employees and also contractors understand the risks associated with their work.
4.7 Responsibilities and deadlines for corrective actions are established to ensure timely closeout of risk related follow-up actions.
Guidance: Ensure that there is a system in place to actively track action items.

Verification:
Is there an HSSEQ action tracking register? If so, are items being investigated, completed, and implemented in a timely and efficient manner?
4.8 The results of Hazard identification, evaluation and control, and formal risk assessments are considered in the preparation and review of emergency response plans and procedures.
Guidance: Action plans are developed to ensure that the agreed-upon measures necessary to control the identified hazards and risks are developed, documented, implemented, communicated and monitored for effectiveness.
Interviewees
Documents

CORPORATE REVIEW - Standard 4

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

Standard 5 Subcontractor and Supplier Management

Standard 5 - Subcontractor and Supplier Management

Expectations: the contracting of services and the purchase, hire or lease of equipment and materials are carried out in a manner to ensure that HSSEQ expectations are aligned so as to maximise performance and minimise adverse effects on HSSEQ.
5.1 Suppliers and subcontractors are subject to an HSSEQ evaluation and/or reevaluation prior to contractual arrangements being established.
Verification:
Is there a system in place to evaluate the HSSEQ competence of subcontractors prior to awarding work?
Are subcontractor HSSEQ pre-qualifications being conducted and documented?
5.2 Contracts specifically require subcontractors to include systems and provide resources to meet the HSSEQ policies, objectives and requirements.
Verification:
Are HSSEQ requirements documented and communicated in subcontractor contracts prior to subcontractor selection and award?
5.3 Interfaces with suppliers of services and products are identified and effectively managed.
Verification:
Is there a register of approved subcontractors? If so, is the register revised at least every two years?
Does it identify the activities for which the subcontractor is approved and, if applicable, details any restrictions that may apply?
5.4 HSSEQ performance of suppliers and subcontractors and specifically their compliance with the obligations specified in contracts are monitored and reported.
Guidance: During subcontract execution it is necessary to manage and monitor the subcontractor to ensure that work activities are performed within the identified requirements.

Verification: Are subcontractor inspections and audits conducted? If so, are they documented?
Are actions arising from audits document, tracked and monitored?
5.5. HSSEQ requirements related to services, equipment, materials and qualification of personnel are specified prior to purchase and compliance with these requirements (HSSEQ Project Plans) are verified prior to, during, or upon delivery, including required HSSEQ documentation (e.g. Operating and maintenance procedures, MSDS's, etc.)
Verification:
Are HSSEQ aspects of the subcontract scope of work defined?
Are the MODEC HSSEQ requirements explained to all subcontractors?
Is subcontractor work and or products and services audited against MODEC HSSEQ requirements prior to and upon delivery?
5.6 Suppliers and subcontractors provide information on the HSSEQ risks, hazards, aspects and impacts associated with their equipment, products and services.
Verification:
Is there a system for providing HSSEQ information to the subcontractors?
Are regular meetings held with subcontractors in which HSSEQ is discussed?
Interviewees
Documents

CORPORATE REVIEW - Standard 5

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

Standard 6 Facilities Design and Construction

Standard 6 - Facilities Design and Construction

Expectation: new facilities and modifications to the existing facilities will be designed, procured, constructed and commissioned to manage HSSEQ risks through the facility life.
6.1 Project and facility planning, design, construction and commissioning standards are developed, approved and meet or exceed all regulatory requirements, company standards and customer requirements.
Verification:
Is there a contract BOD or equipment?
Are project design basis and project specs signed and approved?
6.2 Effective codes, standards, processes and procedures are applied during design and construction to ensure facility integrity throughout life-cycle requirements.
Verification:
Is there a site specific project execution plan, project quality plan, Project HSSEQ plan, and project design basis?
6.3 Deviations from design standards are identified, approved and managed with justifications documented and retained.
Verification:
Are DC, TQ, and ECN records maintained?
6.4 Potential HSSEQ hazards are identified and there associated risks assessed and managed using appropriate tools.
Verification:
Does site have documented HAZID, HAZOP, safety studies, design HSSEQ action requisites and SIL reports? If so, are they maintained within a document control process?
6.5 Critical equipment, systems, procedures and activities are identified and documented and performance standards verified.
Verification:
Are classification body class and certification scopes identified and recorded?
Are submitted design and engineering documents recorded and approved?
Does site maintain equipment certifications and survey/inspections of equipment?
Are construction and commissioning activities identified and conducted?
Are equipment criticality assessments conducted and documented? Our commissioning procedures documented?
6.6. Formal design and development review, verification and validation studies are carried out based on risk assessments, accepted performance standards and customer requirements.
Verification:
Are design reviews conducted and documented?
Is there a project risk register?
6.7 specific HSSEQ requirements and responsibilities for and during project execution are documented in project HSSEQ plans which are communicated and well understood.
Verification:
Is there a project HSSEQ Plan? If so, are HSSEQ roles and responsibilities defined?
Is there a project execution plan? If so, does it contain a project specific organisation chart?
Are project documents distributed for review prior to issue? If so, are approved copies maintained within a document control process?
6.8 Pre and post start-up process reviews are carried out and documented to ensure that construction or modification is in accordance with design requirements and that all required verification, documentation and training is complete.
Verification:
Are ITR's and punch lists conducted and documented?
Are system commissioning procedures and records maintained?
6.9 Where applicable, customer property will be controlled and preserved.
Verification:
Processes should be in place to preserve equipment or parts that MODEC is handling on behalf of the client. Preservation includes storage and transport time.
Interviewees
Documents

CORPORATE REVIEW - Standard 6

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

Standard 7 Operations and Maintenance

Standard 7 - Operations and Maintenance

Expectation: all plant and equipment is operated, maintained, inspected and tested using systems and procedures that manage HSSEQ risks and drive continuous improvement.
7.1 Identify HSSEQ critical items (equipment, processes and procedures), performance standards, safe operating envelopes, maintenance and risk management tasks and activities.
Verification:
Are HSSEQ critical items identified in the maintenance management system (AMOS)?
Are HSSEQ critical items assigned a unique identifying number?
Are HSSEQ critical items assigned a criticality rating based on the MODEC risk matrix?
Are safe operating envelopes and operating parameters clearly defined for the systems/equipment? If so, where can this information be found?
7.2 Clearly defined start-up, operating, maintenance, shutdown and work management procedures are in place with authorities defined.
Verification:
Is there an established HSSEQ – MS and SMS/FMS where appropriate? If so, are its procedures and related documents approved and readily available?
Can the employees gain access to relevant sections of the HSSEQ – MS in all situations? For example, can workers access the procedure for starting up generators during a power failure when the procedure is needed e.g. during a power failure?
Is the HSSEQ – MS written in a manner that is understood by employees at the site?
Do the procedures detail the steps that need to be performed applicable to a given activity? Do they define: What shall be done?
How it shall be done? Who is responsible for doing it? When it shall be done?
Are the detailed operating procedures strictly adhered to at all times?
7.3 Key operating parameters and performance indicators are established, documented and regularly monitored.
Verification:
Are key operating parameters and performance indicators (KPIs) established, documented and regularly monitored?
Are the KPIs an integrated element in the MMS used to provide a visible indication of the effectiveness of the maintenance process in preserving technical integrity, meeting goals, objectives and tablets?
7.4 Reliability and availability of safety critical items or equipment is assured through appropriate testing and maintenance programs.
Verification:
Is the criticality rating and the maintenance strategy (statutory, commission based, reliability based, risk-based, performance space, timebased or run to failure) used to determine the planning scheduling and inspections, maintenance and repair of HSSEQ critical items?
For HSSEQ critical items is the criticality rating used in spares management (minimum stocking levels)?
7.5 Management of change procedures exist for temporary disarming or deactivation of safety critical items of equipment.
Verification:
Is there a procedure that addresses the temporary disarming and deactivation of safety critical equipment?
Are authorisation levels for temporary disarming or deactivation of safety critical items clearly defined?
Are control measures in place to ensure all safety critical items are put back into service after they have been disarmed or deactivated?
Our personnel trained on temporary disarming or deactivation of safety critical equipment requirements?
7.6 Risks are assessed and managed with consideration of simultaneous operations.
Verification:
Is there a process for identifying, documenting, communicating and controlling risk to ALARP?
Does it account for simultaneous operations?
7.7 Quality assurance procedures exist to ensure equipment replacement or modification maintains design and operations integrity.
Verification:
Do quality assurance procedures exist? If so, do they provide adequate guidance equipment replacements and modifications?
7.8 Operation and maintenance activities are undertaken by competent and trained personnel, capable of carrying out the required tasks and activities.
Verification: has a job task analysis been performed to identify the competency requirements for each position and specifically for individuals placed in HSSEQ critical positions?
Are competency assessments conducted initially and as an ongoing process to maintain necessary competencies of personnel to safely and effectively perform the duties required of the position?
Are an individual's competencies compare against the competency requirements?
When an individual does not fully meet the competency criteria is a training plan developed to close the competency gap?
Interviewees
Documents

CORPORATE REVIEW

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

Standard 8 - Change Management

Expectation: changes in design, operations, procedures, site standards, facilities, equipment, or personnel are evaluated and managed to ensure that HSSEQ risks arising from these changes remain at an acceptable level.
8.1 The HSSEQ risks and impacts of temporary and permanent changes, whether planned or unplanned, are formally assessed, managed, documented and approved.
Guidance: Risks associated with changes should be evaluated using MODEC processes and when applicable, the MODEC HSSEQ risk matrix should be utilised. All change processes associated with temporary and emergency changes must be given a lifespan. Verification: Does the site have procedures for ensuring the HSSEQ impacts of planned or unplanned changes are assessed and managed? Are change management forms used correctly? If so, risk methodology applied and documented? Is the implementation of the changes managed with any issues raised having been resolved? Do all change management forms contain the appropriate signatures?
8.2. Changes associated with project execution, operations, facilities, equipment, procedures, laws, regulations, standards, materials, systems, services, organisations, staff and subcontractors and identified assessed and managed.
Guidance: Changes should consider the ongoing life of the change. This includes changes to people in the work environment. Systems for these changes should use a formal process of risk assessment.
8.3 Changes are communicated to all who may be affected and training is provided as required.
Guidance: If changes to HSSEQ critical equipment or maintenance systems should also be checked for changes (usually found in AMOS). Workers who perform the maintenance should be trained on any changes (found on training records). Likewise in EPCI, changes due to ECN's. Should be verified through to the installation level, including training records.

Verification:
Select a change management issue and follow it through to completion.
Have all procedures, drawings and training programs associated with the change been updated?
8.4 Change management actions are formally managed, along with the update of documentation, including preparation of 'as-built' plans, to appropriately reflect the change.
Verification: verify that the change management issue is updated in a timely manner. This includes P&IDs, procedures, orientations, training programs, HSSEQ roles, permits, regulatory registers, emergency response plans and environmental aspects and impacts register.
8.5 The original scope and duration of temporary changes are not exceeded without review and approval.
Guidance: Any change management issue issued as temporary or emergency shall be assigned a life span. Any change that continues past the assigned date must be reviewed and approved by the appropriate person's.

Verification:
Are temporary and emergency changes assigned a lifespan? If so, has any temporary or emergency changes exceeded the last day without review of approval?
Interviewees
Documents

CORPORATE REVIEW - Standard 8

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

Standard 9 - Incident Notification, Investigation and Reporting

Expectation: incidents must be reported in a timely manner and summarised as part of monthly performance reports. Incidents are to be investigated for cause and corrective actions and analysed for trending patterns at the corporate, site and operations level. Effective corrective and preventive actions, with a focus on root cause and/or systems failures are taken and lessons shared to reduce future injuries and loses.
9.1 Maintained procedures are in place for the timely reporting, investigation, mitigation, and appropriate communication of all HSSEQ incidents.
Verification:
Is there a site specific 3B procedure in place which demonstrates the adherence to the corporate procedure for incidents reporting? Are the employees knowledgeable of when and then to notify in the event of an incident?
9.2 Incident investigations, including identification of root causes and preventative actions, are documented and closed out.
Verification:
Have all incidents been documented on a MODEC incident report form? If so, have the incidents been communicated to MODEC management?
Have root causes and corrective actions been documented and implemented?
Has the incident report been closed out by corporate HSSEQ?
9.3. Incident investigations identify and prioritise corrective and preventive actions, aimed at eliminating or reducing risk of incidents.
Verification:
Are corrective actions prioritised? If so, is the MODEC risk matrix used?
9.4 In the event of a major incident, work shall not resume until actions have been taken to reduce the risk of recurrence and authorisation is given at the appropriate level.
Guidance: Local management is aware of the right to stop work and ensures that it is authorised at all levels, especially in the event of a major incident.
9.5 Information gathered from incident investigations is analysed to identify and monitor trends to improve standards, systems and practices.
Verification:
Are monthly HSSEQ statistics provided to corporate HSSEQ?
9.6 Lessons learned a shared across the organisation and with other interested parties as appropriate.
Verification:
Are NOI's distributed on the HSSEQ distribution list?
Are incidents discussed during safety and toolbox meetings?
Are internal alerts communicated?
9.7 Major incidents are investigated by a multifunction team with participation from appropriate levels of management from outside the project facility.
Verification:
Is line management involved in incident investigations and the preparation of subsequent incident reports?
Are incident investigation teams made up of the appropriate multifunction team members?
Interviewees
Documents

CORPORATE REVIEW - Standard 9

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

Standard 10 - Crisis and Emergency Management

Expectation: procedures and resources are in place to effectively respond to crisis and emergency situations to protect staff, interested parties and the environment. Threats and risks to personnel, assets, operations and the environment are identified and actions and safeguards implemented to manage them.
10.1 Identify potential incidents, emergency situations and security threats along with their HSSEQ impacts including those associated with external activities.
Guidance: All sites should conduct a site specific risk assessment in order to determine the potential incidents, emergency situations and all security threats which they might be susceptible to.

Verification:
Has a site specific risk assessment been conducted?
10.2. Implement controls appropriate and practicable for the levels of risks assessed to the activities
Verification:
Has a site specific risk assessment been conducted? If so, have controls (plans and services etc.) been implemented for the identified risks to reduce the level of risk to as low as reasonably practicable?
10.3 Plans that define responses to foreseeable scenarios are documented, accessible and communicated.
Verification:
Are there site-specific emergency and security response plans? If so, are they documented, approved, accessible and communicated?
10.4 Roles, responsibilities and authorities for staff and subcontractors in responding to emergencies and security threats are documented, communicated and understood.
Verification:
Are position descriptions available which define roles, responsibilities and authorities of personnel during emergency and security incidents?
Have personnel been adequately informed of their roles, responsibilities and or authorities?
10.5 Resources and emergency command centres required for emergency and security response are identified, maintained, tested and readily available.
Verification:
Is there an emergency command centre? If so, is it maintained, tested and readily available?
10.6 Emergency and security plans are maintained through annual reviews regular drills and exercises to validate controls and preventative measures, including liaison with and involvement of external support.
Verification:
Are there site-specific emergency and security plans? If so, are the plans reviewed annually and regularly drilled?
10.7 Personnel are adequately trained to both understand the regulatory requirements and apply the necessary controls and preventative measures as described in the plans.
Verification:
Are personnel trained on the local and corporate emergency and security plan requirements?
10.8 Lessons from emergency and security response drills, exercises and incidents are documented, communicated and incorporated into plans and resources.
Verification:
Are emergency and security plans regularly drilled? If so, are drills documented?
Are lessons learned as a result of the drill, exercise and/or incident, communicated and incorporated into the plans?
10.9 Comply with all government and maritime security regulations.
Verification:
Is there a regulatory register which identifies all the governmental and maritime security regulations? If so, are the emergency and security plans written in accordance to the regulations?
Interviewees
Documents

CORPORATE REVIEW - Standard 10

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

Standard 11 - Occupational Health and Safety

Expectation: personnel, including subcontractors where appropriate, are fit to perform the required duties and that appropriate controls are in place to provide protection from health and safety hazards associated with the company's activities.
11.1 Occupational health and safety requirements are identified, documented, communicated, monitored and complied with on all levels.
Guidance: Requirements associated with Occupational Health & Safety need to be identified, documented and communicated.

Verification:
Are site personnel aware of the health and safety requirements? If so, are site practices consistent with the requirements?
11.2 Where appropriate, staff and subcontractors undergo assessment to ensure that fitness for work, including drug and alcohol.
Verification: is there a fit for duty policy? Does it apply to all staff and subcontractors?
11.3 Occupational Health & Safety assessments are conducted for routine and non routine jobs, tasks and work environments where there is a known risk of health and safety hazard exposures to staff and subcontractors.
Guidance: A health and safety assessment is a careful examination of what, in your work, could cause harm to people, so that you can way up whether you have taken enough precaution or should do more to prevent harm prior to beginning a job.

Verification:
Are health and safety assessments conducted? If so, do they account for routine and non routine work, tasks and work environments?
Have employees performing health and safety assessments been trained on how to conduct them?
Are the assessments reviewed and updated as appropriate?
11.4 Where there is the risk of health and safety hazards, controls are established and maintained to protect staff and subcontractors from those hazards associated with their activities.
Guidance: Once a hazard has been identified, you then have to do everything reasonably practicable to protect people from harm.

Verification:
Is there a site-specific hazard registry? If so, does it contain the controls required to protect staff and subcontractors for each identified hazard?
11.5 Where the application of controls has not adequately reduced exposure, personal protective equipment requirements are identified and communicated and appropriate training provided.
Guidance: PPE is utilised to reduce exposure to workplace hazards when engineering and administrative controls are not feasible or effective in reducing these exposures to acceptable levels.

Verification:
Is PPE made available to all employees and subcontractors?
11.6 Properly maintained personal protective equipment, we are required, is provided and made available to staff and subcontractors.
Guidance: PPE requires proper selection and use as well as proper care and maintenance.

Verification:
Is there a PPE allocation and maintenance process? If so, does it account for the different life spans of the available equipment?
11.7 Compliance with (and the effectiveness of) personal protective equipment requirements is regularly assessed.
Verification:
Are the assessments reviewed and updated, as appropriate?
11.8 Staff, subcontractors, and visitors have access to a good medical and firstaid services, as appropriate, to the location and nature of the activities.
Verification:
Are medical and all first aid services available to personnel?
11.9 Work related injuries and illness are recorded, reported, assessed, and reviewed.
Guidance: Personnel must immediately report all injuries and all incidents, no matter how minor, to supervisors or company representatives.
11.10 A safe and healthy lifestyle is promoted and encouraged.
Guidance: Health and safety practices should be encouraged by senior management. Management can show support for health and safety through meetings, promotions, campaigns, etc.
Interviewees
Documents

CORPORATE REVIEW - Standard 11

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

Standard 12 - Environmental Management

Expectation: The environmental aspects and impacts from activities and operations are identified with measures taken to ensure they are minimised and adequately managed.
12.1 Procedures are in place to identify and determine the significance of environmental aspects and impacts of all operations, projects, goods, equipment and services.
Guidance: Sites need to establish procedures which assist in identifying the environmental aspects of its activities, product's and or services that it can control and over which it can be expected to have an influence.

Verification:
Are environmental procedures available that require significant aspects and impacts to be identified?
Is there a completed environmental aspect and impact worksheet (Doc. # 2507-MI60-15SM-1201-02)?
12.2 Monitoring programs are established and initiatives developed to manage and improve environmental performance of significant aspects.
Verification:
Is there environmental management program form (Doc. # 2507-MI60-15SM-1201-04) developed for each significant aspect?
Are the initiatives including in a tracking register?
Have any environmental inspections or audits been conducted?
12.3 Pollution prevention and waste minimisation programs are developed, implemented and maintained to eliminate, reduce, reuse, recycle, treat, or appropriately dispose of waste.
Verification:
Has evidence of quantification of waste having been undertaken e.g. Waste audit? If so, is quantity of waste being recorded?
Are there any action plans in place to reduce or manage the waste?
12.4 Documentary evidence is maintained to demonstrate that hazardous waste has been managed in a responsible and appropriate manner.
Verification:
Is there a site policy and or procedure on the transportation, management, and disposal of hazardous waste? If so, does it account for the waste from cradle to grave?
12.5 Environmental wastes, discharges, and emissions identified, monitored and reported, where appropriate, to ensure compliance with regulatory requirements.
Verification:
Are environmental incidents documented within the MODEC incident reporting process?
Are the country specific environmental regulatory requirements and discharge permits documented and communicated? If so, have releases that exceed permissible limits been reported to client and or regulatory bodies?
12.6 Prior to the selection and use of new chemicals and materials and evaluation is performed to assess and control the potential adverse HSSEQ impacts.
Verification:
Are there procedures or a mechanism in place that calls for all new chemicals to be evaluated for potential HSSEQ impacts?
12.7 Reviews are conducted annually on the aspects and impacts register and the environmental hazards register.
Guidance: In order to maintain continual improvement, suitability and effectiveness of the environmental management system, and thereby its performance, all sites should review and evaluate the sites environmental aspects and impacts on an annual basis.

Verification:
Is there a site specific aspect and impacts register? If so, is it reviewed annually?
Interviewees
Documents

CORPORATE REVIEW - Standard 12

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

Standard 13 - Documentation and Legal Requirements

Expectation: All applicable legislation will be identified and complied with and documentation will be managed through formally controlled processes. Records will be maintained which are accessible and readily available.
13.1 HSSEQ management system documents, drawings, design data, and other relevant documentation will be identified, controlled and maintained.
Verification:
Are HSSEQ-MS (SMS where appropriate) documents, drawings, design data, records, etc. identified, maintained and controlled?
13.2 Pertinent knowledge and legal documents and records identified, store, and retained as necessary. Obsolete documentation is identified and guarded against unintended use.
Verification:
Is there a record's registry? If so, does it document how long different records need to be maintained for?
Are site documents provided with revision numbers?
Is there a site specific procedure which addresses how obsolete information is to be managed?
13.3 Critical HSSEQ management documentation is identified and its development and implementation assessed against measurable performance standards.
Verification:
Is there a document register?
13.4 Employee health, medical and occupational exposure records are maintained with appropriate confidentiality and retained as necessary.
Verification:
Is there a site specific policy and or process on how confidential records are to be managed?
13.5 Applicable laws, regulations, permits, codes, standards, practices and other requirements are identified and monitored with requirements documented within the management system and communicated to the staff and interested parties.
Verification:
Is there a regulatory register?
Are regulatory updates documented and communicated?
Is there a process for updating procedures which are directly affected by regulatory changes?
Interviewees
Documents

CORPORATE REVIEW -Standard 13

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

Standard 14 - Performance Monitoring, Assessment, Review and Improvement

Expectation: HSSEQ performance and systems are monitored, audited and reviewed to identify trends, measure progress, assess compliance, drive continuous improvement and provide assurance that management processes are working effectively.
14.1 The staff is actively involved in periodic self assessments of the effectiveness of processes and procedures to meet HSEQ performance objectives.
Verification:
Is there a process in place which requires that local staff review the sites HSSEQ performance?
14.2 HSSEQ performance indicators (both leading and lagging) are established, communicated and understood throughout the organisation.
Verification:
Are monthly HSSEQ statistics documented and reported to corporate HSSEQ?
Are monthly HSSEQ statistics discussed by local management and communicated as appropriate?
14.3 Monitoring and measuring programs for key HSSEQ performance indicators (i.e. processes and products) are established, documented, implemented and maintained.
Verification:
Are there HSSEQ KPI's? If so, does each KPI have an associated process which details who is responsible for what, how often it is to be monitored or tracked and when it is to be achieved?
14.4 HSSEQ performance indicators are regularly used to determine when and what management system changes are necessary through trending analysis.
Verification:
Are monthly HSSEQ statistics discussed by local management and communicated as appropriate? If so, are procedures, policies and or practices changed or updated as a result of incident rates?
14.5 HSSEQ behaviour is improved through observation, recording and coaching.
14.6 Procedures are in place for a documented, risk-based audit process for periodic evaluation of HSSEQ objectives and targets, regulatory compliance and effectiveness of the HSSEQ management system.
Verification:
Does the HSSEQ-MS (SMS where appropriate) outline the process involved in conducting an audit? If so, does it account for when audits are to be conducted? How audits are to be conducted? Who conducts the audit? What competency and experience is required to conduct an audit? The scope of each audit? Who received results of the audit?
14.7 Objective and systematic internal and external audits planned and undertaken.
Guidance: There should be an annual plan or schedule for all types of audits.

Verification:
Is there a site audit plan? If so, does it document type of audit and the auditing body?
14.8 Non-conformance from assessment processes (audits, monitoring programs, inspections, products, etc.) are prioritised and tracked through documented corrective and preventive action programs with learning is applied into the HSEQ management system for improvement.
Verification:
Are audit results presented to management and corrective actions developed based on the results?
Are non-conformances tracked via an action tracking register? If so, are the associated corrective actions prioritised using the MODEC risk matrix?
Is there evidence that corrective actions have been followed through to close out?
14.9 Non-conforming product shall be identified and controlled to prevent its unintended use or delivery.
14.10 HSSEQ performance data is reported and treated equally other key business indicators.
Guidance: HSSEQ data should be treated equally to a business factors.

Verification:
Is HSSEQ data used in business performance meetings?
14.11 Site inspections and orders are undertaken at frequencies appropriate to level of risk.
Guidance: A systematic approach to inspections includes an area by area evaluation to determine the need for and frequency of inspections. Identification of things to look for should result in area specific checklists.

Verification:
Are site inspections conducted? If so, our results documented, tracked and communicated?
14.12 Executive management review of HSSEQ management systems for continuing suitability, adequacy and effectiveness.
Guidance: The intention of the reviews is to confirm the continuing suitability, relevance and effectiveness of the HSSEQ-MS. Reviews should be conducted at the site and corporate level.

Verification:
Does the HSSEQ-MS (SMS where appropriate) contain a procedure which defines how a HSSEQ-MS (SMS where appropriate) review is triggered?
Does the HSSEQ-MS (SMS where appropriate) follow a generic "plan-do-check-act" structure to ensure continuous improvement?
Has the HSSEQ-MS (SMS where appropriate) been reviewed?
14.13 HSSEQ goals, targets, performance indicators and customer satisfaction are reviewed at least annually.
Verification:
Are there HSSEQ goals, targets and performance indicators? If so, are they reviewed annually?
Interviewees
Documents

CORPORATE REVIEW - Standard 14

Comments
Standard status
- no measurable activity
- standard under development
- standard being implemented
- standard functioning
- standard sustained
Reviewer
Date Reviewed

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Standard 2 - Policy and Strategic Objectives

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Standard 14 - Performance Monitoring, Assessment, Review and Improvement

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Standard 1- Leadership and Commitment

CORPORATE REVIEW

Standard 2 - Policy and Strategic Objectives

CORPORATE REVIEW - Standard 2

Standard 3 - Organisational Roles and Responsibilities

CORPORATE REVIEW - Standard 3

Standard 4 - Hazard and Effects Management

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Standard 12 - Environmental Management

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Standard 13 - Documentation and Legal Requirements

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Standard 14 - Performance Monitoring, Assessment, Review and Improvement

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