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Process SHE Guide 13

HAZARD STUDY METHODOLOGY


PART 7 - HAZARD STUDY AUDITING

This Guide is issued by ICI Technology on behalf of the


Process Safety, Health and Environment Interest Group for internal circulation within ICI only.

This document will only be kept up to date when issued to the holder of a registered binder
S&TIS/14912

Process SHE Guide No. 13


Hazard Study Methodology
(March 1998 Edition)
CONTENTS

PAGE

7.1

PURPOSE ................................................................................................................................................................................... 2

7.2

SCOPE ......................................................................................................................................................................................... 2

7.3

AUDIT PROCESS .................................................................................................................................................................... 2

7.4

REPORT ...................................................................................................................................................................................... 3

7.5

RECOMMENDATION FOLLOW-UP/ACTION PLAN .................................................................................................... 3

7.6

CHECK LIST .............................................................................................................................................................................. 3

Imperial Chemical Industries PLC 1998

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Process SHE Guide No. 13


Hazard Study Methodology
(March 1998 Edition)

7.1

PURPOSE
This guidance is in support of the ICI Group SHE Policies, Standards and Guidelines requirement for
auditing to assess the effectiveness of implementation of ICI Group Standards.
Group Engineering Procedure GEP 6, "Hazard Studies for Safety, Health and Environmental
Protection", indicates the need for audits to ensure the policies outlined in the Procedure remain in force
throughout the life of the plant, process, buildings, services or operations.
Group Engineering Guide GEG 6.1, "Hazard Studies for Safety, Health and Environmental Protection",
indicates that audits are required to verify that:
(a)

Hazard Studies are applied to all projects.

(b)

Competent trained staff are appointed to lead Hazard Studies.

(c)

SHE dossiers are produced to the required standard.

This process can be used to audit or review that Hazard Studies are carried out in accordance with
GEP 6, GEG 6.1 and Process SHE Guide 13 or to an appropriate local procedure.
The guidance given in this Part of PSHEG13 provides a framework for how and when the audits should
be done. A check list is given in STD/F/01053 to help the auditor establish the degree of compliance of
the Hazard Study process with the relevant local procedure based on PSHEG13.

7.2

SCOPE
This guidance and check list are applicable to all ICI Group Businesses and Territories and can be used
for a Specialist Audit, as defined in Group Guideline GG 19.1, "Guidelines for the Auditing of
Conformance with Safety, Health and Environmental Standards".
In this procedure, where "Hazard Study" is used or referred to without a number, this means the
collection of individual Hazard Studies (Hazard Study 1 etc.) for a given project.

7.3

AUDIT PROCESS
The following gives an outline of the various stages of the audit process and is based on GEG 1.2 which
should be referred to for further details. The Business Audit Programme Manager (defined in GEG 1.1)
has the duty of ensuring that auditing is carried out at appropriate intervals and defining the area(s) or
operation(s) to be considered as an audit unit for the purposes of review under this procedure, taking
into account features such as size and geographic location.
The audit or review process is carried as follows:
(1)

It is recommended that the audit of GEP 6 should be carried out at the same time as that of other
GEPs relevant to the site and of the site procedure on the control of modifications which should
be based on GS 8, GG 8.1, GG 8.2 and GG 8.3. GEP Audits are normally carried out at a
frequency of about 5 years and are done at the request of the business. Auditing should be
considered for major projects, e.g. larger than 50 million, during or soon after commissioning.

(2)

The Audit Programme Manager appoints a suitable auditor, for example from a local engineering
department or another business. The auditor should be an experienced, accredited senior or
chief Hazard Study Leader (see GEP 6) and also a qualified auditor. He should be demonstrably
independent of the subject of the review. The programme is prepared by agreement between
the auditor, local management and the people to be interviewed.

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(March 1998 Edition)
(3)

Local management and the auditor establish the process timing and people who should be
available. Hazard Studies to be audited should include large and small projects and a spectrum
of potential hazards. Studies of as many as possible of the Hazard Study Leaders practising on
site should be audited. The time available will determine the number actually studied but it is
probably better to audit a smaller number thoroughly than a large number briefly.
For each audit the auditor should, if possible, interview the Hazard Study Leader who will
respond to most of the questions. Where appropriate, other members of the team may be
interviewed if they are available. Records of the interviews will be made in the auditor's working
papers which will not be published.

(4)

7.4

The auditor reviews with the help of the check list (STD/F/01053). Short communication
meetings should be arranged at regular intervals so that there are no surprises at the end of the
audit.

REPORT
(a)

As soon as practical after the end of the audit, the audit team prepares a draft written report
which is presented to local management at the exit meeting. The report will consist of findings
(i.e. deficiencies) observations and recommendations. Unsupported comments or opinions
should be avoided. The auditor will not include completed check lists or other working papers in
the report, but should file these with his/her copy of the report. Use may be made of the form
given in Appendix E of GEG 1.2 (see STD/F/00807). The follow-up reporting procedure (draft
report, comments, final report, action plan and action close out) should be explained, and the
report distribution list agreed. A date for comments back to the audit team should be given.

(b)

The audit team prepares a polished report and circulates this to people interviewed and local
management for comment. Comments and any changes may be incorporated provided they are
acceptable to the author.

(c)

The audit team prepares the final report and issues this to a distribution list agreed with the local
management. All earlier draft versions recovered and destroyed. The reports are the property of
the author and may only be distributed with his permission.

The draft and final audit reports should have a unique reference number and be in accordance with
GEG 1.1 and GEG 1.2. The final report should be sent to the distribution list agreed with local
management and a copy should be kept by the author(s).

7.5

RECOMMENDATION FOLLOW-UP/ACTION PLAN


Local management is responsible for the follow up and close out of any actions based on the
recommendations in the final report. It is probable that any recommendations agreed will require an
action plan. The auditor should offer advice where possible or when requested.

7.6

CHECK LIST
A Hazard Study Audit check list is given in STD/F/01053. This is a check list of questions for use by the
auditor. Sections of the check list will not be applicable to some of the people interviewed. The auditor
should use his experience to match the appropriate sections to the appropriate people. However, most
of the questions should be capable of being answered by someone.
The questions are devised to allow the experienced auditor to use the answers received to form a
picture of how Hazard Studies are carried out and to what standard, and how this compares to the
required procedures and guidance.

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The auditor should not publish the detailed completed check lists which are part of his/her working
papers. The answers to the check list questions will indicate the deficiencies in the Hazard Study
Process at the site and will be recorded as findings - definite deficiencies or observations. Findings will
normally be followed by an appropriate recommendation.
The use of the check list is a means to an end, namely to generate an assessment or picture of whether
hazard studies are applied, practised and documented in local procedures to meet ICI Group standards.
Process SHE Guide 13 is the methodology used to give more detail to the procedure. If an alternate
check list is available to that given here for reasons of local requirements or legislation then it is
acceptable to use these as well.
A copy of the check list (STD/F/01053) is available in the Standard Forms Section at the rear of this
binder.

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