The document provides a procedure manual for conducting HSE (health, safety, and environment) audits. It outlines responsibilities for the HSE audit team leader, head of the audited organization, and HSE department manager. The manual describes planning and conducting audits, issuing reports, and closing out findings. Appendices include templates for an audit finding report, summary report, and evaluation sheet to assess compliance with HSE requirements.

1. PROCEDURE MANUAL
SEM - 1807
Health and Safety Procedure
HSE Audit
REV. : 0
DATE : 2004. 05. 03

2. PROCEDURE MANUAL
HSE AUDIT
SEM – 1807
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DATE: 2004. 05. 03 PAGE i OF i
Contents.
1. Purpose.
2. Scope.
3. Responsibility.
3.1 HSE Audit Team Leader.
3.2 Head of Audited Organisation.
3.3 Manager of HSE Department.
4. Definitions.
4.1 HSE Audit Team Leader.
4.2 HSE Audit Team.
4.3 Auditee.
5. Instructions.
5.1 Planning of the Audit Programme.
5.2 Formation of Audit Team.
5.3 Conducting the Audit.
5.4 Issue of Reporting and Corrective Request.
5.5 Close-Out of Audit Finding Report.
6. Revision Status.
Appendix.
Ⅰ HSE Audit Finding Report.
Ⅱ HSE Audit Summary Report.
Ⅲ HSE Audit Evaluation Sheet.

3. PROCEDURE MANUAL
HSE AUDIT
SEM – 1807
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DATE: 2004. 05. 03 PAGE 1 OF 4
PURPOSE.
1. This procedure and guidance information has been developed to define a
system for the conduct of Internal HSE Audits to verify whether HSE activities
and related results comply with planned arrangements and to evaluate the
effectiveness of the implementation of the HSE Management System.
2. SCOPE.
3. To be used by HSE Audit Team members in the SECL Head Office HSE
Department
4. RESPONSIBILITY.
5. HSE Audit Team Leader.
1.1.1 Shall plan, execute and follow-up on the entire Auditing cycle.
1.1.2 Shall coordinate all HSE Audit activities.
1.1.3 Shall oversee the HSE Audit activities and enforce the implementation
of outstanding corrective actions.
1.1.4 Shall report to the manager of HSE department on the findings of each
auditing cycle.
6. Head of Audited Organization.
1.1.5 Shall review, agree and correct deficiencies revealed in the Audit
Corrective Action Request.
1.1.6 Shall ensure the effectiveness of the corrective actions.
7. Manager of HSE Department (Head Office).
1.1.7 Shall review and approve the HSE Audit Programme established by the
Head Office HSE Department.
1.1.8 Shall monitor all HSE Audit activities.
1.1.9 Shall report to Top Management on the effectiveness of the HSE
Management System.
1.1.10 Shall constantly check the work of the HSE Audit Team and provide
guidance to improve the Audit function.
1.1.11 Shall discuss the Audit Findings based on the summary report by the
Audit Team.

4. 8. DEFINITIONS.
9. HSE Audit Team Leader.
1.1.12 A person who is qualified and authorized to manage a team of Auditors.
10. HSE Audit Team.
1.1.13 A group which is qualified and authorized to carry out HSE Audits.
11. Auditee.
1.1.14 A person or organization being audited.
12. INSTRUCTIONS.
13. Planning the Audit Programme.
1.1.15 The entire HSE System of the company which includes all current
projects as well as the organization shall be audited at least once a
year.
1.1.16 The Manager of the HSE Department, Head Office shall prepare the
annual audit programme.
14. Formation of Audit Team.
1.1.17 The Manager of the HSE Department, Head Office shall form HSE
Audit Teams.
1.1.18 The Audit Team Leader shall have a good knowledge on HSE
requirements and also sound auditing skills and techniques.
1.1.19 Audit Team Members should be selected on the basis of
(1) Technical Background.
(2) Impartiality
(3) Knowledge of Auditing skill and technique.
15. Conducting the Audit.
1.1.20 Pre-Audit Meeting.
(1) The Auditee should be informed of the Audit schedule at least a
week in advance through a Audit plan in order to eliminate the
element of surprise.
(2) The Audit Team member should have a formal opening meeting
with the Auditee's Representative(s) prior to commencement of
the Audit, stating the scope of audit tabulated in the Audit Plan and
explain how the audit will operate. The audit plan shall be
acknowledge by the Auditee.
1.1.21 Audit.
(1) The Audit Interview shall be intended for fact-finding and not fault
finding on the system. The Audit Team Members should be
objective in questioning the Auditee.
(2) The Audit Team Members shall ask the Auditee to briefly run down
the procedure, stop for clarification if necessary.
(3) The Audit Team Members should ask for evidence wherever

5. necessary such as reports, records, minutes, instructions, etc.
(4) The Audit Team Members shall selectively question the
staff/workers at that moment, not to interfere with the routine
activities.
1.1.22 Post-Audit Meeting.
(1) The Audit Team shall hold a meeting with the Auditee's
management to present Audit Findings.
(2) At this meeting, the non-conformities found during the actual audit
and response dates shall be agreed.
16. Issue of Report and Corrective Request.
1.1.23 Within 10 days after the audit, the Audit Team shall issue the 'Audit
Finding Report' to the Auditee, as necessary.
1.1.24 The Auditee must take action on the reported non-conformances and
complete by the stipulated dates.
1.1.25 All 'Audit Finding Reports' issued shall be recorded and updated in the
'Audit Finding Report Log' by the Audit Team.
1.1.26 The Audit Team Leader shall condense facts of the Non-conformances
in the 'Audit Summary Report' and submit them to the manager of HSE
department for his review and approval.
17. Close-out of 'Audit Finding Report'
1.1.27 The Audit Team shall evaluate the corrective action responses.
1.1.28 If the response is acceptable, the Audit Team shall verify the Corrective
Actions taken and close-out the 'Audit Finding Report'.
1.1.29 If the response is unacceptable, the 'Audit Finding Report' shall be
returned with comments.
18. Revision Status
Rev. No. Rev. Date Rev. Page Description
0 2004.05.03 - Newly legislated
- Prepared Team : Quality, Safety Management
& Technology Support Team
- Prepared by : Mr. Kim Ho Min

6. - Reviewed by : Mr. Kim Seong Chul
Mr. Roger N. Wagstaff
- Approved by : Mr. Choi Kye Sik
APPENDIX.
Ⅰ HSE Audit Finding Report.
Ⅱ HSE Audit Summary Report.
Ⅲ HSE Management Evaluation Sheet.

7. APPENDIX.
[Appendix. Ⅰ HSE Audit Finding Report.]
Samsung Engineering Co., Ltd.
Audit Finding Report (AFR)
AFR No. :
Organization Audited. Discussed with. HSE Audit No.
Auditor. Audit Date. Due date of Response.
Reference Document.
Finding Description.
Recommended Corrective Action.
Lead Auditor.
Manager of
HSE Dept.Name, Signature, Date. Name, Signature, Date.
Response by Audited Organization.
Date of
Completion.
Submitted by
Name, Signature, Date.
Verification.
Lead Auditor.
Manager of
HSE Dept.
Name, Signature, Date. Name, Signature, Date.
Appendix Ⅰ
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8. [Appendix. Ⅱ HSE Audit Summary Report.]
Samsung Engineering Co., Ltd.
HSE AUDIT Report
Division Name. Audit Date. HSE Audit No.
Auditors. Organization Audited.
A) SCOPE.
B) SUMMARY.
Prepared by Date.
Name, Signature.
Reviewed by Date.
Name, Signature.
Approved by Date.
Name, Signature.
Appendix Ⅱ
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9. [Appendix. Ⅲ HSE Audit Evaluation Sheet]
HSE Audit Evaluation Sheet [Construction Activities]
Project Name. HSE Manager. Construction Period. ~ Manpower. (Man-days) Peak: Current:
Project Manager. Audit Team Leader Const. Progress. (%) Plan: %, Actual: %
Current Work
□Civil □Arch. □Stl. Str.
Site Manager. Date of Audit. Accident Free. (M/H) □Mech. □Pipe □ E&I
ITEM.
BASE
POINTS.
CHECK POINTS.
Evaluation
Point Total.
%
1. HSE MANAGEMENT AND ORGANISATION. / 25 □ Managers HSE responsibilities. □
Management attendance at HSE site
inspections. □ Monthly HSE Objectives. □ Sub-Contractors Safety Communication. □ Project Management Daily Site Patrol.
2. LOCAL AND OTHER REQUIREMENTS. □ Local Environmental Protection Laws. □ Local Health and Safety Legislation. □ Clients Environmental Requirements. □
Clients Specific Health and Safety
Requirements. □ Other Applicable HSE Legislation.
3. HSE WORKING PROCEDURES. □
Inventory of HSE documents, including
updates and issue of information. □
Establishment and control of Risk
Assessments. □
Written method statement for high risk
activities. □
Work permits for specific hazardous
operations. □
Control of Substances Hazardous to Health
(Assessments/ MSDS)
4. PROJECT HSE DOCUMENTATION. □ HSE Training Records. □
HSE Reporting to Site Manager.
(Daily Information and Monthly Report) □
Accident Investigation Reports / Dangerous
Occurrences / Near Miss. □ Accident Reporting to Head Office. □ Waste Disposal Records.
5. HSE COMMITTEE AND HSE MEETINGS. □
Establishment-Purpose, Rules, Members,
Dates of Meetings etc. □ HSE Committee Meetings. □ Participation. □ Agenda and Minutes. □ Clients HSE Committee Meetings.
6. HSE PUBLICITY. □
Project Accident Frequency Rate Notice
Board. □ HSE Bulletin Boards. □ Display of HSE Signs in Working Areas. □ HSE Incentive Schemes. □
Company HSE Policy Statement and HSE
Responsibilities.
7. HSE TRAINING. □ New Starters - HSE Induction Training. □ Evacuation Procedures. □ HSE Tool Box Talks. □ Subcontractors HSE Training. □ Project Management HSE Training.
8. EMERGENCY PREPAREDNESS. □
Contact with Local Emergency Services /
Authorities. □ Assembly Points. □ Nominated Wardens. □ Wind socks, flags etc. □ Evacuation and Rescue drills.
9. MEDICAL & FIRST AID FACILITIES. □ First Aid Clinic / Equipment. □ Site Nurse. □ Trained First Aiders. □ Ambulance / Emergency Transport. □ Site First Aid Equipment Boxes.
10. FIRE PREVENTION. □ Fire Extinguishers. □ Smoking Restrictions. □ Fire Prevention Training. □ Permits to Work - Hot Work. □ Fire Protection Measures after Work.
11. PERSONAL PROTECTIVE EQUIPMENT. (PPE) □ Provision of PPE. □ Training / Correct Use of PPE. □ Condition of PPE. □ Fall Arrest Equipment. □ Specialist PPE.
12 SITE COORDINATION. □ Coordination Bulletins. □ Ground Level/ Overhead Work □ Fumes & Dusts □ Road Closures & Diversions. □ Protection of the Public
13.
WORKING AT HEIGHT
(Fall Protection & Falling Materials). □ Ladder Access. □ Openings. □ Edge Protection. □ Lifting / Lowering of Materials. □ Nets/ Fans/ Barricades & Warning signs.
14. SCAFFOLD. (Tube & Fitting). □ Supervision of Erection. □ Tieing / Stability. □ Guard Rails and Toe Boards. □ Hand Over System (Scaff Tag). □ Sole Boards & base Plates.
15. SCAFFOLD. (System). □ Supervision of erection. □ Tieing/ Stability. □ Guard Rails and Toe Boards. □ Hand Over System (Scaff Tag).. □ Sole Boards & base Plates.
16. SCAFFOLD. (Free Standing Mobile Towers). □ Height to Base Ratio. □ Ladder Access. □ Working Platform. □ Guard Rails and Toe Boards. □ Wheels, Castors, Locks.
17. LADDERS. □ Inspection and Condition. □ Prevention of Movement. □ Stepping off Points. □ Angle of Repose. □ Aluminium Ladders.
18. EXCAVATIONS. □ Permanent/ Temporary Structures. □ Stability / Support. □ Access & Egress. □ Barricading. □ De-watering.
19. MOBILE PLANT AND EQUIPMENT. □ Inspection and Maintenance. □ Operators. □ Reverse Alarms. □ Banksman. □ Passengers.
20. STATIC PLANT (Crushers/ Batching/ Asphalt). □ Emergency Stops. □ Access and Working Platforms. □ Guarding of Moving Parts. □ Hearing Protection. □ Authorised Personnel.
21. CRANES. □ Appointed Persons-Lifting Assessments. □ Inspections / Examinations / Certification. □ Operators - Banksman - Riggers. □ Stability of Appliances. □
Siting. (Structures-Overhead Services-
Excavators etc.)
22. EXCAVATORS □ Lifting Point. □ SWL Displayed. □ Siting. □ Inspections / Certificates. □ Operators.
23. CHAINS ROPES AND LIFTING GEAR. □ Testing-Inspection-Colour Coding. □ Slinging Techniques. □ Safe Working Loads. □ Storage and Quarantine. □ Safety Hooks.
24. STEEL ERECTION. □ Method Statement. □ Access. □ Life Lines. □ Safety Harnesses. □ Openings.
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10. 25. CONFINED SPACES. □ Method Statement. □ General Gas Testing. □ PPE. □ Rescue Procedures. □ Permit to Work.
26. WORKING OVER WATER. □ Rescue Procedure. □ Resuscitation Equipment. □ Edge Protection. □ Life Protection. □ Rescue Boat(s).
27. OVERHEAD & UNDERGROUND SERVICES. □ Goal Posts and Other Protection. □ Warning Notices. □ Contact with Local Authorities. □ Locating Practices. □ Equipment Operation.
28. SITE RADIOGRAPHY. □ Training in the Use, Storage and Maintenance. □ Radiography Request Application. □ Permit to Work System. □ Barriers, Warning Signs etc. □
Communication with Other Persons in the
Vicinity.
29. TEMPORARY WORKS. □ Temporary Works Coordinator. □ Design Drawing. □ Support Props. □ Foundations. □ Bracing / Lacing.
30. SAND / GRIT BLASTING. □ Hoses connections etc. □ Grounding of Cables. □ Shielding / Protection of Other Areas. □ Barricades / Signs. □ PPE.
31. WOODWORKING MACHINERY. □ Guarding of Blades. □ Emergency Isolation. □ Trained Operators. □ Floor Conditions. □ Lighting.
32. TEMPORARY ELECTRICITY. □ Installations by Qualified Personnel. □ Inspection / Maintenance. □ Cable Protection. □ Earth Leakage Circuit Breakers. □ Temporary Lighting.
33. GAS WELDING / CUTTING. □ Cylinders. - Secured / Upright. □ Hoses, Gauges, etc. □ PPE. □ Protective Screens. □ Fire Protection / Prevention.
34. ARC WELDING. □ Clamping / Insulation. □ Electric Shock Protection. □ Screen / Shields. □ PPE. □ Fire Protection / Prevention.
35. HAND TOOLS. □ Quality. □ Handles. □ Chisels. □ Inspection. □ Storage.
36. PNEUMATIC TOOLS. □ Compressors. □ Hoses. □ Connections. □ Air Lines. □ PPE.
37. CARTRIDGE OPERATED TOOLS. □ Trained Personnel. □ Guards. □ Storage of Cartridges. □ PPE. □ Maintenance.
38. ABRASIVE WHEELS. □ Trained Persons. □ Marking of Wheel Speeds. □ Guarding. □ Tool Rests. □ Eye Protection.
39. ELECTRIC HAND TOOLS. □ Insulation. □ Plugs / Sockets. □ Tool Casings. □ PPE. □ Inspection.
40.
STORAGE/ HANDLING OF GAS CYCLINDERS.
(LPG, Oxygen, Acetylene etc.)
□ Secure Covered Storage Facility. □ Upright Storage and Secured. □ Fire Extinguishers. □ Storage / Warning Signs. □ Handling.
41. WAREHOUSE / STORAGE AREAS. □ Access - Aisles - Gangways. □ Storage of Flammables. □ Fire Fighting Equipment. □ Safe Stacking. □ Fork Lift Operations.
42. SITE TRANSPORTATION. □ Driving Licenses - Driving Permits. □ Speed Limit. □ Road Signage. □ Vehicle Parking Restrictions. □ Road Cleaning.
43. LAY DOWN AREAS. □ Vehicle Control. □ Fenced/ Signed □ Housekeeping. □ Lighting. □ Protection.
44. FUEL STORAGE. □ Clearly signed. □ Fire Fighting Equipment. □ Emergency Shut Off.(Accessible/Marked) □ Bund Wall. □ Housekeeping.
45 WELFARE FACILITIES. □ Kitchens and Dining Halls. □ Camp. □ Offices. □ Site. □ Remote Areas.
46. HOUSEKEEPING. □ Loose Materials. □ Projecting Nails. □ Refuse Containers. □ Passageways / Gangways. □ Surplus / Unnecessary Items.
47. DISPOSAL OF WASTE. □ Designated Tipping Area. □ Harmful Substances. □ Security. □ Safety Data Information. □ Control of Waste Disposal Records.
48. PEST CONTROL. □ Fly/ Mosquito Screens. □ Stagnant Water □ Insecticides. □ Disposal Bins/ Covers. □ Drain Cleaning.
49. SITE SECURITY. □ Gate Control □ Traffic Control □ Fencing □ Lighting. □ Patrols.
50. ADDITIONAL ITEMS.
TOTAL BASE POINTS (A) (B)
Remarks. 1) EVALUATED by 5 Points Method. 2) ADJUSTMENT OF BASE POINTS. Lead Auditor Name : Total Evaluation Points (B) =
5
4
3
2
1
0
N.A
Acceptable as a whole but requires maintaining.
Acceptable but continuous improvement must be made.
Requires effort to improve on some work items.
Requires more effort to improve on most work items.
Poor.
Not Acceptable
Not Applicable.
Not Applicable Item is marked with “N.A”
and excluded from base points.
If “N.A” items are 2, base points become 15.
Signature :
Date
Total Base Points (A) =
Auditor Name : B / A =
Signature :
Date
Audit Rating %
Appendix Ⅲ
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