PSM Audit Procedure Final 1

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‫شركة صناعة الكيماويات البترولية (ش‬

PETROCHEMICAL INDUSTRIES CO. (K.S.C.)
Process Safety Management System
Fertilizer Manufacturing
PSM Audit Procedure
ISSUE 1
May 2004
Controlled / Uncontrolled Copy
Issued by : Lutfy Nayfeh Title: Senior Process Engineer
Reviewed by: Audit Team Title: Audit Team
Approved by: Abdallah Al-Swailem Title: PSM chairperson
 Confidentiality *
This information is and shall remain confidential to The PIC Fertilizer

Manufacturing and selected external organizations. Accordingly, PIC
Fertilizer Manufacturing retains all copyrights and no copying in any
format of this document is permitted without written authorization from
PSM Chairperson.
Revision No.01 Issue Date: 31/5/2004

Document No.: FM-PR-PSM-AU-01 Page: 1 of 13
)‫ك‬.‫م‬.‫شركة صناعة الكيماويات البترولية (ش‬
2 Distribution List
PSM Coordinator – Master Copy

Chairman & Managing Director
PSM Committee Chairperson
3 Revision Issue
Issue and revision history as per Achiever Plus document

history
4 Table of Contents
S/ Description
No.
1. Authorization 1
2. Distribution List 2
3. Revision Issue 2
4. Table of Contents 2
5. Introduction 3
6. Purpose 3
7. Scope 3
8. Responsibility 3
9. References 3
10. Abbreviations 3
11. Definition 4
12. Action 5
12.1 Maintain Audit Schedules 5
12.2 Audit Preparation 6
12.3 Audit Performance 7
12.4 Audit Reporting 9
12.5 Audit Follow-up 10
13. Record 12
14. Flowchart 12

5 Introduction
Auditing provide a measurement of compliance with the

established Process Safety Management Program. Audits are the
method by which PIC Fertilizer Manufacturing monitors that the
Process Safety Management Program is being adhered to and the
requirements are being met as per PIC PSM manual.
6 Purpose
This procedure aims to ensure the adequacy and effectiveness of

the PIC Fertilizer Manufacturing Process Safety Management
Program and to verify that procedures and practices are adequate
and being followed by means of independent team, which will:
6.1 Identify positives feed back on significant strengths and non-

conformities in processes and initiate action to correct them.
6.2 Verify the satisfactory completion of corrective or preventive
action.
6.3 Provide factual, unbiased measurement of the performance
of the Process Safety Management Program for
Management Review.
7 Scope
This procedure shall be applied to internal audits of all areas

related to Fertilizer manufacturing PSM system.
8 Responsibilities
PSM chairperson is responsible for the effective

implementation of this procedure. PSM Coordinator is
responsible for his roles in the procedure. Lead auditor &
auditors are responsible to carry out the scheduled audit
according to this procedure

9 References
PIC PSM manual FM-PSM-MG-01

Audit Checklist FM-OD-PSM-ACL-01
10 Abbreviations
PIC : Petrochemical Industries Company

CAR : Corrective Action Report
PSM : Process Safety Management
CHSEC : Central Health, Safety & Environment
Committee
OD : Other Document
11 Definitions
Auditee : Department/Area representative to be audited.

Auditor :Suitably trained and qualified person who
undertakes PSM audits.
Corrective Action: Action taken to eliminate the causes of an
existing non-conformity, defect or other
undesirable situation in order to prevent
recurrence.
Internal Audit : Self-examination by PIC employees for the
processes to ensure that the PSM system is
implemented as defined in its documentation
and is effectively meeting stated targets &
objectives.
Lead Auditor : Auditor appointed to lead a team of two or
more auditors in carrying out a particular audit
Nonconformity : Non-fulfillment of specified requirements
PSM Committee : The committee, which is responsible for PSM
system and chaired by the operations
manager.
PSM Coordinator : The coordinator of PSM committee.

12 ACTION
12.1 Maintain Audit Schedules
PSM Coordinator:
12.1.1 Maintain an Internal Audit Schedule in the PSM

database, which includes every element of the
PSM to be audited. Arrange for external audits
according to PSM committee decision. The
audit schedule will be arranged according to the
following areas:
A– Ammonia & related activities (Ammonia
production, utilities, ammonia maintenance,
engineering, training, material, laboratory, fire
and safety related to ammonia & utilities units).
B– Urea & related activities (Urea A & B
production, urea maintenance, reliability,
engineering, training, material, laboratory, fire &
safety related to urea plants).
C– Export & related activities (Export, export
maintenance, reliability, engineering, training,
material, laboratory, fire & safety).
12.1.2 Ensure that the schedule allows for every element of the
PSM system to be audited at least twice a year or at such
greater frequency as the PSM committee may determine,
having considered the status and importance of every
element at each area and the nature and quantities of
hazardous substances. External audit is to be carried out at
least every three years.
12.1.3 Initiate an unscheduled Internal Audit if a serious deficiency

in any part of the PSM becomes apparent during routine
operations, or do to increase in incidents. Unscheduled
audit shall be identified as such in the ‘Audit Type’ field on
the Audit Plan & Report Form, which will be reflected in the
audit schedule.

12.2 Audit Preparation
12.2.1 Assign Auditors
Before the Scheduled date for an audit PSM Coordinator shall;
12.2.1.1 Assign a Lead Auditor and, if necessary, other

auditors from the List of Qualified Auditors to form
an Audit Team. All audits team should consist by at
least one person knowledgeable in the process
being audited and include line management.
12.2.1.2 Brief the Lead Auditor on type and scope of the audit.
Unscheduled audits shall be identified in the Internal Audit Report.
12.2.2 Notify Auditees
The Lead Auditor shall agree on the exact audit date, scope and
program with the auditee and confirm this in writing before the
audit date by one week at least. A copy shall be sent to the PSM
Coordinator.
For unscheduled audits, the period of notification shall be in the

Internal Audit Report.
12.2.3 Update the Audit Reporting Status Log
The Lead Auditor shall enter the known details of the audit in the
Audit Plan & Report Form, which will update the Audit Report
Status Log.
12.2.4 Review System Documentation
The Lead Auditor shall obtain and review all copies and documents
relevant to the audit, e.g. procedures, work instructions,
specifications, standards and previous Audit Reports.

12.2.5 Brief Audit Team
When an Audit Team has been established, the Lead Auditor shall
brief the team on the audit plan and assign responsibilities to team
members.
12.2.6 Prepare Audit Checklist
Every auditor shall review the existing checklists and update the
checklist if needed according to the requirements for their part of
the audit, using the Audit Checklist, the upgrades to the checklists
should be communicated to PSM coordinator for capturing these
improvements.
12.2.7 Review Audit Checklists
The Lead Auditor shall review the Audit Checklist.
12.3 Audit Performance
12.3.1 Conduct Opening Meeting
The Lead Auditor shall convene an opening meeting with the

auditee(s) and shall;
12.3.1.1 Record attendees and note key points of the meeting.

12.3.1.2 Confirm the purpose and scope of the audit.
12.3.1.3 Review the audit program.
12.3.1.4 Agree a tentative time for the closing meeting.
12.3.1.5 Confirm office facilities for the auditor(s) and ‘team
meeting’
12.3.2 Conduct the Audit
The auditor(s) shall;
12.3.2.1 Conduct the audit at the work place(s) using the

Checklists as a guide.
12.3.2.2 If appropriate, expand the checklist to include audit

of any additional requirement, which become
apparent as the audit progresses in order to achieve

true and fruitful interaction.
12.3.2.3 Held detail discussions on each of the various PSM

elements. These discussions are to be conducted
between personnel in the unit responsible for, or
most knowledgeable of, each specific PSM element.
12.3.2.4 Verify what was discussed, the audit team will check
field items such as equipment files, inspection and
test records, training records, etc. In addition, the
team would like to interview operating and
maintenance personnel and tour the operation.
12.3.3 Conduct Team Meeting
The Lead Auditor shall meet with the audit Team (if any);
12.3.3.1 Review the objective evidence and identified non-

conformances with every Auditor.
12.3.3.2 Take notes regarding the compliance/ non-

compliance and the findings according to the PSM
audit checklist to be used during the report writing.
12.3.3.3 Agree on Raising Corrective Action Request (CARs) for

items not conforming with the documented PSM system.
12.3.4 Conduct Closing Meeting
The Lead Auditor shall convene a closing meeting with auditee and
shall;
12.3.4.1 Record attendance and note key points discussed at

the meeting
12.3.4.2 Give an objective overview of the audit
12.3.4.3 Explain the positive feed back on significant

strengths and those non-conformances (areas of

improvement) found which require Corrective and

preventive actions (recommendations).
12.3.4.4 Invite the auditee to acknowledge the audit findings,

evaluations and his approval on the
recommendations by signing the CAR
12.3.4.5 Raise Corrective Action Request (CARs) for items

not conforming to the documented PSM system.
12.3.4.5 Confirm that audit report will be published to the

auditee at the closing meeting.
12.3.4.6 Require the auditee to identify the date by which

responses will be offered to the CARs by the
auditee.
12.4 Audit Reporting
12.4.1 Prepare Audit Report
The Lead Auditor shall complete the report on the "Audit Plan &
Report Form" and the associated CARs, both on the PSM
database.
The audit report shall mention the standard for each PSM element
under "the cross reference to standard". Under "Detailed Audit
Report", the report should include:-
 The findings: List major findings. Findings are facts and are
not opinion.
 Evaluations: Are derived from the findings. The evaluations

should start with the strengths detected and followed by
areas for improvement. The area for improvement can be
categorized into deviation from standard (policy) or as
observation.
 Recommendations: Based on the evaluations,

recommendations should be suggested for the area of
improvement based on the closing meeting discussion.

When the Auditor signs the report, then the system will
automatically update the Audit Report Status Log and the CAR
status log.
12.4.2 Review the Audit Report
The PSM chairperson shall review and authorize the report.
12.4.3 Forward Report and CARs
The PSM Coordinator shall;
12.4.3.1 Forward a copy of the approved report, together with

the original CAR(s), if any, to the auditee.
12.4.3.2 If any CAR(s) have been raised, include a covering

note identifying the final date by which response is
required (response due date) for the audit findings as
agreed at the closing meeting.
12.4.3.3 Report the status of Audits and CAR's to PSM

committee for their review and discussion. PSM
chairperson shall report to CHSEC the performance of
PSM system and the deficiencies in order to improve
the PSM system.
12.4.4 File Audit Checklist and CARs
The PSM Coordinator shall file the original Audit Checklist(s) and
the extra new items captured during the audit. The checklists will
be updated accordingly. The copies of CARs also to be filled for
follow up.
12.5 Audit Follow-up
12.5.1 State Corrective Action
On receipt of the Audit Report the auditee shall complete the

‘Corrective Action’ and ‘Action to Prevent Recurrence’ boxes on
the CAR(s) and return the CAR(s) to the PSM Coordinator by the
due date agreed at the closing meeting.

12.5.2 Send Reminder to Auditee
The PSM Coordinator shall send a reminder to the auditee and

complete the ‘Reminder Date’ field in the on-line CAR if a CAR is
not returned by the due date.
12.5.3 Agree ‘Follow-up’ Audit Date
The PSM Coordinator shall on receipt of the CAR agree on the

proposed follow-up date with the auditee.
12.5.4 Enter ‘Follow-up’ Date of CAR
The PSM Coordinator shall enter the follow-up date on the CAR
and advise the Lead Auditor.
12.5.5 Conduct Follow-up Audit
The Lead Auditor shall;
12.5.5.1 Perform the follow-up audit in accordance with this

procedure to verify the implementation and
effectiveness of the corrective action and action to
prevent recurrences.
12.5.5.2 State whether the corrective action has been

implemented and is effective on the ‘Follow-Up’ and
‘Close-Out’ section on the CAR including reference to
objective evidence.
12.5.5.3 Where the deficiencies have not been addressed

effectively, raise a second CAR with both CARs being
cross-referenced.
12.5.5.4 Follow-up any new CARs raised in accordance with

this procedure. This clause does not apply if any new
CARs are raised at a second follow-up audit. In that
case copies of the CARs shall be sent to the PSM
Coordinator.
12.5.6 Notification of Repeated CAR

The PSM Chairperson shall report the audits findings

and the raised corrective actions and their status to
CHSEC to determine the required further action and
the possible improvement to the PSM system.
13 Records:
The records, forms & audit schedules are documented on the

Achiever Plus software ( Form of Audit report & corrective action
report form).
14 Flowchart

Create Audit from profile

or indepentantly
(Coordinator)
Nominate and Notify

Auditor
(Coordinator)
Document Reasons
Accepted by Auditor No
(Auditor)
Yes
1. Prepare Audit Plan

2. Notfy Audit Team (if
any)
3. Notify Auditee
(Auditor)
Press Delay Button

Audit Date Change Date
Acceptable by No Document Reasons
Auditee
(Auditor)
Yes
1. Carry Out Audit

2. Document Audit
Report
3. Raise Any Required
CAR's
4. Sign & Complete
(Auditor / Audit Team)
Document Reasons
Audit Report
Acceptable by No
Auditee
(Auditee)
Yes
Is Coordinator
Review Required? No Audit Complete
Yes
Review Audit Report

Comment where
required
Add additional CAR's if
required
(Coordinator)


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)‫ك‬.‫م‬.

‫شركة صناعة الكيماويات البترولية (ش‬

PSM Audit Procedure

Controlled / Uncontrolled Copy

Issued by : Lutfy Nayfeh Title: Senior Process Engineer

Reviewed by: Audit Team Title: Audit Team

Approved by: Abdallah Al-Swailem Title: PSM chairperson

This information is and shall remain confidential to The PIC Fertilizer

Revision No.01 Issue Date: 31/5/2004

PSM Coordinator – Master Copy

Issue and revision history as per Achiever Plus document

Revision No.01 Issue Date: 31/5/2004

Auditing provide a measurement of compliance with the

This procedure aims to ensure the adequacy and effectiveness of

6.1 Identify positives feed back on significant strengths and non-

This procedure shall be applied to internal audits of all areas

PSM chairperson is responsible for the effective

Revision No.01 Issue Date: 31/5/2004

PIC PSM manual FM-PSM-MG-01

PIC : Petrochemical Industries Company

Auditee : Department/Area representative to be audited.

Revision No.01 Issue Date: 31/5/2004

12.1 Maintain Audit Schedules

12.1.1 Maintain an Internal Audit Schedule in the PSM

12.1.3 Initiate an unscheduled Internal Audit if a serious deficiency

Revision No.01 Issue Date: 31/5/2004

12.2 Audit Preparation

12.2.1 Assign Auditors

Before the Scheduled date for an audit PSM Coordinator shall;

12.2.1.1 Assign a Lead Auditor and, if necessary, other

Unscheduled audits shall be identified in the Internal Audit Report.

12.2.2 Notify Auditees

For unscheduled audits, the period of notification shall be in the

12.2.3 Update the Audit Reporting Status Log

12.2.4 Review System Documentation

Revision No.01 Issue Date: 31/5/2004

12.2.5 Brief Audit Team

12.2.6 Prepare Audit Checklist

12.2.7 Review Audit Checklists

The Lead Auditor shall review the Audit Checklist.

12.3 Audit Performance

12.3.1 Conduct Opening Meeting

The Lead Auditor shall convene an opening meeting with the

12.3.1.1 Record attendees and note key points of the meeting.

The auditor(s) shall;

12.3.2.1 Conduct the audit at the work place(s) using the

12.3.2.2 If appropriate, expand the checklist to include audit

apparent as the audit progresses in order to achieve

12.3.2.3 Held detail discussions on each of the various PSM

12.3.3 Conduct Team Meeting

12.3.3.1 Review the objective evidence and identified non-

12.3.3.2 Take notes regarding the compliance/ non-

12.3.3.3 Agree on Raising Corrective Action Request (CARs) for

12.3.4 Conduct Closing Meeting

12.3.4.1 Record attendance and note key points discussed at

12.3.4.2 Give an objective overview of the audit

12.3.4.3 Explain the positive feed back on significant

Revision No.01 Issue Date: 31/5/2004

improvement) found which require Corrective and

12.3.4.4 Invite the auditee to acknowledge the audit findings,

12.3.4.5 Raise Corrective Action Request (CARs) for items

12.3.4.5 Confirm that audit report will be published to the

12.3.4.6 Require the auditee to identify the date by which

12.4 Audit Reporting