Hsems 8 Elements

EP HSE
HSE-MS Audit Questions
EP HSE
Audit :
1. LEADERSHIP AND COMMITMENT
3.1.1.1
1
3.1.1.1
Visibility
Visibility
Do leaders communicate HSE expectations to employees reporting

to them?
3.1.1.1
Visibility
assessment level
1
assessment level
Do leaders discuss and review with employees and contractors

progress against meeting specific 'results' and 'activity' HSE
targets. This usually takes place at staff appraisal and pre contract
award?
Are there regular management HSE statements demonstrating

commitment at the highest level?
Is there sufficient visible demonstration of commitment to HSE at

different management levels?
- Does this notably include putting HSE matters high on the
agenda of meetings (Board downwards)?
Is there a clear message that everyone is responsible for managing

HSE as part of their individual activities?
In visibly demonstrating their commitment to HSE, do line

supervisors lead by example?
- setting a personal example in day-to-day work e.g wearing correct
PPE?
- attendance at monthly departmental HSE meetings?
- attendance at and chairing own HSE meetings?
- attending subordinates HSE meetings?
- actively supporting daily safety discussions and 'toolbox'
meetings?
Who is responsible for management inspection follow-up?

- Does the management team receive copies of follow-up reports?
1 top level q, 2 system / documentation , 3 verification / interview or physical check q

EP HSE
13-May-02
Page 1
3.1.1.1
Visibility
In visibly demonstrating their commitment to HSE, do managers

lead by example?
- Setting a personal example in day-to-day work and following the
company rules?
- Attendance at and chairing management level HSE meetings?
Is there an active HSE dialogue between company and contractor

management?
Do line supervisors communicate company HSE objectives and

targets to subordinate staff and contractors?
Does the workforce think that line supervision consider HSE

matters to be an integral part of managing the business?
3.1.1.1
Visibility
assessment level
Do leaders actively participate in HSE activities such as training,

reward and recognition schemes, industry/contractor workshops,
conferences and audits?
Is there an effective management inspections programme, covering

company/contractor facilities and operations?
- Is there an annual schedule for management inspections?
- How often is the schedule cancelled or changed?
Does the management inspection team include:

- At least one senior manager?
- The HSE department?
- The line?
- Medical department?
Is there feedback to the contractor management?

- Are minutes made and distributed?
- how long after the inspection?
Is there visible demonstration of commitment to HSE at different

management levels?
- Communicating the importance of HSE considerations in
business decisions?
- Recognition of performance when HSE objectives and targets are
achieved?
Do managment attend HSE meetings/conferences outside

company?
- Participate in internally- and externally-driven HSE initiatives?

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3.1.1.1
Visibility
In visibly demonstrating their commitment to HSE, do managers

lead by example:
- Participation in the execution of HSE plans?
- Being actively involved in HSE activities and campaigns?
- Being actively involved in HSE review and analysis sessions?
- Discussing HSE with employees at all levels?
- Coaching employees who need to do better?
Do senior management participate in work site visits and

departmental/subordinate HSE meetings?
- Reading of and acting on HSE reports?
- Conducting HSE audits or inspections personally (including
remote sites)?
- Are these documented?
Do line supervisors conduct regular HSE visits, inspections and

audits to site?
During visits/inspections/audits, are activities ever stopped

because they were concluded to be unsafe?
How frequently do Senior management and Department heads

make HSE inspections?
- Are the inspections conducted following an agreed programme
and procedure or established practice?
- Are records (itinerary and action items) kept of their visits?
During management site visits and inpections:

- Do managers wear the required PPE?
- Is Unsafe Act Auditing a routine feature of these inspections?
- Are operations staff interviewed?
- Is there a structured list of questions?
What is the general status of follow-up on management inspections

for the audited operations?
- Are highlights of the inspection discussed in management
meetings and or HSE meetings?
- Are lateral learning points distributed to relevant staff?
Does Contractor Corporate and Country Management carry out

inspections?
- On a scheduled basis?
- Are findings documented?

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3.1.1.1
3.1.1.1
Visibility
Visibility
assessment level
Do leaders drive the process for HSE excellence?

- Do all levels 'own' the HSE management process?
- Do the documented surveys of employee perceptions confirm
that employees believe the company is committed to HSE?
Is there structured and repeated management HSE communication

to highlight to staff that:
- Supervisors are accountable for their subordinates' HSE
performance?
- Following HSE rules is a condition of employment?
Do management issue HSE communications to highlight to

contractors that meeting company HSE standards is:
- A prerequisite for continued employment under existing
contracts?
Do managers at all levels ensure that decisions/practices are

consistent with HSE policy and objectives?
Have management provided a culture in which staff and

contractors are well informed and motivated towards improving
HSE?
- Encouragement of employees' suggestions for measures to

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3.1.1.2
3.1.1.2
Proactive in target
setting
Proactive in target setting
assessment level
Do leaders participate in the review of reactive indicators i.e.

'results' such as LTIs, spills, emission.
- Are these reviews documented?
- Is there evidence of effective follow-up?
Are investigations of serious incidents led by Managers of an

appropriate level?
3.1.1.2
1
Do leaders participate in the development of objectives and target

setting for H,S & E management 'activities', (proactive indicators)
as well as 'result' indicators?
3.1.1.2
assessment level
assessment level
Do leaders jointly develop and discuss and review HSE targets,

'results' and 'activity' improvement with employees and
contractors?
Do managers require HSE plans from their subordinates and

visibly verify implementation of HSE plans and actions they
Does management review corporate performance against objectives

and targets?
- At least quarterly?
- Is a summary of that review available?
3.1.1.2
assessment level
Do they ensure that all staff have been given pro-active and
re-active targets?
- Is there recognition of performance when HSE objectives and
targets are achieved?
Have line supervisors received/set specific HSE tasks and targets

(individually and/or as related to the department/contractor)?
- Do line supervisors set challenging HSE targets for all
subordinates?
How and how often is progress versus targets reviewed?

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3.1.1.3
1
3.1.1.3
Informed involvement
Are leaders not convinced that the systematic management of HSE

and measurement of the effectiveness of such a system is more
important than the reactive measurements such as LTIs?
3.1.1.3
assessment level
assessment level
Do leaders review the progress both in the development and the

content of HSE - management systems and HSE Cases and make
available the resources and expertise to meet the targets?
Do senior management hold subordinates accountable for

conducting HSE meetings on the following minimum basis:
- Departmental management: Monthy?
- Work site management: Weekly?
- Team supervision: Daily 'safety topic' or 'tool box' meetings?
Do managers stimulate full recognition of HSE risks across the

entire spectrum of the business?
Do managers actively support consistent application and/or

development of the various risk recognition and documentation
techniques, e.g.:
- HSE Cases,
- Environmental Impact Assessments (EIAs)?
- Health Risk Assessments (HRAs)?
Has management provided an effective structure and sufficient

resources to manage HSE?
- Has this structure been communicated to and is it understood at
all staff levels?
- Do managers provide sufficient resources to enable management
of HSE risks ?
Does the Chief Executive chair the Management HSE Committee?
- Are the meetings held at a minimum quarterly frequency?

- Do managers verify that regular HSE meetings are held at all
3
Do the workforce see management and line supervision taking

action and providing resources to support their stated policy and
objectives?
Do line supervisors enforce formal and on-the-job training and

allocate sufficient time to allow for adequate HSE training of
subordinates?

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3.1.1.3
3.1.1.3
assessment level
Are Management fully aware of the priority areas for

improvement in the HSE-MS identified during Management
Reviews and of the status of the follow up?
Has management provided funds:

- For hardware to allow elimination of risks where possible?
- Appropriate staff resources to allow operation maintaining the
risks at ALARP ?
Do managers ensure that their staff:

- Are adequately empowered to effect HSE improvements?
- Have and use proper work procedures?
- Are fully trained and understand their equipment and jobs?
- Are given adequate time for training needs?
Does Management ensure that HSE aspects of business decisions

are evaluated and taken into account before final decisions are
reached?
Do managers at all levels ensure that conflicts between HSE and

cash flow are effectively balanced?
- Do they refuse to order or sanction 'short-cuts' or to save time or
money as a compromise on agreed HSE standards?
Do management and supervisors have credibility with the work

force on HSE matters?
Is there a formal statement of mandatory HSE requirements and

does line supervision personally ensure all staff are fully aware of
them?
- For example:
- compliance with HSE policy, standards and procedures?
- formal HSE training?
- on-the-job HSE training?
- wearing of PPE?
- equipment and tools to be used?
- response in HSE emergencies?
3.1.1.3
assessment level
Are Managers personally involved in improvement efforts

resulting from Management Reviews?
Do management provide adequate and timely response to

improvement suggestions and initiatives from subordinates?

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3.1.1.3
Do employees consider that management are committed to HSE

and are serious about the priority of HSE?

EP HSE
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2. POLICY AND STRATEGIC OBJECTIVES
3.1.2.1
1
3.1.2.1
Content
Content
Is the Company HSE policy statement dated and signed by the

current Chief Executive?
3.1.2.1
Content
assessment level
1
assessment level
Does the Company HSE policy specifically highlight that

individual staff are:
- Accountable for ensuring HSE systems are in place prior to
commencing work?
- Empowered to suspend his own or others' work where the risk is
unacceptable?
Do the company HSE Policy and Commitment statements comply

with Group requirements as a minimum and reflect company
circumstances?
Are there specific and clear daughter policies are available for all
areas relevant to the OU?
3.1.2.1
Content
assessment level
Are the Contractors' HSE policies consistent with the Company

HSE policy?
- Are the contractor's HSE policy statements dated and signed by
their current Chief Executive?
Is there a Company statement on Joint Ventures (JV) available?
Has the Company developed specific, clear and concise policies in

the areas of:
- Drugs (medicines and illegal drugs)?
- Alcohol abuse?
- Road safety?
- Smoking?
- Gas flaring or venting?
- Others (social aspects, effluents)?
Is Contractors HSE-MS compatible with Companys?
Do Contractors have HSE related daughter policies?
Do contractors have HSE related daughter policies consistent with

company daughter policies?

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3.1.2.1
Content
Does the Contractor HSE policy specifically highlight that

individual staff are:
- Accountable for ensuring HSE systems are in place prior to
commencing work?
- Empowered to suspend his own or others' work where the risk is
unacceptable?
3.1.2.1
Content
assessment level
Is the HSE Policy reviewed as part of the HSE-MS review?
Are comments sought from stakeholders during the review

process?

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3.1.2.2
3.1.2.2
Dissemination
Dissemination
assessment level
Do employees and contractors know where to find a copy of the

HSE Policy of their company?
Is the company HSE policy included in tender documents and is

the company's expectations discussed with potential contractors?
3.1.2.2
Dissemination
assessment level
Is the current HSE Policy is prominently displayed in a language

understood by all employees and contractors?
- Has each employee a personal copy of the HSE Policy?
Is the Company HSE Policy prominently posted on bulletin

boards, in managers' offices, in manuals and handbooks?
Do company employees as well as contractor staff: understand the

Company HSE Policy contents and context?
Is the Contractor HSE Policy prominently posted on bulletin

boards, in managers' offices, in manuals and handbooks?
3.1.2.2
Dissemination
assessment level
Is the personal relevance of the HSE Policy to all new employees

(company & contractor) explained to them by their immediate
supervisor?
- Do supervisors discuss revised HSE policies with employees?
When the Contractor's HSE policy was issued, was it handed to

and discussed with
- Each Contractor employee by his/her Line Manager?
- Was the same done with sub-contractors?
3.1.2.2
1
Dissemination
Can employees and contractors explain what they must do in their

work so that their company can fulfil the requirements of it's HSE
Policy?
- Is the HSE Policy readily available to neighbouring communities
in an understandable format?

EP HSE
13-May-02
assessment level
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3.1.2.3
3.1.2.3
Strategic Objectives
assessment level
Is there an HSE MS in place or under development which includes

an HSE Plan to meet the OU strategic objectives.
Are challenging HSE objectives set?
Has actual performance been taken account of when setting
Have Contractors set Objectives and annual HSE targets?
Has the Sustainability Assessment Guide (EP 950373) been

reviewed by the HSE department?
- Has the concept of SD been communicated within the Company?
3.1.2.3
assessment level
Are the HSE targets described in the HSE Plan consistent with
those of the Shell Group (EP95-0140)?
- Is there a transparent cascade between OU corporate targets and
unit targets?
In setting Objectives, has Management considered the overall risk

levels of its activities and identified those critical operations and
installations, which require a fully documented demonstration that
risks have been reduced to ALARP?
Do the company's strategic objectives and annual HSE targets link

to the company HSE commitment and policy?
Have challenging targets (for 1 year and 5 year) been set in line
with SIEP requirements?
(ref EP 95-0140) for all of the following:
1 Fatalities
2 LTIF
3 TRCF
4 Vehicle Injury Rate (per million km driven)
5 Total Recordable Occupational Illness Frequency
6 Gas flaring
7 Hydrocarbon emissions to air
8 Halon losses
9 CFC losses
10 Oil in produced water
11 Oil spills
12 Oil from oil-based mud and cuttings discharged to water
13 Energy reduction
14 Waste reduction

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3.1.2.3
Are Contractor Objectives and Targets consistent with Companies

Objectives and Targets?
- Have Contractor objectives and targets been effectively cascaded
down to operational levels?
Has the Company assessed what Sustainable Development means

to them and how they may contribute towards it?
3.1.2.3
assessment level
Do audits confirm that the HSE Plan is functioning?

- Is there a process in place to effectively monitor progress against
the HSE Plan and verify the HSE results?
Has the Company developed objectives and a strategy on

Sustainable Development?
3.1.2.3
1
Are Senior managers measured on performance in setting

challenging targets for continuous improvement?
- Are personnel at all levels in the company assessed on
performance in achieving these targets which are included in the
HSE Plan?

EP HSE
13-May-02
assessment level
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3. ORGANISATION, RESPONSIBILITIES,
RESOURCES, STANDARDS AND
DOCUMENTS
3.1.3.1
3.1.3.1
Roles & responsibilities
assessment level
Is there a description of the current organisational structure and a

description of the relationships of all parties involved in the
operation including partners, contractors and regulators?
Is the Company Organisation adequate for its workload?

- Including development, implementation and management of the
HSE-MS?
Is it clearly defined whether smaller contractors fall under

Company responsibility, or under Contractor responsibility (i.e.
are subcontracted)?
Do the Company organisational structure and allocation of

resources reflect that handling of HSE is a line responsibility.
Is there a separate Company HSE organisation and if so:

- What are its terms of reference?
- Is the organisation adequate for its current workload?
Are current Company organograms available?

- Is distribution subject to document control?
- Are they regularly updated?
Does the Contractor organisational structure adequately describe

the relationships between:
- The various operations sections?
- Operating sections and supporting services?
- All Subcontractors?
Do the Contractor organisational structure and allocation of

resources reflect that handling of HSE is a line responsibility.
Is there a separate Contractor HSE organisation and if so:

- What are its terms of reference?
- Is the organisation adequate for its current workload?
Are current contractors organograms available?

- Have they been distributed to appropriate Company staff?
- Are they regularly updated?
Are all staff and employees made aware of their HSE

responsibilities when joining the company?

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DOCUMENTS
3.1.3.1
3.1.3.1
assessment level
Does the HSE MS include a description of all HSE critical

activities and the HSE responsibilities of employees and
contractors in undertaking these activities. Supervisors, employees
and contractors know these?
Are job descriptions available for each position (company and

contractors)?
- Are HSE responsibilities described in these
- Are they agreed with and issued to staff?
Who is the Custodian of the HSE Management System?
3.1.3.1
assessment level
Are HSE critical activities defined and known by contractors and

employees responsible for their implementation together with the
inputs, outputs, performance standards, verification and
competency requirements?
Is there an explicit right for all staff to refuse work that damages
one's health, is unsafe or will damage the environment?
Has a management representative been assigned responsibility,

authority and accountability for co-ordinating implementation and
maintenance of the HSE-MS?
Are responsibilities at departmental interfaces defined?

- How is co-ordination of activities across departmental boundaries
arranged?
Are authority levels given commensurate with assigned

responsibilities?
Is HSE fully understood and implemented in the line?

- At all levels in the company?
- Do Line managers and supervisors accept responsibility for all
aspects of their subordinates' HSE performance?
Do all employees accept responsibility for their own and

colleagues' safety and health protection?
3.1.3.1
1
Individual HSE responsibilities are known and understood by all

employees (company and contractor) and are maintained by
updating and revision in conjunction with the employees.

EP HSE
13-May-02
assessment level
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DOCUMENTS
3
3.1.3.1
Are responsibilities regularly reviewed and updated in conjunction

with staff?
- Are copies of responsibilities available with and understood by
the appropriate staff?
- Are company and contractor staff aware of their responsibilities
for HSE?

EP HSE
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DOCUMENTS
3.1.3.2
3.1.3.2
HSE Advisors
HSE Advisors
assessment level
Is quality specialist advice is readily available to line personnel on

all H, S & E issues?
- Do HSE advisers meet relevant (regulatory) professional
requirements?
Have HSE advisers / focal points been nominated in the contractor

organisation?
What training has the HSE adviser(s) received?

- HSE Management Training?
- Environment?
- Occupational Health?
Are HSE advisers appropriately trained to deliver professional

advice within the defined scope of responsibilities and duties?
Is there adequate experience of line operations amongst HSE

advisers?
3.1.3.2
HSE Advisors
assessment level
Is the role and reporting relationship of the HSE Advisor(s) fully

defined in the HSE-MS and understood by all staff?
- Do the HSE adviser(s) have direct access to the Chief Executive?
Is the HSE Department custodian of the HSE-MS?
Is there an appropriate balance between line staff and HSE
Is there a line HSE focal point?

- Does he report to the appropriate organisational level?
- Are his/her responsibilities and duties documented?
- Are his/her responsibilities and duties known to other staff?
3.1.3.2
HSE Advisors
assessment level
Is HSE fully understood and implemented in the line and only

specialist advice is required from HSE advisors?
- Is this advice sought and acted upon?
Do the line managers accept responsibility for implementing the

HSE-MS in their areas.?

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DOCUMENTS
3.1.3.2
3.1.3.2
HSE Advisors
HSE Advisors
assessment level
Can HSE advisors demonstrate that they regularly support the

drive for continuous improvement in HSE-MSs across the
operation?
- By proactive challenge?
- By comparison with and promotion of best Group/Industry
practice?
Is the HSE department involved in monitoring the quality and

timely completion of HSE Cases?

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DOCUMENTS
3.1.3.3
3.1.3.3
Resourcing
Resourcing
assessment level
Has there been a review of the resourcing levels required to

conduct the operations, notably taking into account:
- Risk level?
- Emergency procedures?
- Leave and Competency levels?
Are the manpower review results realistic and have they been
agreed with appropriate supervisors and line managers?
Is the agreed manning in line with manning philosophies and facts

e.g.?
- Facilities manning e.g. ad-hoc, day shift only, 24 hr/day?
- Activities manning e.g. single person visits, buddy system?
- Realistic transport times to reach facilities?
Are forecasted activity levels adequately planned for?
What are the leave rotation schedules for various staff?

- Is this strictly adhered to?
- Is proper hand-over in place?
- Do any staff spend excessively long periods on-site without
break?
3.1.3.3
Resourcing
assessment level
Is the establishment described or referred in the HSE MS or HSE

Case?
Are there formal procedures or policies which describe:

- Minimum number of people required/allowed at the
facility/worksite at any one time?
- Manning requirements for certain hazardous activities?
Are there formal procedures or policies which describe:

- When accessing heights?
- Tank dipping?
- Electrical maintenance?
- HV switching?
- Accessing bilge tanks?
- Night operations?
Have adequate resources been provided for effective

development/implementation and management of the HSE-MS?

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DOCUMENTS
3.1.3.3
3.1.3.3
Resourcing
Resourcing
assessment level
Does the actual resourcing meet the requirements described in the

HSE MS or HSE Case in number and competency?
Does the current establishment (Company and Contractor) meet

the defined criteria (as described in the HSE-MS)?
- Approved establishment?
- Actual manpower in place?
- Competency?
Is the HSE Department adequately staffed to fulfil its role?
Is the Contractor manning levels adequate for its workload

including development, implementation and management of the
HSE-MS/HSE Case?
- Approved contractor establishment?
- Actual contractor manpower in place?
- Competency?
Are the contractor manpower levels adequate to comply with the

requirements as per the contract:?
- Are HSE requirements met?
- Is there adequate supervision?
Is excessive supervision required by company staff to ensure

contractually prescribed work quantity and quality is being
delivered?
If a significant percentage of staff is temporary, is training and

hand-over adequately handled?
Is facility manning and/or activity execution ever undertaken in

non-conformance with the formal procedures and policies?
Are manning levels adequate to allow regular worksite visits by

foremen and supervisors?
- How often do these worksite visits take place (daily, weekly,
monthly)
3.1.3.3
1
Resourcing
Are changes to resourcing levels and competencies and associated

risks assessed as part of the change control procedure?

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assessment level
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DOCUMENTS
1
3.1.3.3
Resourcing
Are supervisors trained and encouraged to recognise the symptoms

of under-resourcing (stress, incident causation, overtime levels,
etc.)?

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DOCUMENTS
3.1.3.4
3.1.3.4
Competency Assurance
assessment level
All staff and employees are made aware of their HSE

responsibilities when joining the company.
Is there an initial formal induction for new and transferred staff?

- Is the induction programme available to company and contractor
staff?
Does the work site induction training cover:

- Environmental hazards and effects?
- Fire?
- Legislative requirements?
- General safety rules and procedures?
- Hazard awareness and reporting?
- Occupational health?
- Other emergency response?
- Security?
Are records kept of company and contractors employees who

attended the HSE induction?
Are new managers and supervisors given a company HSE

orientation programme?
- Is there a written standard for the orientation programme?
- How many hours is orientation programme?
- How soon after arrival is the programme given?
- Are records kept?
Is it mandatory that all new company and contractor employees

attend the induction before they are allowed to work on site?
- How long does the induction training take?
- Does a member of senior management introduce the induction
briefing?
- is there any involvement of line supervision in the induction
briefings?
Is HSE induction training given to contractor staff?

- Does the HSE induction training for contractor staff cover all
contractor staff?
3.1.3.4
1
Is there a competency assurance process is in place for company

personnel with responsibility for HSE critical activities?
- Are the required and actual competencies of incumbants
documented?

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assessment level
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DOCUMENTS
3.1.3.4
Is there a formal requirement for supervisors to develop critical

skills in their staff through on-the-job coaching?
- Is this documented in job descriptions and tasks and targets?
Is there a formal on-the-job training scheme?

- Which staff levels are part of this?
- How is it controlled?
- How is progress measured?
- Are progress and relative competence checks signed off by
supervisors?
Is there a system of HSE Management training for supervisors?

- What percentage of supervisors have attended such a course?
Has the company defined minimum competence/training and

experience levels for each Company staff position?
- Are minimum experience level requirements complied with?
Are mandatory training requirements achieved?

- For HSE critical positions?
- For all positions?
- Are records being kept?
- Who is responsible for updating the records?
Are state-of-art training aids available:?

- Films/videos?
- Self-teaching aids?
Have Company and Contractor management attended a HSE

management course?
(eg. Managing HSE in the Business Workshop (previous V2FA)?
What percentage of managers have attended such a course?
3.1.3.4
assessment level
Is a competency assurance process as described in Level 2 above

also in place for the employees of contractors in positions with
responsibility for HSE critical activities?
Does the competence requirement analysis equally appraise:

- Company staff, contractors and sub-contractor staff?
- for all HSE critical tasks?
- for all tasks?

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DOCUMENTS
3.1.3.4
Are staff competence requirements adequately specified in

contracts? do they cover:
- Specific site hazards?
- Anticipated staff turnover?
- Specific HSE training requirements?
- Medical requirements?
Who is responsible to check that new contractors are aware of and

are practising the contractual HSE competence regulations e.g.:?
- Induction training?
- Mandatory HSE training?
- Competence requirements
- Does Company verify and approve the quality of induction
training as provided by Contractors?
Are the contractually required contractor staff competency

requirements met?
- Induction training?
- Mandatory HSE training?
- Competence requirements
- Are records being kept?
Is there an overall programme for HSE training?

- Does the Programme include:
- HSE management inc all HSE-MS elements?
- Job procedures?
- Occupational health control?
- Road safety?
- Eenvironmental issues?
- Supervisory development
Is there a system of formal training for operators of mobile

equipment such as cranes, forklifts?
- Does the system include issue of formal operators
references/certificates?
- Are these certificates verified prior to allowing work to start?
Does supervisory development training cover:

- Proper job/task instruction?
- Skill development coaching?
- Concise task assignments?
- Personnel management skills?
- Communications skills?
Has the company/contractor defined minimum competence/training

and experience levels for each Contractor staff position?

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DOCUMENTS
3.1.3.4
Are competency and medical requirements for potential

sub-contract staff covered as well?
- How is the skill and experience level of potential sub-contract
staff specified and verified?
Does the system for competence verification differentiate between

:
- Initial recruitment for existing tasks?
- Initial recruitment for new tasks?
Do supervisors check the knowledge of a new addition to the

team?
- On trade specific skills/procedures?
- On company HSE regulations?
- On departmental HSE procedures?
- On emergency procedures?
Do supervisors check the knowledge of a new employees on their

first day on site?
- Including contractor and sub-contractor staff?
- Are records kept of these checks?
- Do records include conditions set prior to being allowed to work
on his/her own?
Are visitors briefed and their knowledge checked regarding specific

HSE procedures on the site?
- Are they briefed on the action they are to take if an alarm
Does the supervisor check the knowledge of staff by going through

a procedure with them?
- Are both existing and new procedures equally covered?
- Is this done on-site or in the office?
- How often is this repeated?
- Are there records kept
What on site competence checks have staff experienced

personally?
Were they ever asked to demonstrate competence before being
allowed to operate on their own?
- Who makes these checks?
Have they received training in:

- Firefighting individual and team based?
- First-aid? Inc Cardio-Pulmonary Resuscitation?
- Emergency Evacuation and Survival?
- Emergency Procedures?
- Environmental Control inc Waste mgt ?
- Operating Procedures?

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13-May-02
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DOCUMENTS
3
3.1.3.4
Are training standards for Contractor and sub-contractor staff

equivalent?
- Notably if use is made of sub-contracted staff within the
Contractor organisation?
3.1.3.4
assessment level
Are the competency requirements of all positions involving HSE

critical activities periodically reviewed and improved and the
competency of staff reassessed and gaps addressed?
Is there a systematic analysis of competence requirements for

tasks?
- Does the analysis differentiate between?
- Initial recruitment for existing tasks?
- Selection of existing staff for new activities?
- Are there documented guidelines covering the analysis of
competence requirements for tasks?
Is there a process defined for individuals who are found to be

not-yet-competent?
- Company staff?
- Contractor or sub-contractor staff?
Does the system notably aim at increasing competencies of staff in

HSE critical positions, covering e.g.:
- Job Procedures?
- Road Safety?
- Incident Investigation?
- Supervisory skills?
Is a database in place allowing the status of (refresher) training of

individuals to be easily verified?
Are staff not accepted in an HSE critical job until minimum

requirements are met?
Is the competence of staff regularly reviewed and appraised at

least annually?
Do staff themselves believe that they have received sufficient

training before being allowed to carry out their duties?
- Company staff?
- Contractor staff?
- Subcontractor staff?
Do line supervisors and management take a leading role in

on-the-job assessment and training of their subordinates?

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13-May-02
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DOCUMENTS
3.1.3.4
Is sufficient HSE training available to all levels of the workforce?
Does the system for competence assessment and verification

include:
- Frequency of re-assessment?
- Method of assessment?
- Staff authorised to carry out assessment?
- Qualification requirements for assessment staff
- Documentation of results

EP HSE
13-May-02
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DOCUMENTS
3.1.3.5
3.1.3.5
Contractors
Contractors
assessment level
Is Contractor HSE competence assessed in the light of the risks to

be managed during the contract prior to the invitation to tender and
award of contract?
Have contractor's HSE responsibilities been clearly defined in

contracts?
Are records kept of contractors' past HSE performance?
Does contractor performance monitoring include Health and

Environmental performance?
Are relevant HSE clauses in contracts adequate?
Is account taken of the level of risk to be managed in the Contract?
Are visits to contractors' premises part of pre-tendering and

evaluation procedures?
What assessment of contractors' HSE management potential is

made?
If a contractor with a poor HSE performance is accepted?

- Is money allocated for improving his performance?
Has the company communicated to the contractor specific:

- Site hazards w.r.t. health, safety and/or environment?
- Manning level requirements, relief schedules?
- Staff competence requirements?
Are copies of all contracts available with appropriate parties?

- Company site supervisors?
- Contractor site representatives?
- Are these parties familiar with the HSE relevant parts of the
contracts?
3.1.3.5
1
Contractors
Is Contractor mobilisation conditional on receiving a description

of:
- How major HSE risks will be systematically managed to
ALARP?
(risks with a consequence of 5A, 4B, 3C, 2D or higher on the risk
matrix (EP 95-0100)
- how the interfaces are managed on that particular contract or
project?

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13-May-02
assessment level
Page 28
DOCUMENTS
3.1.3.5
Contractors
Are contractor site inspections made prior to and during contract

start-up to verify that?
- Contractor staff are familiar with company practices and
procedures?
- Permit to Work?
- Journey management?
- Waste disposal?
- Hygiene?
Does the company prior to allowing the contractor to sublet the

work vet the contents of all sub-contracts terms?
Are the work schedules of the sub-contractor compatible with

applicable contractor and company HSE standards?
Is the value of good planning demonstrated during Contract

management?
3.1.3.5
1
Is compliance with the contractors own HSE MS audited within an

audit programme defined in the contract.
- Are actions to be taken in the event of different levels of non
compliance defined in the contract.
3.1.3.5
1
Contractors
Contractors
Are the HSE management systems of contractors subject to

continuous improvement during the course of projects and
contracts in consultation with the OU?

EP HSE
13-May-02
assessment level
assessment level
Page 29
DOCUMENTS
3.1.3.6
3.1.3.6
Communication
Communication
assessment level
Is there an effective hierarchy of HSE meetings at all levels within

Company and Contractor?
Are contractor HSE meetings consistent with Company ?

- Do sub-contractor staff attend HSE meetings?
- What level of contractor management does attend?
- Who attends from the company?
- Does the contract holder attend? How often?
Is the process of recording and disseminating the HSE meeting

proceedings adequate?
- Distribution of minutes?
- Posting on HSE bulletin boards?
- Other applicable parties (lateral learning)?
Does senior and middle management participate in lower levels

HSE meetings?
- Do they provide focus on compliance with program standards?
- Do they make special presentations on HSE topics?
Does the HSE meeting structure allow employees full

involvement?
- Does it allow employees own ideas and suggestions to be heard?
Are special meetings also held after an incident?
Is the process that ensures that HSE meetings are attended and/or
their contents disseminated adequate?
- Is attendance compulsory?
- Are staff levels in attendance?
- Has any member of top management participated?
Is the process that selects the topics for discussion at the HSE
meetings adequate?
- Are the themes for HSE meetings planned in advance?
- How are topics selected and decided?
- Incidents?
- Theme of the month?
- New plans/equipement?
What are workers reactions to HSE and 'tool-box' meetings?

- Do they give added value?
- How long do they last?
- Are purpose and contents understood by all attendees?
- Is sufficient attention paid to complications of multi-lingual
workforce?

EP HSE
13-May-02
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DOCUMENTS
3.1.3.6
3.1.3.6
Communication
Communication
assessment level
Is there an effective system in place for the timely transfer of HSE

information and feedback across all levels in the company and
contractors?
- Are all employees aware of key HSE information and
expectations?
Have the HSE risks and hazards of work activities been adequately
communicated to all company and contractor employees?
- Induction discussions/courses?
- Safety Cases?
- HSE and/or 'toolbox' meetings?
Are guidelines available for carrying out HSE meetings?

- At what frequency are meetings to be held?
- Is agenda and other reading material issued to attendees prior to
meetings?
- Who is to chair the meetings?
Are the communications techniques used adequate and appropriate

?
- Personal contact?
- Inter-active video?
- Video?
- Notice boards?
Are HSE bulletin boards available in sufficient quantity and in the

appropriate locations, carrying appropriate and current
information?
- Are up-to-date HSE performance indicators posted at HSE
Are focussed HSE campaigns conducted effectively?

- How many HSE themes were promoted within the past twelve
months?
- Was the selection of HSE themes based on critical problems?
Has the company adequately shared its HSE experiences with its
Contractors?
- At Management level?
- At Department Head level?
- How often are meetings held?
- What are the main subjects of meetings?

EP HSE
13-May-02
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DOCUMENTS
3.1.3.6
Communication
How are the general HSE rules and procedures communicated?

- In the language that can be understood?
- Is there a briefing or is it purely a paper communication?
- Is employee and contractor understanding verified?
- By whom, how and how often?
Have the potential consequences of departure from HSE critical

procedures and/or performance targets been adequately
communicated to all levels within the Company and Contractor?
- Risk to employee himself and colleagues?
- Disciplinary action?
Is there evidence of open communication on HSE

accidents/incidents and is its coverage adequate?
Are safety alerts and bulletins distributed, displayed?
Has the company disseminated adequate information on

emergency response procedures?
- Availability of emergency response procedures?
- Formal emergency response training courses?
- Emergency response preparedness training via exercises?
How are language and/or comprehension problems assessed, dealt

with and understanding verified?
- Do supervisors and crew have a common language?
- Are translators with work experience available in the crews?
Are any of the supervisors proficient in the local language?

- Is there a requirement for bilingual foremen in the contracts?
- Are language training courses available?
Are HSE signs and information available in the local language?
Are pre-job and/or tool-box meetings held, where risks and barriers
are discussed?
- Do these meetings cover:all of HSE?
Does the Company newsletter effectively communicate issues and

material related to HSE?
- How often is it distributed?
- Does it reach all employees?
- Do all employees comprehend and value the newsletter?
Are posters available and appropriately placed to support specific

HSE programs and current initiatives?
- Are HSE posters changed at least once each month?
- Is it clearly designated who will change HSE posters?

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13-May-02
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DOCUMENTS
3.1.3.6
Communication
Are line management and supervisors visible and motivating in

setting examples by adhering to safe working practices themselves?
Is the need for compliance with procedures constantly and

consistently being discussed and encouraged ?
- During HSE meetings?
- During activity toolbox meetings?
- By supervisors during supervisory worksite visits?
3.1.3.6
Communication
assessment level
Is there a formal process to address HSE matters raised by

employees, contractors, customers, government agencies and the
public?
Are there company focal points for dealing with the different
authorities?
Is there a check-list of reports/studies required by governmental

agencies?
- Does the check-list include the report date and file location?
What Contractor-wide and/or industry sector communication

forums exist?
Is there training available in the effective running of HSE meetings?
What specific type of HSE incentive schemes are used, if any?

- Small rewards to large number of people?
- Large rewards to a few people?
- Is award based on positive contribution, not accident rate?
Is the HSE department involved in communication regarding HSE

issues?
Are communications with the regional Police and Emergency

services effectively in place?
Are HSE contests/competitions held?

- Do senior or line managers present safety awards or recognition?
Is the meaning of the HSE performance indicators well understood

by all?
Are employees sufficiently informed on exposure sampling results

and records e.g. air, dust, noise, radiation?

EP HSE
13-May-02
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DOCUMENTS
3.1.3.6
3.1.3.6
Communication
Communication
assessment level
Is there a consultation programmes are in place to identify and act

upon HSE concerns of communities and other stakeholders.
- Are the HSE Policy, targets and verified performance of the
company provided in a clear format with a process for feedback.
Has senior management communicated the company's HSE

objectives and performance to Government and other authorities?
Is the Companys environmental performance being externally

verified and reported consistent with Group Policy?
Is there a system in place to maintain external factors awareness:

- Who is responsible?
- How is information disseminated?
Is the HSE Case and HSE-MS reviewed by the authorities?

- How often?
Are Company expectations of the Police and Emergency services

shared, understood and accepted by them?
Is there adequate awareness of external factors which might

influence the HSE performance and/or business of the company?
- Third party pressure groups (e.g. Greenpeace, Friends of the
Earth)?
Is there adequate awareness of external factors incuding:

- HSE problems of companies (oil and/or non-oil) operating in the
same environment?
- Governmental programs in HSE context?
- Labour Union HSE initiatives?
What is the role of the HSE Department in maintaining an

overview external factors?
- What awareness of these issues is there at the various
management levels?
- senior management?
- departmental management?

EP HSE
13-May-02
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DOCUMENTS
3.1.3.7
1
Documentation - HSE
MS Manual
Documentation - HSE MS Manual
Are there HSE procedures available in the company and the

organistional units within the company?
3.1.3.7
1
3.1.3.7
Is there a corporate HSE-MS Manual for management? (paper,

CDROM or controlled web site)
- Is the HSE MS for the project / department or unit descriubed in
a an HSE-MS Manual?
- Does it cover all 8 elements in detail?
- Are shortfalls in the HSE-MS identified and is an action plan for
rectification in place?
3.1.3.7
assessment level
1
assessment level
assessment level
Is the HSE MS Manual substantially complete?

- Has the environmental part of the HSE-MS it describes been
certified to conform with ISO 14001?
Does the documentation adequately and separately cover the

standards for:
- Occupational health?
- Safety?
- Environment?
How does the company seek to influence developing or emerging

legislation?
3.1.3.7
1
Is the HSE-MS Manual complete, maintained up to date and

subjected to continuous improvement?

EP HSE
13-May-02
assessment level
Page 35
DOCUMENTS
3.1.3.8
1
Documentation - HSE
Case
Documentation - HSE Case
Have all sites requiring HSE Cases been identified?

- Is the basis for their selection available?
- Is there a resourced plan in place for their development?
3.1.3.8
1
3.1.3.8
Are HSE Cases complete for all required locations and activities?
- Do these HSE Cases demonstrate how all relevant risks are
managed to *ALARP?
- Are HSE Cases endorsed by those managing the asset or
operation and senior management?
assessment level
assessment level
* risks with a consequence of 5A, 4B, 3C, 2D or higher on the risk

matrix (EP 95-0100).
Does the HSE Case document all the significant hazards and
potential risks of the activity /site / facility?
HSE Case Checklist: Is there a brief summary statement of the

objectives of preparing the Case, eg to meet legislation, to assure
that risks are reduced to ALARP, to demonstrate HSE risk
management, etc?
Is the Case specific to the facility / operation/ vessel?
Has ownership of the Case been defined?
Has responsibility for maintenance of the Case been defined?

- Is there a defined time period for revalidation?
Does the Case adequately describe the HSE-MS as implemented

for the facilitiy/ operation/ vessel?
In particular, is the "Evaluation and Risk Management Process"

adequately documented and in compliance with the Company HSE
MS?
- Does this process cover the elements of hazard identification,
threat and consequence identification, risk assessment and
necessary controls?

EP HSE
13-May-02
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DOCUMENTS
3.1.3.8
Documentation - HSE
Case
Does the Case have an Activity Catalogue?

- Are activities "HSE critical" or only "Hazardous"?
- Have the responsible party for the Activities and Tasks been
clearly defined?
- Has this responsible party signed the activity sheet?
Does the Case have an adequate description of the Operation,

focusing on HSE considerations?
Does the Operations description make reference to all the systems

required by contractual or regulatory requirements to be inspected
by either regulator or third party certifying authority, e.g. cranes,
pressure vessels, and relief systems?
Does the Case have a Hazard and Effects Register?

- Have the risks associated with "Major" Hazards been
demonstrated to be ALARP?
- Are all Occupational H, S and E Hazards and Effects adequately
covered?
- Are Hazards and Effects systematically assessed i.e. on a risk
matrix after the implementation of controls?
Have control tasks defined on the Hazard Sheets been assigned to

individual positions?
- Via the Activity Catalogue?
- Via Job Descriptions?
- Via special listings given to staff?
- Via work procedures?
Is the wording of control tasks specific and self-explanatory?

- Are staff aware of these tasks?
- How does management verify execution of these tasks?
Does the Case reference HSE-critical Procedures?
Does the Case refer to the Workplace Hazard Management

system(s) in place: PTW, Tag-out/Lock-out procedures, JSA's,
Does the Case have a Manual of Permitted Operations (MOPO)?
Is there a HSE Case remedial action plan?

- Has the line taken ownership of this plan?
- Is the remedial action plan dated?
- Is there documented evidence of progress made versus this plan?
Is there a signed and dated Statement of Fitness for the Case?

- Is the date sufficiently recent (i.e. relevant to the current
operation)?

EP HSE
13-May-02
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DOCUMENTS
3.1.3.8
Documentation - HSE
Case
Is there an "Interface Document" or "Bridging ocument" (Project

Plan or other) in place to describe the interface between the
Company and Contractor HSE-MS's?
- Does this include the Emergency response Plan?
Has all legislation applicable to the operations been identified and

summarised?
- Does the summary contain an overview of practical implications?
- Is this summary well disseminated/accessible (in Company and

2
Are HSE legislation and permits documented/registered

documents?
- Do these include local, national and international (where accords
are signed or promulgated) documents?
3.1.3.8
1
Do Contractors document how all hazards and effects are managed

on their contract?
- Can Contractors demonstrate that major risks are reduced to
*ALARP?
- Are the Interfaces between company and contractor systems
defined?
assessment level
* risks with a consequence of 5A, 4B, 3C, 2D or higher on the risk

matrix (EP 95-0100)?
3
Are relevant staff made aware of the HSE Case? For example by:
- By participation in its development?
- Workshop at start of Project?
- Handout of relevant abstracts to all personnel?
- Handout of their tasks from the Case?
3.1.3.8
assessment level
Is each HSE Case including those of contractors up to date?

- Are the interface documents up to date?
- Do these documents reflect current practice on the location or
activity?
- Are HSE Cases reviewed as per cycle specified in the Case?
Is there a defined Review Process of the Case, notably the Hazard

Register?

EP HSE
13-May-02
Page 38
DOCUMENTS
3.1.3.8
Documentation - HSE
Case
Are HSE cases reviewed in addition to the stated frequency? For

example:
- Before major modifications to the facility?
- After an unsatisfactory HSE Audit?
- Prior to start of new seismic and drilling projects?
How is Contractor awareness of changes in e.g. legal requirements

maintained?
- Contractor's own responsibility?
- Information provided by Company?

EP HSE
13-May-02
Page 39
4. HAZARD AND EFFECTS MANAGEMENT
3.1.4.1
1
3.1.4.1
Identification
Identification
Are the techniques for hazard & effects identification adopted by

the company documented?
- Are these techniques known by those employees responsible for
their use?
3.1.4.1
Identification
assessment level
assessment level
Are appropriate techniques such as Health Risk Assessment

(HRA), Environmental Assessment (EA) and HAZOP used on all
facilities and operations, new projects, acquisitions and
divestments?
Are the results documented in an inventory of hazards and effects?
Has the company systematically identified and documented the

HSE hazards and effects, which may affect or arise from its
operations? Does this cover:
- H,S and E
- Initial and routine plant start-up?
- Preventative, break-down and shut-down maintenance?
- Online and intrusive equipment inspection?
If not for done for all operations, has the specific activity audited
been subjected to HRA, EA, HIA, SIA, HAZID / HAZOP?
- Are these reviews stand alone or part of the HSE Case?
3.1.4.1
Identification
assessment level
Is there a listing of "residual risks" of operations or failure of

control systems of operations that could have the following
potential results:
- Fire?
- Explosion?
- Spillage?
- Toxic emission?
- Death/injury?
- Civil unrest?
Is there a comprehensive inventory of HSE hazards and effects has

been documented for all units within the company.?
Is there a listing of identified HSE hazards and risks resulting from

operating the audited facility or executing the audited activity?

EP HSE
13-May-02
Page 40
3.1.4.1
1
3.1.4.1
Identification
Identification
Is there a process for updating the hazards and effects listing as a

result of changes to the operation or findings e.g. job hazard
analyses, inspections or incident analyses?

EP HSE
13-May-02
assessment level
Page 41
3.1.4.2
3.1.4.2
Assessment
Assessment
assessment level
Have hazard and effects assessments been carried out as part of

new projects, acquisitions, divestments and major modifications?
Do HSE assessments form an integral part of any proposal for

acquisition, divestment, abandonment or merger of business
entities?
- Are business risks, related to HSE, assessed in joint ventures that
3.1.4.2
Assessment
assessment level
Have hazards and effects assessments been carried out for all
operations and assets, (includes workplace hazards).?
- Has the risk or significance of these been classified using the risk
matrix or equivalent and endorsed by management?
Have incidents and potential other HSE emergency situations

including those arising from the following been considered while
assessing the HSE risks:
- Product / material containment failures e.g.:
- fuel storage sites?
- flowline and pipeline transport?
- process equipment?
- fuel loading or transfer?
- Soil and/or ground water contamination?
- Waste storage or shipping of disposal failures?
- Emergency Shutdown System (ESD) failures?
- Lifting equipment failures?
- Helicopter crashes?
- Structural failure?
- Climatic, geophysical and other external natural events?
- Sabotage and breaches of security?
- Human factors including breakdown in the use of HSE-MS
procedures?
3.1.4.2
Assessment
assessment level
Do the assessments include health, safety and the environment

including impact on third parties?
- Do the assessment for environmental effects satisfy ISO 14001
requirements?
Is there a requirement for an EA before approval of any new or

changed facility, process, or activity?

EP HSE
13-May-02
Page 42
3.1.4.2
Assessment
Does the Environmental Assessment (EA) process and document

include:
- Stakeholder consultation?
- Assess the need for a Social Impact Assessment (SIA)?
- Assess the need for a Health Impact Assessment (HIA)?
- Relevant environmental legislation?
- A well defined project scope?
- Discussion on alternative methods / designs and alternatives?
- Environmental information relevant to the project scope?
- The impacts of the project?
- The required mitigation measures of the impacts?
- An Environmental Management Plan (EMP) ?
- does the EMP address monitoring, audits and reinstatement?
Are there adequate procedures in place to evaluate (assess) HSE

risks resulting from identified hazards and effects against
consistent screening criteria?
Do the risk screening criteria differentiate between being:

- Tolerable?
- Intolerable i.e. additional controls and measures are to be
implemented?
Do the risk screening criteria take into account probabilities of

occurrence and severity of consequences for:
- People (staff and public) w.r.t. health and safety?
- Environment?
- Assets?
- Company reputation
Are EAs carried out routinely for all new projects? Do they cover
all life cycle stages:
- Seismic
- Drilling
- Engineering
- Development
- Construction
- Operation
- Abandonment
At what stages in the project is the EA process initiated?

- Is the EA completed and approved before start of operations
/construction?
- Who is involved in preparing and reviewing EAs?
What is the operational view of the value of EAs?

EP HSE
13-May-02
Page 43
3.1.4.2
3.1.4.2
Assessment
Assessment
assessment level
Are the hazard and effects assessments kept up to date and

modified when circumstances change as part of the change control
procedure?
Are the original assumptions made in the hazard and effect

identification process reviewed to determine if they still apply?

EP HSE
13-May-02
Page 44
3.1.4.3
3.1.4.3
Controls - and
ownership.
Controls - and ownership.
assessment level
Have the controls and persons responsible for managing the

controls been identified for known risks?
Are there risks which have been identified as intolerable?

- Have adequate measures been defined and applied to reduce these
to tolerable levels?
Have risk reduction measures been defined for all HSE risks?
- Are these measures adequate? - do they suitably aim for risk
management at ALARP?
3.1.4.3
assessment level
Can each 'significant' risk (including those in the workplace) be

demonstrably linked to a set of controls either preventative and/or
recovery?
- Is the quality of the controls commensurate with the risks?
How is waste management addressed in design e.g.

- Reduction at source as a prime objective in new design?
- Provision of treatment facilities e.g. aqueous effluents?
- Minimisation of gaseous emissions?
How does engineering:

- Ensures it knows of latest environmental technology?
- Incorporate alternative options and environmental cost / benefits?
During the design of the facility, service or pipeline, were the

following considered:- Location selection to minimise environmental impact?
- Occupational health and ergonomic impact?
- Separation of process equipment from personnel?
- On-line monitoring of emissions and effluents?
- Disposal facilities?
- Bulk versus packaged handling of raw chemicals?
- Minimisation of ignition sources?
- Structural integrity?
- Leak detection and shutdown?
- Soil protection and ground water monitoring?
- Emergency response and lifesaving requirements?
Are adequate controls, procedures or facilities available to manage

the risks?

EP HSE
13-May-02
Page 45
3.1.4.3
3.1.4.3
Controls - and
ownership.
assessment level
Are all controls for known risks and hazards assigned to

responsible parties?
- Are performance measurements defined for the maintenance of
the controls?
Is there a regular monitoring program in place for hazards and

effect and their associated risks?
Within the context of environmental protection:

- How is energy conservation / efficiency addressed?
- How is the necessity to phase out Halons addressed?
Are adequate controls in place to manage the HSE risks within the
levels defined as tolerable?
Are residual HSE risks being effectively managed to ALARP?
Do supervisors and workers understand their responsibilities for

HSE Critical Activities?
3.1.4.3
assessment level
Have controls been revised as a result of changes, improvements

and more demanding targets e.g. in terms of waste, discharges,
emissions, conservation and as appropriate, establishment of
community devlopment projects?
Is the operation / facility regularly being audited to verify that its

risk management procedures are being adhered to?
- How often and by whom?
- Are the results documented?
Are the residual hazard management requirements satisfied in

practice?
Is the effectiveness of risk management regularly monitored and

reviewed?

EP HSE
13-May-02
Page 46
3.1.4.4
1
Performance in maintaining controls
Is actual performance in undertaking HSE-critical activities

documented and trended against the performance activity
indicators set?
3.1.4.4
1
Are performance indicators available for all HSE-critical activities

(e.g. for testing systems, emergency response times, procedures,
training effectiveness)?
- Are these included or referenced in the HSE Case and assigned to
individuals?
3.1.4.4
1
Performance in
maintaining controls
The means of measuring performance in the maintenance of critical

HSE controls are defined and documented?
3.1.4.4
1
3.1.4.4
Is performance against activity indicators used in staff appraisal

and rewarded accordingly?

EP HSE
13-May-02
assessment level
1
assessment level
assessment level
assessment level
Page 47
3.1.4.5
1
Recovery
Recovery
Are all personnel familiar with their roles in control and recovery
procedures?
- Recovery procedures are regularly tested?
- Records are available to demonstrate that these procedures are in
place and performing satisfactorily under test?
3.1.4.5
1
Recovery
Are the procedures in Level 1 referenced in the HSE MS and or

HSE Case(s) together with those responsible for updating,
implementing and checking implementation of the procedures?
3.1.4.5
1
Recovery
Are recovery procedures available in the company for general

emergency and contingency planning and for managing the
consequences of any failure to control hazards and effects?
3.1.4.5
1
3.1.4.5
Recovery
Are the control and recovery procedures updated and their

implementation improved as a result of drills and practical
experience from both inside and outside the company?

EP HSE
13-May-02
assessment level
assessment level
assessment level
assessment level
Page 48
3.1.4.6
1
3.1.4.6
Recording
Recording
Does the HSE-MS describe the procedures used in the analyses of

hazard and effects in the company.
3.1.4.6
Recording
assessment level
1
assessment level
Are all hazards and effects analyses described or referenced in the

HSE Case demonstrating that the selected option is ALARP?
- Are the controls in place to reduce risks to ALARP?
- Are all shortfalls identified in the remedial action plan?
Is there documented evidence of the consistent application of risk

reduction measures to reduce risk beyond the levels already
defined as tolerable e.g.:
- Additional procedures?
- Additional hardware?
- Additional manpower?
3.1.4.6
Recording
assessment level
Do documents exists which describe all those activities which must

be discontinued or restricted in given circumstances (MOPO)?
- Are these documents based on HSE risk?
- Are they understood by all supervisors responsible for
operational decisions?
Does the Operations Manual clearly define process limits in terms

of:
- Pressures?
- Temperatures?
- Fluid characteristics?
- Flow rates?
Are activities which must be discontinued or restricted in certain

circumstances fully documented? (MOPO)
Have the limits of the original facilities design envelopes ( e.g..

MOPO) been communicated to staff?
3.1.4.6
1
Recording
Is the HEMP documentation updated to reflect the actual

situation?
- Do all controls described in the analysis reflect existing practice
and any identified shortfalls?

EP HSE
13-May-02
assessment level
Page 49
5. PLANNING AND PROCEDURES
3.1.5.1
1
3.1.5.1
HSE Plan
HSE Plan
Is there a Corporate HSE Plan which includes one and five year
performance targets?
3.1.5.1
HSE Plan
assessment level
1
assessment level
Has an overall company HSE Plan been developed to meet

continuous improvement targets?
- Has a strategy been developed to close the gaps in the HSE
management system?
Do the corporate HSE plans clearly define the strategies, targets

and time tables required to meet the corporate HSE objectives and
targets, including those in the longer term?
- Do strategies address closing identified gaps in the HSE
management system?
Are the plans realistic and achievable?

- What % of targets were achieved in last reporting period
Have the corporate HSE plans and objectives been formulated

through input by appropriate levels of the organisation and/or
other input sources?
Does the HSE department provide guidance on preparing and

monitoring of departmental action plans?
3.1.5.1
HSE Plan
assessment level
Have HSE improvement plans been developed in the different

units with resources, accountable parties and target dates.?
- Do these HSE plans align with the overall documented Corporate
HSE Plan and Business Plan?
- Does the Corporate HSE Plan reflect the resources required?
Are the HSE Plan tasks and targets SMART (simple, measurable,
achievable, realistic, time-based)?
Are subordinates held accountable for progress against plans and

targets?
Does the appropriate management level review departmental HSE

plans?
- For appropriateness of contents (eg. against corporate targets,
etc.)?
- For progress against plans and action items?
- How is this documented?

EP HSE
13-May-02
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3.1.5.1
1
3.1.5.1
HSE Plan
HSE Plan
Do strategies to improve company HSE performance in the longer

term form part of the overall business plan.
- Are targets are published externally annually?

EP HSE
13-May-02
assessment level
Page 51
3.1.5.2
3.1.5.2
Asset Integrity
Asset Integrity
assessment level
Are there operations ref. plans under development for some or all
assets?
- Are structured hazard review techniques performed for new
processes only?
- Is risk management focuses on mitigation?
- Are P & IDs and equip.t registers being developed or updated?
Are responsibilities for technical integrity of facilities or

equipment defined?
- Setting of standards?
- Technical validation of standards?
- Verification of compliance with standards?
- Authorisations of deviations (change control)?
Is asset custodianship clearly defined?
3.1.5.2
Asset Integrity
assessment level
Are operations personnel are involved in hazard reviews in

accordance with company guidelines?
- Are P& ID and hazardous area drawings are held current?
Is the change management process adhered to?
Are responsibilities for technical integrity of facilities or

equipment known by staff?
Does the asset custodian have appropriate authority levels?
Have maintenance and inspections plans been agreed with the asset
custodian?
3.1.5.2
1
Asset Integrity
Are structured review hazard analyses complete for all processes?
assessment level
- Have operations personnel participated in the development of

worst case incident scenarios for emergency planning purposes?
3
Is the asset custodian aware of equipment overdue for inspection?
Is there visible evidence that facility production/activity plans are

formulated around technical integrity and safety related activities?

EP HSE
13-May-02
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3.1.5.2
Asset Integrity
Is work pre-planned and job hazards consciously recognised?

- Does this include journeys planned and optional modes of
transport considered?
Are priorities maintained and resources balanced when additional

projects are introduced?
3.1.5.2
1
Asset Integrity
Have all recommendations arising from hazard analyses and

reviews have been resolved?
- Are employees involved in a process of ongoing review and
improvement of asset integrity?

EP HSE
13-May-02
assessment level
Page 53
3.1.5.3
3.1.5.3
Procedures & work

instructions
Procedures & work instructions
assessment level
Do HSE standards and procedures exist?

- Are they known to supervisors but are they inconsistently
applied and enforced?
- Are the HSE standard sand procedures documents written
primarily by HSE personnel or consultants with little or no
employee involvement?
Are there rules and procedures:?

- Do they identify possible hazards?
- Do they refer to governing legislation?
- Are they controlled documents?
- Understandable for target audience?
- Have users been involved in the preparation?
- Are they available at the right level?
- Have staff been adequately briefed on or trained in their use?
Are there specific procedures to cover simultaneous activities such

as:
- Production and drilling?
- Production and construction / commissioning?
- Production and maintenance?
- Seismic / hazardous areas?
For those areas of operation which are covered by HSE legislation.
For those areas of operation which are covered by HSE legislation:
Are written HSE procedures supplemented with worksite

instructional signs?
- Security, access control?
- Emergency Plans
- Hazardous area classification?
- Control of combustible material?
- PPE to be worn?
3.1.5.3
1
Are the HSE standards and procedures consistently applied?

- Do HSE or consultant personnel develop these with employee
input.?

EP HSE
13-May-02
assessment level
Page 54
3.1.5.3
Procedures & work

instructions
Are there rules and procedures for HSE critical activities and
locations?
- Are they consistent with higher level documentation?
- Consistent and up-to-date with on-site conditions?
- Fit-for-purpose?
Is a permit to work (PTW) system in place?

- Who is the process custodian?
- Are there sufficient supervisory staff nominated to authorise a
permit?
- Are staff trained in the use of the PTW?
- Is a document available instructing in the use of the PTW?
- Are the PTWs examined before being authorised?
- Is the PTW process audited regularly?
- Is there any system of review of the use of the PTW system?
Is there a list of work for which a PTW is required?

- Are there general definitions as to which permits are necessary
when?
Do the following work permits exist?

- Hot work
- Electrical isolation
- Use of explosives
- Work at height above 2m
- Manriding (drilling rig manriding winches only)
- Entry to vessels
- Mechanical isolation
- Valve lock out
- Radiation permit
- Excavation
- Diving
- Heavy lifting
Are procedures in place in place to control operation and

maintenance of the following:
- PSV isolation valves?
- Vent/relief header valves?
- Locking systems?
- Castell/Sempell locks?
- CAR seals?
- ESD valve by-passes?
- Process drains?

EP HSE
13-May-02
Page 55
3.1.5.3
Procedures & work

instructions
Are procedures in place to control and maintenance for

instrumentation?
- Alarm and trip overrides?
- Fire & gas detection and logic systems?
- Trip setpoint changes?
- Control setpoint changes (including gain, etc.)?
Are there procedures for isolation and de-isolation of equipment

and vessels?
- Spade and valve listings for individual jobs?
- Purging air from systems prior to start-up?
- Purging hydrocarbons from system?
- Gas and oxygen testing?
Is the use of Breathing Apparatus equipment procedurised?

- Are all jobs listed which require the use of BA equipment?
- Is there a sufficient number of staff trained and authorised to use
BA equipment?
- Is regular maintenance of BA being covered?
Does the materials purchasing procedure make specific reference to

HSE related controls?
- HSE information (MSDS) is obtained from suppliers?
- HSE specifications are included in the purchase orders?
Does the materials purchasing procedures make specific reference:
- Composition and hazardous properties are required?

- Records be maintained of quantities of hazardous substances
purchased?
2
Does the materials storage procedures reference:

- bunded, impervious area storage for chemicals in sacks and/or
drums?
- Availability of materials data sheets locally at storage
sites/stores?
Does the materials storage procedures reference:

- Surplus stock management for hazardous materials?
- Secondary use or scrapping of used drums and containers?
Are there waste management procedures?

- Do the procedures include prevention, reduction, re-use,
recycling and recovery?

EP HSE
13-May-02
Page 56
3.1.5.3
Procedures & work

instructions
Do the waste management procedures adequately cover all

operations e.g.:
- Seismic?
- Drilling and workover?
- Production?
- Procurement and logistics?
- Engineering and construction?
- Accommodation /camps and catering?
Are the procedures related to accurate waste inventories?

- How is this information recorded?
- How often is the information updated?
- How are new waste streams identified and included?
Does the procedure specify requirements for waste segregation?
Is there a separate waste disposal procedure?

- Are the waste disposal facilities operated by the company or by
contractors?
Do the disposal facilities operating procedures specifically address

environmental aspects of .:
- Soil contamination?
- Burning of waste?
- Ground water pollution?
Are the procedures specific on allowable volumes, qualitative

limits and standards and what to do if a limit or standard is
Is there a robust and seamless system for executing Daily Orders?
- How are these handled at change of shifts?

3
Have the rules and procedures been distributed and communicated

to relevant employees and contractors?
Are the PTW requirements known to all the work force &
supervisors?
- Who physically checks that precautions have been taken before
work?
- Who personally briefs the men doing the job before work starts?
When in use, where are PTWs displayed?

- How is a permit adapted if scope of job changes in the middle?
- How does one establish when a job is finished?
- How long are permits stored?
How is a permit arranged in an emergency, such as during the

EP HSE
13-May-02
Page 57
3.1.5.3
Procedures & work

instructions
Is equipment assessed pre procurement to ensure compliance with

company standards:
- Materials specification?
- Instrumentation standards used e.g. redundancy, standardisation?
- Coatings?
3
Do operators (Company and Contractor) know the procedures

relevant to their job?
- How did they get this knowledge?
- Have they read the procedures themselves?
Are the Design and Equipment HSE Standards and Specifications

complied with?
Are the general HSE rules and procedures complied with

- Vehicle standards
- Seat belt usage
- Wearing of PPE?
- Control of combustible materials?
- Chemicals handling?
- Office and worksite security?
- Alcohol and drugs?
Are facility and activity specific HSE instructions and procedures

complied with ?
- Permit to Work procedures?
- Work procedures?
- Night driving limitations?
Is there any evidence of non-compliance, if so at what level or

interface?
- How is non-compliance dealt with?
- Are the rules for compliance with procedures equally applied to
all staff?
What is the operating procedure for the particular job that they are
doing at this very moment?
- How did they find out what the procedure was?
- Are they following it exactly?
- How do they know this?
Do they know the checks to make before e.g.:

- Using lifting equipment?
- How do they get to know about a new procedure?
- Have they been involved in writing new procedures?

EP HSE
13-May-02
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3.1.5.3
3.1.5.3
Procedures & work

instructions
assessment level
Is there a defined process for the development and review of HSE

standards and procedures?
- Does this process include employee involvement?
- Are Shell /OU DEP's consistently applied?
- Is there a documented process for updating Shell /OU DEP's?
Is there a documented process for the development and review of

HSE standards and procedures?
Is there a written procedure for handling refusal to work situations:
- How confident do the employees feel themselves with?

- Clarity of the procedure?
3
For those areas of operation which are covered by HSE legislation:
- Who is responsible for initiating changes to meet new legislation?

3
What do operators (Company and Contractor) think of their

procedures:
- Useful, accurate and practical?
- Are parts of the procedure unnecessary?
- Have they ever been asked to review, comment on existing or
new procedures?
Have there been occasions where the workforce had to deviate

from the procedures?
- How do they know when they are allowed to this?
- Are variances subject to a control procedure?
Who checks to make sure that the workforce is aware of the

procedures and understand them?
- How often does this happen?
3.1.5.3
1
Is there evidence that in addition to outside the formal review

cycle, modifications to standards and procedures have been
initiated by operations personnel?
- Have they ever been consulted for improvements of procedures?

EP HSE
13-May-02
assessment level
Page 59
3.1.5.3
Procedures & work

instructions
Can operators and maintainers initiate change or modification to

procedures and work instructions?
- who is authorised to approve changes?
- is there prompt response to operator/maintainer requests for
change?

EP HSE
13-May-02
Page 60
3.1.5.4
3.1.5.4
Contingency planning
and External Planning
Contingency planning and External Planning
assessment level
Are the relevant external emergency organisations unfamiliar with

the operational hazards in the company?
- Does the company emergency plan not define the incident
command structure and the relationship with these external
agencies?
Are there written plans and procedures for dealing with reported
emergencies, hazards or environmental effects?
- Crisis Management Plan?
- Emergency Response Plan (ERP?
- major fire and/or explosion?
- loss of containment and/or spillage?
- injury?
- death?
- civil unrest?
- Oil Spill Response Plan?
3.1.5.4
1
Is there a clear command structure for dealing with the various

types of emergencies?
- Are responsibilities of staff involved well defined?
- Is the incident command structure identified?
- Are regulatory emergency response requirements met?
- Is a comprehensive emergency response plan under development.
assessment level
- Are external emergency agencies familiar with operational hazards

in the company?
2
Is there a Corporate Crisis Management Team?

- Is there an Emergency Response Adviser?
- is this person a member of the Corporate Crisis Management
Team?
Are the Contingency plans and procedures current and in

possession of those on the distribution list?
Do the contractors have their own emergency response plans and

procedures?
- Are these in accordance with contractual requirements?

EP HSE
13-May-02
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3.1.5.4
Have key personnel participated in the development of worst case

incident scenarios?
- Are those involved in executing these plans familiar with the
plans/procedures?
- What is or has been the role of the HSE Department in
formulating these plans?
What are the experiences of Duty Personnel responding to

emergency calls?
- During normal office hours?
- Outside normal office hours?
Specifically for spill response, are contractors on call or

identified to provide assistance.
Do Medevac Plans comply with maximum responses times:

- Tier 1: 4 min - life saving first aid
- Tier 2: 20 min - fully trained & certified first aider
- Tier 3: 60 minutes - Paramedic, site doctor
- Tier 4: 4 hours specialist/hospital doctor
(These times should be tested during the audit if records do not

confirm them.)
3
When contractors rely on company resources to respond to own

emergencies:
- Is the contractor fully familiar with the possibilities and
limitations of the company emergency response resources?
- Has the contractor identified and managed the gaps?
Is the frequency of each type of exercise adequate?

- Has there been coverage by table top exercises, worksite
exercises (with full involvement of emergency response resources
and deployment of equipment)
- Real emergencies?
3.1.5.4
1
Is there a comprehensive tiered emergency response plan which is

integrated with individual site plans as appropriate?
- Are competencies defined in the plan and assured?
- Do drills include testing the co-ordination between sites?

EP HSE
13-May-02
assessment level
Page 62
3.1.5.4
Is guidance available on:

- Emergency plans?
- Training for firefighting teams, first-aiders, spill containment and
clean up, etc.?
- Emergency drills and exercises?
- Personal Protective Equipment?
- Addressing complaints and public concerns?
Is there a Duty System of trained Duty Personnel?

- Are there alternatives in case of unavailability?
- Have competencies been defined and assurance systems put in
place?
Is there a programme to co-ordinate with outside agencies?

- Fire departments/police?
- Local hospitals?
- Environmental departments?
- Contractors?
Is there a formal company or departmental schedule for ERP

excercises:
- Is the schedule being complied with?
- What percentage of planned exercises was actually carried out in
the last year?
Is there a formal feedback loop to improve the existing plans,

procedures, systems and hardware?
Are the emergency response team members familiar with their

duties and responsibilities?
How are updates to emergency response plans and procedures

documentation managed?
- Who is focal point for amendments?
- Who approves amendments?
- How are names and telephone numbers kept up to date?
Have all emergency response plans, procedures, systems,

hardware and organisations been tested with dry runs, work site
exercises or real emergency events?
- How are response to the exercises and real events reviewed?
- How often are emergency communications systems tested?

EP HSE
13-May-02
Page 63
3.1.5.4
3.1.5.4
assessment level
Are drills conducted with third parties and agencies according to a

plan?
- Are improvements incorporated and checked?
- Are external agencies and communities familiar with site hazards
and emergency response plans?
Are third parties, agencies and contractors involved in the review

process of exercises and real events?

EP HSE
13-May-02
Page 64
6. IMPLEMENTATION AND MONITORING
3.1.6.1
3.1.6.1
Performance Monitoring
assessment level
Are the means of measuring performance in the maintenance of

critical HSE controls defined and documented?
Is the HSE management system is being introduced but

measurements which show that activities are being performed
satisfactorily are not yet available?
3.1.6.1
assessment level
Are performance measurements relating to 'results' (LTIs,

emissions etc.) collected?
- Have locations completed the first review assessment of the
implementation of their HSE-MS?
Are all SIEP internally and externally reported performance

measures of Company and Contractors being fully collected and
collated ?
How reliable and comprehensive are the performance measures?

- Are definitions and calculation methods consistent with
EP95-0325 guide?
- Are definitions known and understood by both the contributors
and collators?
Are all Company and Contractor vehicle accidents recorded (also

those with minor damage)?
- Are all Company and Contractor Sub-Contractors vehicle vehicle
kilometres driven while engaged on Company business recorded?
3.1.6.1
assessment level
Are locations beginning to develop performance indicators to

measure the elements and procedures of the HSE MS?
Is there routine monitoring of emissions and / or effluents?
Are measures in place within the Company for all elements of

HSE-MS development?
- HSE-MS development progress against plan
- Completion of HSE-MS remedial actions against plan
- HSE-Case development progress against plan
Are all SIEP internally and externally reported performance

measures of Company and Contractors systematically recorded,
assured and verified within the Company?

EP HSE
13-May-02
Page 65
3.1.6.1
Are (sub-)contractors required to maintain and report HSE

performance?
- Are contractor HSE statistics included in the overall company
statistics?
- Is there a guideline defining contractors excluded from HSE
statistics?
Are there inspections/checks for:

- Electrical equipment e.g. condition of fixtures, wiring, grounds
and connections?
- Mechanical equipment e.g. condition of power transmission,
machine guarding?
- Walking and working surfaces e.g. condition of guarding,
cleanliness?
- Compressed gas cylinders e.g. segregation, protection and
restraints?
- Flammable materials e.g. storage, ventilation and working
supply?
- Exits and escape routes e.g. marking, visibility, lighting and
unobstructed access?
- Deluge showers and eye baths e.g. water flow, temperature and
drainage?
- Personal Protective Equipment?
- Scrap, and waste e.g. accumulation, removal, storage and
disposal?
- Aisles and storage stacks e.g. accessibility, marking, dimensions?
- Chemicals e.g. location, segregation, stability, damage,

protection?
- Tag-out and lock-out e.g. adequacy, and use of tags and lock-out
devices?
- Points of discharge e.g. measurement devices, control to specified
3
Are individual Company locations, asset areas and Contractor sites

using a consistent sub set of the Company HSE-MS performance
measures?
How often does the contract holder review the contractors HSE
performance?
How and how often are comparisons made with HSE performance
of other sections, companies, sectors?
- Inside same country?
- Outside same country but within Group?

EP HSE
13-May-02
Page 66
3.1.6.1
Do supervisors carry out regular inspections?

- How often?
- What do they look for?
- Are check lists used
- Is there any guidance on the subject?
- What reports are generated and who gets them?
3.1.6.1
assessment level
Are numerical performance indicators and targets used to measure

the implementation of the elements and procedures of the HSE
MS?
- Are numerical performance indicators and targets included in
employee appraisal?
Do line supervisors actively support and participate in Unsafe Act

Auditing with focus on people first and equipment second?

EP HSE
13-May-02
Page 67
3.1.6.2
3.1.6.2
Records
Records
assessment level
Is the monitoring system for health, environmental and safety

performance driven mainly by legislation?
- Are health programs developing?
Are all reportable Company, Contractor and Sub-contractor

injuries recorded?
3.1.6.2
Records
assessment level
Have tasks been identified where exposure assessments should be

made?
- Have significant effects been identified where environmental
measurements should be taken?
Is contractor's HSE performance recorded and used within the

Companys
- Contractor registration system?
- Who does this analysis and how often is this done?
Is there a list of outstanding HSE action items and their status?

- Who keeps track
- Are closed out items reported on, or do they just disappear?
- How and how often is management informed of the action status?
When was the last visit by the off-site supervisor / manager?:

- Supervisor at base?
- Department head?
- Are the results discussed with operators?
With the latest supervisory inspection report at hand, visit the

inspected site/operation with the particular supervisor and review:
- The gaps in the checks,

3.1.6.2
1
Records
Are records for most health, environmental and safety

measurements available in the company?

EP HSE
13-May-02
assessment level
Page 68
3.1.6.2
Records
Are the following Health indcators being measured and reported:

- Smoking rate?
- Noise exposure frequency?
- Exposure toxic chemicals
- Sickness absenteeism?
- Occupational Illness Performance Indicators?
- Total Recordable (Occupational) Illness Frequency?
- Lost-Time (Occupational) Illness Frequency?
Are the following HSE-MS indcators being measured and reported:
- Progress against plans and/or targets?

- Effectiveness of HSE initiatives
- Number of training courses?
- Achieving HSE milestones ?
- Number of audits?
2
Are the following Safety indcators being measured and reported:

- Unsafe Act Audits and results?
- Lost Time Injury Frequency?
- Total Recordable Case Frequency?
- Ratio of TRCF to LTIF?
- Vehicle accidents?
- Number of km driven?
- Near misses?
- Number of "first-aid and other minor injuries"?
- Material Losses?
- Compliance with HSE legislation?
Are the following Environment indcators being measured and

reported:
- Spillages and product cross-overs?
Is Near Miss and Unsafe Acts analysis effectively used for

improvement?
- Properly analysed?
- Conclusions drawn and actioned?
3.1.6.2
1
Records
Are records for health*, environmental and safety measurements

available on locations?
- Are trends openly discussed as part of improvement plans.?
assessment level
* confidentiality requirements permitting.

EP HSE
13-May-02
Page 69
3.1.6.3
3.1.6.3
Non compliance &

corrective Action
Non compliance & corrective Action
assessment level
Are the procedures which describe what must be done in the event
of non compliance with legislation, procedures and standards
known?
Is there a formal guideline for:

- Handling violators of HSE rules?
- Commendation of those who demonstrate consistent compliance?
3.1.6.3
assessment level
Few variances are recorded and the procedure for approving

variance is ill defined or impractical.
Do supervisors and line managers feel empowered to take

disciplinary action for repeat offenders?
- do they exercise these powers?
Is there any evidence of formal action taken against repeat

offenders of compliance requirements?
3.1.6.3
assessment level
Is there a documented system for variance control of HSE critical

procedures and standards?
- Is the system known by those responsible for following
procedures and standards?
- Are there records for variances at all locations and projects?
Are HSE non-compliance by Contractors reflected both in contract

close-out reports and in the Companys Contractor registration
system?
Do line supervisors verify and reward compliance with

procedures, PTW, PPE requirements, etc.?
Does line supervision take appropriate action against

non-compliance?
Are all staff (Company and (sub-) Contractors) familiar with

applicable legislation and the practical consequences?
- Are they familiar with the penalties for non-compliance?
Have there been any cases of disciplinary action against repeat

offenders of compliance requirements?

EP HSE
13-May-02
Page 70
3.1.6.3
1
3.1.6.3
Non compliance &

corrective Action
Do employees anticipate any potential need to deviate from

standards and procedures?
- Do they allow sufficient time to consider alternatives?
- Do they if necessary obtain the appropriate authorisations for
the variance?

EP HSE
13-May-02
assessment level
Page 71
3.1.6.4
1
3.1.6.4
Incident Reporting &

follow up.
Incident Reporting & follow up.
Are significant high profile incidents investigated?

- Are these investigations undertaken directly by HSE personnel?
assessment level
- Are the investigation findings only disseminated locally?

- Is the remedial action poorly tracked?
2
Are fatalities reported to the Service Companies within 24 hours?
- Are high potential incidents details distributed appropriately

within 24 hours?
3
Is there any evidence that there is a blame culture?

- Throughout the organisation?
- At selected locations/parts of the organisation only?
3.1.6.4
assessment level
Are there procedures for reporting and investigating incidents?

- Do both HSE personnel and supervisors undertake
investigations?
- Is there a documented process for tracking recommendations?
Is there an adequate HSE incident reporting and investigation

procedure?
- Does it define what constitutes a reportable HSE
accident/incident?
- Uses standard reporting forms/reports?
Are there clear guidelines for appointing the incident/accident

investigation team leader and team members?
- Do the cover the competency and training requirements of team
members?
- Do these guidelines separately cover:
- fatality?
- lost time injury?
- vehicle accident?
- fire, explosion or other material damage?
- potential for any of the above outcomes?
- when is at-the-scene participation of senior management
required?

EP HSE
13-May-02
Page 72
3.1.6.4

follow up.
Are all incidents/accidents to be reported:

- First-aid injuries?
- Occupational illness?
- Property damage?
- Chemical and oil spills?
- Fires and/or explosions?
- Third party?
- Near misses?
How are repetitive or significant items of damage or loss identified

by the system?
- Do maintenance records identify accidental damages?
- How often are property damage rates communicated to
management?
What verification system do line supervisors have in place to

ensure that they are told of all incidents/accidents?
- Checks of first-aid register for injuries not formally reported?
- Is there any evidence that incidents/accidents are not reported?
Are incident reports/investigations seen to assist accident

prevention?
Are all incidents and accidents being reported?
Are contractor staff involved?

- Because the incident/accident occurred in their own sphere?
- Because they possess relevant experience to assist in other
investigations?
Is the HSE department routinely involved in either participating or

supporting incident investigation by the Line?
Who decides to initiate a formal incident/accident

investigation/report?
- Who decides how injuries are classified - as MTC, RWC or LTI?
- line management?
- Senior Management?
3
Does the Line and/or Site Supervisor always see the investigation
report before it is published?
- Does he/she always agree with it?
- How are his/her doubts communicated:
- to the Line Department?
- to the HSE Department?

EP HSE
13-May-02
Page 73
3.1.6.4

follow up.
Are the incident/accident investigation guidelines complied with?

- Incidents that need to be reported to national authorities, etc.?
- Are deadlines for reporting given and adhered to?
How are sub-contractor accidents reported?

- How and by whom are they investigated?
- who leads the team?
- are sub-contractor staff involved?
- Does the sub-contractor Supervisor always see the report before
it is published?
Is there evidence of constructive follow-up by the
What features of reported incidents are analysed:

- Frequency?
- Probability of recurrence?
- Potential loss?
- Causes.
3.1.6.4
assessment level
Is the reporting and investigation process well understood?

- Is the reporting and investigation process also applied to high
potential near misses?
- Are supervisors trained in incident investigation?
- Do supervisors direct investigations which include employee
participation?
- Are lessons learned disseminated?
Are there clear guidelines that incident investigations must include

review of relevant parts of the HSE Case, and that conclusions and
actions must be fed back into the HSE Case?
Do the gudelines cover the Immediate reporting to management of

accidents/incidents which:
- Are politically sensitive e.g. third parties involvement?
- Require immediate, company wide dissemination for lateral
learning?
Is the reporting and investigation also applied to high potential

near misses?
Are Accident Trees (e.g. TRIPOD) used during incident/accident

investigations?

EP HSE
13-May-02
Page 74
3.1.6.4

follow up.
Is there a structured system involving different tiers in both the

Company and Contractor that analyse occupational
injuries/illnesses?
- Frequency and severity of injuries/illnesses?
Do incident analyses identify immediate and causes in relation to:
- HSE-MS (training, supervision, etc.)?

- Environmental factors?
- Defective equipment, or facilities?
- Inadequate work procedures?
3
Are line supervisors proactive in analysing HSE

accidents/incidents and disseminating lessons learned to staff?
- By note and/or personal briefing?
Are the procedures of incident reporting and investigations

distributed to all relevant levels?
- All company supervisory staff?
- All contractors and sub-contracting supervisory staff?
Is the reporting and investigation process well understood?

- Have the Supervisors been trained in incident investigation?
When does management discuss HSE accidents/incidents?

- Are these discussions minuted?
How often are incidents and incident rates discussed?

- What kind of information do they get?
- relating to their own part of the organisation?
- relating to other parts of the organisation?
3.1.6.4
1
Are investigation findings documented and addressed in a timely

manner?
- Are accountabilities assigned and tracked to closure?
- Is all information stored and retrievable?
- Do employees suggest improvements to the process?

EP HSE
13-May-02
assessment level
Page 75
3.1.6.5
1
3.1.6.5
Change Control
Change Control
Are the changes to approved plans (cost time, resources) approved

"one level up", and only formally documented and approved when
required by financial controls?
3.1.6.5
Change Control
assessment level
assessment level
Is there a change control procedure?
Is there a system for management of controlled HSE

documentation in the company?
Are there procedures for execution of change modification work?

- Who supervises change modification work?
- What is the procedure for the work request?
3.1.6.5
Change Control
assessment level
Are there several change control procedures (corporate, BU/asset,

projects)?
- Is the scope of each change control procedure clearly defined?
- Do the procedures document evaluation, approval and the
responsibilities and competencies of those involved?
Are custodians for each HSE document appointed?
Do documents require formal approval by specialist staff and

management prior to:
- Initial issue?
- Issue of revision?
Are fixed review periods defined for every document?

- How frequent are these reviews?
- Are the prescribed review periods being complied with?
Are Line Managers appointed as "Owner/holder" for every

document?
Are authorised change control procedures available on site, are

they comprehensive enough and are they (including any waiver
procedures) being applied?
Do the change control procedures adequately cover:

- Changes in design or material?
- Changes in working techniques?
- Changes in consumables (e.g. welding rods)?
- Waivers of specifications?

EP HSE
13-May-02
Page 76
3.1.6.5
Change Control
How are changes implemented?

- Are there meetings?
- are minutes available?
Are there documented procedures for managing change of staff and

organisation?
Are there adequate, documented procedures for managing change

for:
- Company and work procedures?
- Legislation?
- how are changes in legislation identified?
Is it formally documented who can authorise deviations from a

rule, standards and procedures?
- Is this documented separately for:
- engineering standards?
- general HSE rules?
- activity and site specific HSE instructions and procedures?
Do the change procedures specify:

- Authority levels for approval of changes and modifications?
- Communication required to inform the relevant organisations and
staff?
- Documentation procedures to be adhered to?
Are changes to the hardware, operating procedures or legislation

incorporated in the HSE-MS?
Do the change procedures specify:

- Authority levels for approval of changes and modifications?
- Communication required to inform relevant organisations and
staff?
- Documentation procedures to be adhered to?
Is the variance procedure to allow deviations from standards

available onsite?
- Does it require involvement of sufficiently senior management?
- How is the input of each specialist discipline ensured?
- What is the involvement of the HSE department?
Has Line management taken full ownership of their particular HSE

related documents?
Are current HSE related documents available at all key locations?

- Can staff easily access documents?

EP HSE
13-May-02
Page 77
3.1.6.5
Change Control
Prior to allowing staff to take full responsibilities of activities

within their sphere of influence:
- Is their HSE competence assessed for successfully handling their
new job?
- is a remedial training plan formulated where deficiencies are
observed?
At what organisational level can these deviations be authorised?

- how are the deviations and authorisation thereof recorded?
- are these records ever audited?
Are the supervisors fully familiar with the company variance

procedure?
- Are the procedures followed?
3.1.6.5
Change Control
assessment level
Do the change control procedures include the requirement for

comparative analysis and documentation of the HSE impact of
IMPLEMENTING the change as well as the HSE impact of the
IMPLEMENTED change.
- Are there records of this being done?
Is there a system in place for monitoring compliance with

documents?
Were change proposals appropriately vetted during the review

process and the HSE cases and procedures subsequently updated?
Have all completed changes been included as appropriate in the

HSE Case and/or procedures?

EP HSE
13-May-02
Page 78
7. AUDIT
3.1.7.1
1
3.1.7.1
Audit plan
Audit plan
Are Audits mainly focused on hardware and housekeeping?

- Are the audits conducted mostly by HSE personnel?
- Are regulatory audits conducted?
3.1.7.1
Audit plan
assessment level
assessment level
Is the auditing plan and process documented?

- Is checklist and compliance auditing being performed?
- Is there a follow up system in place?
- Are supervisors involved in auditing?
What is a typical age of outstanding action items?
How are follow-up system (database) issues handled by the

on-site system?
3.1.7.1
Audit plan
assessment level
Is the audit process defined and implemented?

- Are supervisors take ownership of audit process?
- Does the audit process involve employees and independent
parties?
- Are audit recommendations documented and tracked to closure?
Is there a documented HSE audit process, consistent with

EP95-0130, to verify effectiveness of the HSE Management
Does the HSE audit process specify standards in terms of:

- Responsibilities?
- Team composition?
- Location?
- Frequency?
- Method?
- Follow-up?
Is there an integrated corporate audit plan, which covers HSE

audits for the full range of company facilities and activities?

EP HSE
13-May-02
Page 79
7. AUDIT
3.1.7.1
Audit plan
Do the audit plans cover:

- HSE management audits?
- HSE departmental audits?
- Cross-departmental HSE audits?
- Contractor HSE audits?
- Occupational health audits?
- Waste management audits?
- Restoration and recovery audits
What are the typical audit frequencies for:

- Integrated HSE audits?
- Separate H, S and E audits?
- Are the HSE audits carried out at the planned frequency?
- if not, what is the actual frequency?
Are Contractors required to have a corporate audit system

implemented irrespective of contractual requirements?
- Regular/major contractors?
- All contractors?
Is there an Internal Audit Committee or Department?

- Do they regularly review and approve the audit plan?
- Are there minutes kept of IAC meetings?
Are asset integrity issues with an HSE impact adequately covered?
Are there corporate environmental audits?

By qualified persons?
Are standard audit questionnaires provided for use by auditors?
Is there a structured, time based programme for departmental

audits, covering company as well as contractor facilities and
Do departmental HSE plans reflect corporate plans regarding

auditing e.g.:
- Number and types of audits to be conducted?
- Audit schedules?
- Are the HSE audits carried out at the planned frequency?
Are pre-start operational audits systematically carried out?

- Fully covering H, S and E?
- Do they adequately cover all areas of the operation?
Is there a single Company follow-up system (database) for all

audit types?
Do managers and supervisors take ownership of audit process

which involves employees and independent parties?

EP HSE
13-May-02
Page 80
7. AUDIT
3.1.7.1
Audit plan
Do Health apects of audits cover:

- chemical agents, including caustic, corrosive and toxic; labels,
storage, disposal, clean up?
- engineering and procedural controls, including ventilation of toxic
fumes, vapours, mists, smoke, gases and dust?
- Noise exposure; measurement and controls?
- Temperature extremes; measurement and controls?
- Hazardous substances; ?
- Biological agents, surveys and controls?
- Health surveillance?
- Illumination; surveys and controls?
- PPE; selection, placement and compliance?
- Ergonomics; surveys and controls?
- Living environment and life-style health hazards?
Do environmental aspects of audits cover:

- External environmental protection; evaluations and actions?
- Chemical storage and containment?
- Waste treatment, storage and inventories?
- Waste reporting to authorities?
- Environmental effects monitoring?
- Purchasing (toxicity) controls?
- Site rehabilitation success?
What internal and external HSE audits have been done in the past?
- Was the frequency fixed? By whom?

- Who took part?
- wide cross-section of the work force?
- staff from outside the location/section?
3
How is the effectiveness of HSE auditing verified?
Can audit follow-up be seen to be effective?
Is responsibility for follow-up firmly established in the line?

- What is the role of the HSE department in the follow-up?
3.1.7.1
1
Audit plan
Is the audit programme fully implemented?

- Does the skilled auditor base include HSE personnel, supervisors
and employees?
- Is conformance with ISO 14001 externally certified?
- Have past audit recommendations arising from serious findings
been resolved?

EP HSE
13-May-02
assessment level
Page 81
7. AUDIT
3.1.7.1
Audit plan
Is there a system of Unsafe Act Auditing in place?

- What training/instruction have people received in UAA?
- Do staff understand the difference with UA reporting?
- Does the system adequately cover all areas of the operation?
Is there an effective system for lateral application of audit

recommendations?
Is the defined audit process fully implemented?
Is the audit structure, plan and execution audited at appropriate

times by independent auditing?

EP HSE
13-May-02
Page 82
7. AUDIT
3.1.7.2
1
3.1.7.2
Competency
Competency
Does the Company uses mainly unqualified and/or inexperienced

resources for HSE audits?
3.1.7.2
Competency
assessment level
1
assessment level
Do HSE personnel involved in audits first undergo formal HSE

audit training?
- Is there is a process of describing the required competency for
auditors?
How are HSE auditors trained?

- Technical competence?
- HSE competence?
- Auditing skills?
Does Company have access to and only use qualified, experienced

personnel for HSE audits?
3.1.7.2
1
Do personnel in other parts of the organisation as well as the HSE

or audit department undergo HSE audit training and competency
development?
3.1.7.2
1
Competency
Competency
Has company access to, and only uses, qualified, experienced

personnel with high credibility to perform HSE audits?

EP HSE
13-May-02
assessment level
assessment level
Page 83
7. AUDIT
3.1.7.3
1
3.1.7.3
Contractor
Contractor
Do regular contractors have formal internal HSE audits on their

operations?
3.1.7.3
Contractor
assessment level
1
assessment level
Do regular contractors provide senior personnel to participate in

company led integrated HSE audits of the operations contracted to
them?
How are follow-up system (database) issues handled in the

Contractor's Corporate system?
3.1.7.3
Contractor
assessment level
Do regular Contractors have an HSE audit process and audit

schedule?
- Is it implemented irrespective of contractual requirements?
- Does the audit schedule include audits carried out by independent
auditors?
Are Contractor internal audit reports made available to Company?
Does the contractor operation have a system of Cross-audits in

place?
- Are these audits properly documented?
- Are checklists available for such auditing?
Are subcontractors audited by the main contractor?

- Who verifies the follow-up of the action items?
- Are reports available?
How often is contractor's work audited for unsafe acts and

conditions?
By whom?
Does senior (corporate or country management) management carry

out audits?
- Are checklists used?
- Are these audits documented?
3.1.7.3
1
Contractor
Do all Contractors have a formal system of corporate audits?

- Is it implemented irrespective of contractual requirements?
- Are independent audits included?

EP HSE
13-May-02
assessment level
Page 84
8. MANAGEMENT REVIEW
3.1.8.1
3.1.8.1
General
General
assessment level
Are modifications to the HSE management system only instigated

and followed up by senior management when shortcomings have
been highlighted as a result of incidents or failure to meet targets or
regulatory requirements?
Does management review incident investigations?

- Is this formalised?
- Do management analyse incidents for underlying causes?
- Are recommendations to prevent recurrence endorsed by
management?
3.1.8.1
1
General
Have the management reviews of the HSE Management System(s)

that have taken place been done in an adhoc manner and are not
well documented?
3.1.8.1
General
assessment level
assessment level
Is there a defined process for formal and regular review of the HSE
management system?
Is there a regular and formal review of the effectiveness of the

company HSE-MS?
- Is the review interval at least annual?
- Who is the focal point for the review?
- Are all the management team involved in the review process?
- Are reviews documented?
Are recommendations from audits, inspections and reviews

incorporated in the overall HSE-MS review?
- Is effective action taken on outstanding issues from audits and
inspections?
- Can this be verified from the documentation?
Does the Contractor have a corporate or regional review system?

- Reviewing the HSE-MS?
- Reviewing progress against (major) audits?
- Reviewing progress against objectives and targets?
Are Contractor HSE-MS reviews documented and disseminated to

Country Management or Site Management?
- Are site personnel informed of relevant issues (performance
against targets, etc.)?

EP HSE
13-May-02
Page 85
8. MANAGEMENT REVIEW
3.1.8.1
General
Do the Department and Line managers regularly review:

- Minutes of subordinates' HSE meetings, incident investigation
reports, audit
reports?
- is progress on follow up monitored and stimulated?
- what are steps taken to ensure lateral learning?
Does management regularly review consequences of legal

developments and other external developments?
3.1.8.1
1
General
Have Senior management reviewed the effectiveness of the HSE

MS following a defined process and implemented the conclusions?
assessment level
- Did the review take into account changes in risk exposure,

stakeholders, the business environment and performance?
2
Has there been a focal point appointed for follow-up of the

Management review of the HSE-MS?
- Has a plan been put in place for follow-up of review action
items?
- Has there been progress made in the follow-up process?
Are changes in risk exposure, stakeholder perception, business

environment or performance taken into account in the review?

EP HSE
13-May-02
Page 86

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EP HSE

HSE-MS Audit Questions

Do leaders communicate HSE expectations to employees reporting

Do leaders discuss and review with employees and contractors

Are there regular management HSE statements demonstrating

Is there sufficient visible demonstration of commitment to HSE at

Is there a clear message that everyone is responsible for managing

In visibly demonstrating their commitment to HSE, do line

Who is responsible for management inspection follow-up?

1 top level q, 2 system / documentation , 3 verification / interview or physical check q

1. LEADERSHIP AND COMMITMENT

In visibly demonstrating their commitment to HSE, do managers

Is there an active HSE dialogue between company and contractor

Do line supervisors communicate company HSE objectives and

Does the workforce think that line supervision consider HSE

Do leaders actively participate in HSE activities such as training,

Is there an effective management inspections programme, covering

Does the management inspection team include:

Is there feedback to the contractor management?

Is there visible demonstration of commitment to HSE at different

Do managment attend HSE meetings/conferences outside

1 top level q, 2 system / documentation , 3 verification / interview or physical check q

1. LEADERSHIP AND COMMITMENT

In visibly demonstrating their commitment to HSE, do managers

Do senior management participate in work site visits and

Do line supervisors conduct regular HSE visits, inspections and

During visits/inspections/audits, are activities ever stopped

How frequently do Senior management and Department heads

During management site visits and inpections:

What is the general status of follow-up on management inspections

Does Contractor Corporate and Country Management carry out

1 top level q, 2 system / documentation , 3 verification / interview or physical check q

1. LEADERSHIP AND COMMITMENT

Do leaders drive the process for HSE excellence?

Is there structured and repeated management HSE communication

Do management issue HSE communications to highlight to

Do managers at all levels ensure that decisions/practices are

Have management provided a culture in which staff and

1 top level q, 2 system / documentation , 3 verification / interview or physical check q

1. LEADERSHIP AND COMMITMENT

Proactive in target setting

Do leaders participate in the review of reactive indicators i.e.

Are investigations of serious incidents led by Managers of an

Proactive in target setting

Do leaders participate in the development of objectives and target

Proactive in target setting

Do leaders jointly develop and discuss and review HSE targets,

Do managers require HSE plans from their subordinates and

Does management review corporate performance against objectives

Proactive in target setting

Have line supervisors received/set specific HSE tasks and targets

How and how often is progress versus targets reviewed?

1 top level q, 2 system / documentation , 3 verification / interview or physical check q

1. LEADERSHIP AND COMMITMENT

Are leaders not convinced that the systematic management of HSE

Do leaders review the progress both in the development and the

Do senior management hold subordinates accountable for

Do managers stimulate full recognition of HSE risks across the

Do managers actively support consistent application and/or

Has management provided an effective structure and sufficient

Does the Chief Executive chair the Management HSE Committee?

- Are the meetings held at a minimum quarterly frequency?

Do the workforce see management and line supervision taking

Do line supervisors enforce formal and on-the-job training and