Developing A SMS For A Petroleum or Geothermal Energy Operation

Developing a safety management system (SMS) for a petroleum
or geothermal energy operation guide
August 2012
Level 1, 303 Sevenoaks Street (cnr Grose Ave), Cannington WA 6107

Postal address: Mineral House, 100 Plain Street, East Perth WA 6004
Telephone: (08) 9358 8002 Facsimile: (08) 9358 8000
ResourcesSafety@dmp.wa.gov.au
Contents
1 Introduction ................................................................................................................ 3
2 Risk assessment and safety manual ........................................................................ 4
2.1
General requirements .................................................................................................................4
2.1
Overview of the facility ...............................................................................................................4
2.2
Health, safety and environment policy statement ...................................................................4
2.3
Organisational chart, structure and responsibilities ..............................................................5
2.4
Employee selection, competency and training arrangements ..............................................5
2.5
Consultation and communication of safety issues and involvement of employees ...........5
2.6
Specify all principal Australian and international standards to apply ..................................5
2.7
Hazard identification, risk assessment and control ................................................................6
2.8
Materials handling and storage .................................................................................................6
2.9
Independent third-party inspection and certification .............................................................6
2.10
Structural integrity, plant and equipment maintenance and inspection and repair
procedure ....................................................................................................................................7
2.11
Emergency preparation ..............................................................................................................7
2.12
Hazardous area classification and control of ignition sources .............................................7
2.13
Management of change process defined in policy or procedure ..........................................7
2.14
Incident management and reporting.........................................................................................8
2.15
Monitoring, audits and review, and record keeping ................................................................8
2.16
Camp standard and operation ...................................................................................................8
2.17
Plans and drawings showing the geographical location and layout ....................................8
3 Emergency response manual ................................................................................... 9

3.1
Emergency plan and incident procedure .................................................................................9
3.2
Relevant emergency response manual or diagram ................................................................9
3.3
Emergency response .................................................................................................................10
3.4
Emergency equipment ...............................................................................................................10
3.5
Medical emergency .....................................................................................................................10
3.6
Emergency drills .........................................................................................................................10
3.7
Emergency drill audit or review ................................................................................................10
3.8
Emergency training ....................................................................................................................10
4 Bridging document .................................................................................................... 11

4.1
Project overview .........................................................................................................................11
4.2
Organisation and responsibility ................................................................................................11
4.3
Communication and reporting ..................................................................................................11
4.4
Activities and responsibilities ...................................................................................................11
4.5
Health and safety information ...................................................................................................11
4.6
Hazard or risk and incidents ......................................................................................................12
Developing an SMS for a petroleum or geothermal energy operation
Page 1 of 55
4.7
Emergency response .................................................................................................................12
5 Evaluating an SMS ..................................................................................................... 13

Overview ..................................................................................................................................................13
Considerations ........................................................................................................................................13
6 Evaluating an emergency response plan................................................................. 42

Introductory notes ..................................................................................................................................42
Overview ..................................................................................................................................................42
Considerations ........................................................................................................................................42
7 Evaluating bridging and SIMOPS documents ......................................................... 50

Overview ..................................................................................................................................................50
Considerations ........................................................................................................................................50
Page 2 of 55
Introduction
An operator or licensee wishing to conduct petroleum or geothermal energy operations in Western

Australia must apply to the Petroleum Division of the Department of Mines and Petroleum for approval or
consent to conduct activities before engaging in an operation. Part of this application is the submission of
a safety management system (SMS) in a form acceptable to the Minister.
The applicable legislation for the SMS is:
Petroleum and Geothermal Energy Resources (Management of Safety) Regulations
Petroleum and Geothermal Energy Resources (Occupational Safety and Health) Regulations.
The SMS documentation must address the elements of:
overview of the operation and location (i.e. facility description)
risk assessment to identify critical risk factors (or other term to define the focus on major risks)
safety procedures to address control measures
emergency response
inclusion of contractors and other non-employees in the items above.
The SMS generally comprises two parts:
a safety manual
an emergency response manual.
Where there is more than one party involved (e.g. operator and contractor or contractors), a bridging
document or simultaneous operation (SIMOP) document, or both, may be required to supplement the
safety management systems (SMSs) of the operator and any contractors. These documents link the
SMSs for the various parties to ensure there are no conflicts between the operators policies, procedures
and objectives and those of its contractors. They address the interface process between the operator
and its contractors safety and emergency response manuals by demonstrating that:
decision-making, command and communication arrangements are clear to all involved parties for
normal operational activities and emergencies
site-specific hazards will be managed
potential incidents will have an appropriate and efficient response.
Other documents such as those for simultaneous operations (SIMOPS) may also be required when
multiple SMSs are in use at one location.
The content of the documents submitted by an operator will:
be commensurate with the size and scope of the project
be in a form acceptable to the determining authority
demonstrate that the safety management and emergency response systems in place are appropriate
to eliminate or reduce to as low as reasonably practicable (ALARP) the risk of a incident.
The guidance provided here aligns with the legislation and may assist the operator to address the
requirements for SMS acceptance by the minister. However, integrity, safety and health matters remain
the responsibility of the operator at all times, and the relevant legislation and risk assessments should be
considered to ensure that, as far as reasonably practicable, operators can demonstrate that they have
fulfilled their duties and obligations, and complied with the relevant requirements.
This guide includes checklists that the operator may find useful when preparing the SMS documentation,
emergency response plan, and bridging or SIMOPS documents for a large-scale operation or project.
These evaluation tools are also available as Word documents on the Resources Safety website.
Note: Further information on managing an assets integrity is available in Resources Safetys guide on
evaluation of asset integrity management system (AIMS).
Page 3 of 55
2
2.1
Risk assessment and safety manual

General requirements
The operator needs to provide a brief overview of who was involved in the preparation of the risk
assessment document, how the risk assessment was conducted, and how the document will be made
available for inspection upon request by the determining authority.
Regulation 11 of the Petroleum and Geothermal Energy Resources (Management of Safety) Regulations
2010 outlines the requirements for the conduct and documentation of the risk assessment, while
regulation 18 specifically states that the risk assessment document has been prepared in consultation
with employees and records details of the consultation.
Note: Guidance on risk management is available in Australian Standard AS/NZS ISO 31000:2009 Risk
management Principles and guidelines.
The information provided to address this requirement in the SMS documentation should assure the
determining authority that a rigorous assessment has been conducted and any tools or methods adopted
are appropriate to the nature of the business and the facility or operation.
Some considerations in addressing risk assessment are listed below.
What tools have been used to identify hazards relating to the operation?
How many employees and others were involved in the risk assessment process, and what is their
distribution?
Is the process a rigorous assessment? Have both on-site and off-site risks been considered?
What assumptions were made during the process?
Have the key hazards been identified and listed, and are they addressed adequately in the SMS
documentation?
Where additional hazards have been identified and dismissed, is the process of elimination logical
and practicable?
The information included in the SMS documentation submitted for acceptance must demonstrate that:
a risk assessment appropriate to the type of facility has been conducted
the hazards related to any activity that could cause a major incident have been identified
risk control measures have or will be implemented to either eliminate the hazard or reduce the risk to
ALARP.
2.2
Overview of the facility
A brief summary on the background of the operation and facility description provides the context for the
information provided in the SMS document submitted for acceptance.
2.3
Safety, health and environment policy statement
The operator should establish, maintain and monitor measurable and achievable safety and health
objectives, plans and standards consistent with the project, facility or operations safety and health
policy. A comprehensive safety, health and environmental policy should address the following:
drug and alcohol policy
environment description
site meteorological conditions
geotechnical matters.
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2.4
Organisational chart, structure and responsibilities
The document should include the organisation chart, structure and responsibilities for the operator and
any contractors and subcontractors, including office and site personnel.
The operator needs to demonstrate a commitment to achieve a high standard of safety and health in the
organisation through the development of effective safety and health policies supported by appropriate
organisational structures, positive behaviours of individual managers, and promotion of a cooperative
effort at each level in the organisation.
2.5
Employee selection, competency and training arrangements
Some considerations in describing employee selection, competency and training arrangements are listed
below.
How are employees chosen? Is a cross-section consulted?
What are the competency and training arrangements?
What is the safety and health policy for the organisation?
What are the recruitment policies and procedures?
How are employees and visitors inducted?
What is the process for determining the currency of certification for key positions (e.g. well control)?
2.6
Consultation and communication of safety issues and involvement of

employees
List details of the policies and procedures that address consultation and communication of safety and
health issues and the involvement of employees, such as:
safety meetings, pre-starts or pre-spuds
training schedules and/or matrices
work instructions
job descriptions and competencies
risk assessment workshops
development and ongoing review and maintenance of the SMS
operational policies and procedures.
2.7
Specify all principal Australian and international standards to apply
2010 requires the operator to specify the principal standards that apply in relation to the operation and
related plant.
Examples of the standards that may apply are listed below.
Australian Standards
Risk assessment AS/NZS ISO 31000:2009 Risk management Principles and guidelines
Classification of hazardous area AS/NZS 60079.10.1:2009 Explosive atmospheres Classification of

areas Explosive gas atmospheres
Documentation AS ISO 10013:2003 Guidelines for quality management system documentation
Electrical safety AS/NZS 3000:2007 Electrical installations (known as the Australian/New Zealand
Wiring Rules)
Page 5 of 55
International Standards American Petroleum Institute (API) Recommended Practice (RP)
Blowout preventers (BOPs) API RP 53 Blowout prevention equipment systems for drilling operations,
54 Recommended practice for occupational safety for oil and gas well drilling and servicing
operations, and API RP 59 Recommended practice for well control operations
Diverter systems API RP 64 Diverter systems equipment and operations and API RP 59
Recommended practice for well control operations
2.8
Hazard identification, risk assessment and control
The operator needs to demonstrate there is an effective system for reporting and investigating hazards
and incidents, and establish measures to prevent recurrences.
Some considerations in addressing this requirement are:
hazard register
site hazard observation
health monitoring
well control procedure
standard operating procedures (SOPs)
permit to work (PTW) system
job hazard safety analysis (JHSA)
arrangements for safe workplace environment, such as housekeeping, noise, lighting, signage and
personal protective equipment (PPE).
2.9
Materials handling and storage
The operator is required to demonstrate that hazards associated with facilities and work activities are
controlled, and arrangements are in place for responding to emergencies.
Some considerations in addressing this matter:
availability and location of material safety data sheets (MSDSs)
hazardous materials register
chemicals and fuel inventories.
2.10
Independent third-party inspection and certification
Prior to work starting on an operation (e.g. construction of a facility), third-party validation may be
requested to demonstrate that the design is appropriate for the operation, fit for purpose, and hazards
and risk are ALARP.
Prior to an operation commencing, third-party validation may be requested to demonstrate that the as
built did not deviate from the design criteria.
With respect to drill rigs, Regulation 21 of the Petroleum and Geothermal Energy Resources
(Management of Safety) Regulations 2010 requires drilling and associated equipment last used either
outside of the State, or to be used for the first time in the State, to be inspected by a suitably qualified
and competent independent person, and thereafter every two years prior to drilling a well.
Page 6 of 55
2.11
Structural integrity, plant and equipment maintenance and inspection and

repair procedure
2010 requires procedures to ensure plant and equipment are properly maintained, kept in good
condition, are free from damage or defect, and fit for purpose.
Some considerations in addressing this requirement are:
registration
certification
inspection
testing (with particular attention to BOPs for drilling operations)
structural integrity management plans
corrosion inspection management plans (e.g. intelligent pigging or ultrasonic testing)
maintenance management plans (e.g. planned or risk-based inspections).
2.12
Emergency preparation
Considerations in addressing emergency preparation include:
fire and gas detection and alarm systems
chemical and oil spill containment
emergency assembly points and evacuation locations
emergency power, communication and lighting
first aid providers
medical treatment facilities
isolation and controlled and uncontrolled emergency shut-down systems and plans.
2.13
Hazardous area classification and control of ignition sources
For hazardous area classification and control of ignition sources, consider items such as:
stored fuels and compressed gases
stored liquids and solids
explosives
radioactive materials
medical supplies that fall under poisons category
hazardous substances storage facilities
hazardous zone ratings to AS/NZ 60079.10.1:2009.
2.14
Management of change process defined in policy or procedure
The operator should ensure changes and modifications are reviewed for their effect on hazards and risk
prior to implementation, and information on change requirements is communicated to relevant personnel
and stakeholders. Mechanisms for achieving this include:
pre-start meetings
safety meetings
Page 7 of 55
notice boards
standard operating procedures (SOPs).
2.15
Incident management and reporting
Regulations 42 to 46 of the Petroleum and Geothermal Energy Resources (Management of Safety)

Regulations 2010 cover incident management and reporting of incidents and dangerous occurrences.
Information about the Department of Mines and Petroleums reporting process is available at
www.dmp.wa.gov.au/6729.aspx and www.dmp.wa.gov.au/899.aspx
2.16
Monitoring, audits and review, and record keeping
Monitoring, audit and review, and record keeping considerations include:
audit schedule
performance review
registers or closeouts
arrangements for records retention for five years
access and availability of records.
2.17
Camp standard and operation
Matters to address regarding camp standard and operation include:
camp layout
location
management
hygiene
facilities.
2.18
Plans and drawings showing the geographical location and layout
Plans and drawings should show:
drill rig or site location
accommodation camp
hazardous zone area ratings
hazardous materials storage
entry and exits
access (e.g. closest roads, airstrips).
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3
3.1
Emergency response manual

Emergency plan and incident procedure
To mitigate the effects of all identified potential emergencies (e.g. fire, explosion, well control and oil
spill), the emergency plan and incident procedure must be accessible to all site personnel.
Regulations 23 to 25 of the Petroleum and Geothermal Energy Resources (Management of Safety)
Regulations 2010 require a response plan designed to deal with potential emergencies, including items
such as:
emergency response procedures
oil spill response plan
cyclone contingency plan
H2S release response plan
crisis management plan
chain of command in reporting and action taken
training
drills or exercises
emergency communication systems
backup power supply
alarm systems
isolation and emergency shut-down systems
access to external emergency agencies, facilities and medical treatment.
3.2
Relevant emergency response manual or diagram
The emergency response manual or accompanying diagram should show at least the following locations:
well site or rig
camp accommodation
entry, exit and access
first aid or medical treatment room
office of the person in charge or command
emergency shut-down locations
primary and secondary muster points
oil spill kits
emergency equipment (e.g. extinguishers, stretchers, alarms, windsock).
Page 9 of 55
3.3
Emergency response
The operator should implement effective emergency response arrangements for the project, including:
emergency procedures
site personnel duties and responsibilities in the event of an emergency
lines of communication
chain-of-command hierarchy or crisis management plan.
3.4
Emergency equipment
Emergency equipment considerations include:
adequacy (e.g. fire extinguishers, alarms, spill kits, emergency shut-down, isolation equipment)
maintenance
testing procedure
location of emergency equipment.
3.5
Medical emergency
Considerations in addressing medical emergencies include:
site medical facility or equipment
inventory of first aid or prescription medicines
access to medical records
location, contact numbers and access to external medical facilities.
3.6
Emergency drills
Emergency drills should consider:
alarm type
drill frequency
type (e.g. man down, fire, H2S release)
drills relevant to identified major accident event.
3.7
Emergency drill audit or review
Some considerations in addressing emergency drill audit or review are:
audit frequency
improvement or lessons learned
close out.
3.8
Emergency training
Considerations in addressing emergency training include:
competent personal for medical treatment (e.g. number, type)
emergency drills and equipment (e.g. number, location, type)
induction of on-site and off-site personnel, and visitors to site.
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Bridging document
The bridging document must address the overlap between the operator and any contractors safety and
emergency response manuals.
4.1
Project overview
The project overview in the bridging document should include:
project description
location
facility descriptions and operational sequence
participants (i.e. who is involved in developing, checking and approving the documentation; all parties
should be represented).
4.2
Organisation and responsibility
Some considerations in addressing the overlap of organisation and responsibility are:
roles
hierarchy or chain of command
responsibilities.
4.3
Communication and reporting
Communication and reporting considerations include:
external or internal
office or site
safety, health and environmental incidents and dangerous occurrences
frequency of liaison with person in charge or command (e.g. production facility or drilling operations).
4.4
Activities and responsibilities
When addressing activities and responsibilities in the bridging document, considerations include:
project planning
third-party equipment
drilling operations
PTW system
supply of PPE
certification, testing and maintenance.
4.5
Safety and health information
Some considerations in addressing the overlap of safety and health information include:
distribution of information
safety meetings
inductions (e.g. operators, contractors, visitors).
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4.6
Hazard or risk and incidents
The bridging document should cover the following aspects for hazards or risks and incidents:
control
reporting
investigation
corrective actions.
4.7
Emergency response
When addressing emergency response in the bridging document, include matters such as:
roles
hierarchy or chain of command
responsibilities
potential emergencies with mitigation measures
crisis management plan.
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Evaluating an SMS
Overview
Documentation is ...
Y/N
Comments
Y/N
Comments
(N/A - not applicable)
Easy to read format and layout clear

Quick to reference check reference several aspects at random
Concise clear and to the point
Minimal narrative use of bullet points in checklists; use of
tables and flowcharts in preference to wordy explanations
Considerations
SMS evaluation considerations
1
Document control and preface
1.1
Document control register
1.2
Table of document name, document number, edition,

version and date issued
1.3
Distribution list
1.4
Revision procedure
Contents
2.1
Plan structure diagram format
2.2
Table of contents
2.3
List of figures, charts and tables
Introduction
3.1
Purpose
3.2
Scope
3.2.1
Integration with National plans
3.2.2
Integration with State plans
3.2.3
Integration with other company plans
3.3
Objectives
3.4
Priorities
3.5
Location details
3.5.1
Location map, coordinates and distances or

times table
3.5.2
Area map and details
Page 13 of 55

4
General
4.1
The SMS addresses the following main elements as a

minimum:
facility description and facility overview
emergency response plan
risk assessment
4.2
The SMS describes duties, responsibilities, authorities and

accountabilities with respect to its development and
implementation
4.3
The SMS details the safety accountabilities and how they

fit within the organisational structure
4.4
The relationships between the documentation comprising

the SMS are adequately defined
4.5
The SMS references applicable State legislative

requirements
4.6
The SMS lists all key statutory approvals, consents and

notifications required for drilling
4.7
The SMS references applicable standards, codes and

guidelines and integrates these into the plan
4.8
All reference material titles are identified in a designated

section of the SMS and, where appropriate, the reference
materials are made available for project personnel to view
4.9
The SMS demonstrates that any future development or

activities that may occur can be addressed
4.10
The SMS demonstrates that all personnel have access to

relevant legislation
4.11
The SMS demonstrates that all personnel have an

adequate understanding of their legal responsibilities and
requirements
4.12
The SMS incorporates or links to a quality management

system as a mechanism for assisting in meeting the SMS
standards
4.13
The SMS demonstrates that integrity will be maintained

and the asset will remain fit for purpose
Facility description
5.1
General
5.1.1
Y/N
Comments
The facility is sufficiently described to allow a

clear understanding of the purpose of the asset
and its activities, and includes the following
sections as a minimum:
project background or description
key parties and responsibilities
physical controls in place to ensure that

identified risks are managed to as low as
reasonably practicable (ALARP)
Page 14 of 55
5.2
5.1.2
Where an application for approval to drill has

been established, the approval has been
identified and included with SMS submission
5.1.3
The facility description covers:
geographical location and a location plan
key crossings
environment description
flora and fauna
site meteorological conditions
geotechnical
interaction with existing facilities
construction staffing philosophy and

arrangements
travel and access arrangements
physical controls to mitigate drilling

operational risks
5.1.4
An overview of key plant and equipment is

provided
5.1.5
The following site or rig and campsite service

utilities and provisions are described:
lighting
water
fuel supply
power
communications
site security
office and control rooms
storage and handling areas
Y/N
Comments
Primary functions
5.2.1
5.2.2
Site preparation:
separation distances are adequate
material storage is appropriate
the site is secure
noise is controlled
Electrical:
electrical handheld and portable equipment

is protected by a residual current device
(RCD)
electrical devices are regularly inspected,

tested and tagged by an authorised person
Page 15 of 55

5.2.3
5.3
Comments
System controls:
control and safety devices are installed in

accordance with manufacturer requirements
and engineering standards
controls are established in the event of

emergency
Hazardous substances and inventories

5.3.1
5.3.2
5.4
Y/N
The hazardous inventories section covers, if

applicable:
corrosion inhibitors
coatings
stored fuels and compressed gases
stored liquids and solids
radioactive materials (e.g. naturally occurring

radioactive material or NORM)
blasting components
medical supplies that fall under the poisons

category
other substances
overview of hazardous substances storage

facilities
Material safety data sheets (MSDSs) are

referenced in the SMS
Safety features and systems

5.4.1
5.4.2
The description of the safety features and

systems contains the design philosophy,
including:
when and how safety features and systems

are activated in an emergency, and from
where
required performance criteria in an

emergency
safety system performance standards
The description includes:
gas detection and alarm systems
fire detection and alarm systems
fire and blast protection systems
relief and venting systems
chemical spill containment
emergency power, communication and

lighting
emergency assembly points and evacuation

locations
evacuation and rescue equipment and its

locations
Page 16 of 55

5.5
Comments
Drawing and diagram sets

5.5.1
Drawing and diagram sets include the following,

if applicable:
location maps defining proximity to sites

such as land owner, medical facilities and
transportation infrastructure
alignment sheets (e.g. GIS)
isolation locations
accommodation locations and layout
emergency assembly and evacuation points
fire and safety equipment
water storage description and locations
safety control systems
Safety management: policy leadership and commitment
6.1
General
6.1.1
6.2
Y/N
The safety and health policy includes a signed

statement of commitment to safety and health,
including the following key objectives:
commitment to providing a safe and healthy

workplace
assessment and reduction of risk to ALARP
compliance with all applicable laws,

regulations, standards, codes of practice and
recommended practices (list of standards,
codes and practices to be supplied with SMS
submission)
involvement of personnel in safety and

health strategy development
establishment of measurable objectives and

targets
provision of trained and competent

personnel
6.1.2
Mechanisms in place to ensure the

accountability of senior management for the
achievement of safety and health policy
outcomes
6.1.3
Safety and health policy intent has been

communicated to all personnel associated with
the project
6.1.4
Safety and health policy is periodically reviewed

to ensure its relevance and that objectives are
met
6.1.5
Each parent organisations safety and health

policy is referenced
Page 17 of 55

6.2.1
6.2.2
6.3
Comments
The organisations structure is included and

contains:
an appropriate structure for the management

of safety
broad safety and health responsibilities
reporting lines
Responsibilities are discussed, including:
key safety and health responsibilities and

accountabilities
authority levels for safety management
reporting lines for incident escalation
6.2.3
All personnel are informed of their safety and

health roles, responsibilities and accountabilities
6.2.4
Key personnel have signed off on their

understanding of their safety and health roles,
responsibilities and accountabilities
6.2.5
Safety and health responsibilities and

accountabilities are regularly reviewed and in
line with organisational changes
6.2.6
Safety and health responsibilities and

accountabilities of all personnel align with their
skills and training
6.2.7
Interface between key personnel is clearly

defined
Employee involvement and communication

6.3.1
6.3.2
Y/N
There are formal consultative mechanisms to

involve employees and elected employee
representatives during:
hazard identification (HAZID) studies
job hazard analysis (JHA) preparation
safety and health management system

reviews
There are mechanisms for involving personnel

in:
development and implementation of safety

and health policy and procedures
identification and management of hazards

and risk
preparation of the SMS
6.3.3
There are both formal and informal instruments

to ensure effective communication of safety and
health information to all personnel
6.3.4
Safety and health roles, responsibilities and

accountabilities are reviewed regularly and when
organisational change occurs
Planning: hazard identification and risk management
Page 18 of 55

7.1
Systematic processes are documented to:
identify hazards
assess the likelihood and consequences of

risk
agree on the implementation of controls to

ensure risks are reduced to ALARP
7.1.2
Project hazard or risk assessment is based on

and refers to AS/NZS ISO31000:2009
7.1.3
Appropriate techniques are in place for the

identification and assessment of drilling hazards
or risks
7.1.4
A project hazard register is in place to document

identified hazards, their assessment and control
measures, and also enable the review and
updating of information
7.1.5
The hierarchy of control for risk management is

referenced as follows:
7.1.6
7.3
Comments
General
7.1.1
7.2
Y/N
elimination
substitution
isolation
engineering
administrative
personal protective equipment (PPE)
A program is in place to ensure the periodic

review and re-assessment of identified hazards
and risks, and the identification of new hazards
and assessment of associated risks
Hazard and risk communication

7.2.1
A JHA process (or similar strategy) is in place to

communicate hazard and risk information on site
7.2.2
All personnel are actively involved in developing

the JHA through the identification and control of
hazards and risk on site
7.2.3
The JHA process links into the formal hazard

and risk identification process and project
hazard register
7.2.4
Hazard, risks and their controls form a significant

part of training and induction process
7.2.5
Communications regarding hazards and risks

are retained on record
7.2.6
There is a process to deal with the hazards and

risks associated with day-to-day work changes
and inform employees of these changes
Objectives, plans and performance standards
Page 19 of 55

7.3.1
The project management team has agreed upon

and defined verifiable safety and health
objectives, plans and standards
7.3.2
Safety and health objectives, plans and

standards reflect responsibilities, legislative
requirements, and safety and health policy
commitments
7.3.3
Safety and health objectives, plans and

standards are communicated to all personnel
during induction and toolbox meetings to ensure
understanding and participation
7.3.4
Plans are updated to reflect changes in

performance standards, or the outcomes of
appraisals of the systems effectiveness
Safe operating procedures (SOPs)
8.1
General
8.1.1
SOPs utilise information from risk and hazard

assessments, legislative requirements,
standards and project policies
8.1.2
SOPs are managed through document control

and records procedures
8.1.3
There is a process to capture feedback on the

effectiveness of or improvements to SOPs
8.1.4
There is a process to enable development of

SOPs for non-routine work activities
8.1.5
Personnel are trained and competent in the

execution of SOPs
8.1.6
SOPs include procedures and arrangements for

conveying information between shifts, such as:
8.1.7
maintenance in progress
plant out of service
process abnormalities
Y/N
Comments
The SOPs allow for the following procedures

relating to the PTW system:
authorisation and issuing of permits
distribution and display of permits
isolation procedures
hazard identification and risk management
simultaneous operations
change in operating status
close-out of permits
Page 20 of 55

8.1.8
8.1.9
8.2
Y/N
Comments
The SOPs include procedures such as those

relating to the following working environments,
where appropriate:
heights
trenches and excavations
confined spaces
oxygen-deficient atmospheres
pressure testing
electrical hazards
welding, cutting and heating
lifting and hoisting
The SOPs include procedures to handle

maintenance operations
Materials handling and storage

8.2.1
MSDSs are held on site for all hazardous

substances and dangerous goods
8.2.2
The hazards and risks associated with the

handling of hazardous substances and
dangerous goods are assessed and
incorporated in the JHA for the task
8.2.3
The storage and handling methods for

hazardous substance and dangerous goods are
consistent with legislative, segregation and
MSDS requirements
8.2.4
Hazardous substances and dangerous goods

are handled using appropriate personal
protective clothing and equipment that are
correctly worn, used and fit for use
8.2.5
Personnel have received, where appropriate,

training in the safe handling, use, storage and
disposal of hazardous substances and
dangerous goods
8.2.6
MSDSs are available at the point of storage or

use of hazardous substances and dangerous
goods
8.2.7
Provision is made for the storage of hazardous

materials and dangerous goods in designated
areas consistent with legislative, segregation
and MSDS requirements
8.2.8
Storage areas and containers for hazardous

substances and dangerous goods are fit for
purpose and sign-posted according to relevant
legislation, standards and MSDSs
8.2.9
Hazardous substances and dangerous goods

are disposed of in accordance with relevant
legislation, standards and MSDSs
Page 21 of 55
8.3
8.2.10
A process is in place to manage spill

containment and clean-up of hazardous
substances and dangerous goods
8.2.11
Handling and storage of materials is guided by

an organisational or project-specific quality
management system
8.2.12
Training in identifying and addressing hazardous

manual tasks, and safe lifting and carrying
techniques is provided to personnel
8.2.13
Lifting equipment is used in a manner consistent

with its intended purpose, including the use of:
cranes, hoists and winches
slings and shackles
containers, pallets and racks
work baskets
8.2.14
Lifting equipment is certified and inspected by

an authorised person were appropriate
8.2.15
Lifting or winching of major plant items and

materials is performed in accordance with a
specific lifting methods statement that
incorporates a critical lift assessment
8.2.16
A lifting equipment register is used to record

marking requirements and inspections
8.2.17
Plant, equipment and materials are secured to

prevent unauthorised access or damage
8.2.18
Suitable storage for foodstuffs and drinking

water is in place on site or at camps to cater for
relevant personnel
Y/N
Comments
Maintenance and repair

8.3.1
A program has been developed and

implemented on site for the routine inspection
and maintenance of plant and equipment
8.3.2
Inspection and maintenance schedules are in

place and in accord with manufacturers and
legislative requirements, and good petroleum
and drilling work practices and
recommendations
8.3.3
Planned maintenance activities are conducted in

line with procedures contained within the SOPs
8.3.4
Procedures are in place for the review of

hazards and risk associated with maintenance
activities prior to undertaking these activities
Page 22 of 55

8.3.5
8.3.6
8.4
Y/N
Comments
A process is in place to ensure that:
safety critical equipment is identified and

maintenance scheduled accordingly
scheduled maintenance is prioritised with

consideration for the safety impact of
equipment
Procedures are in place for the periodic review

of maintenance procedures to ensure:
maintenance is being undertaken
equipment is safe to use before being

returned to service
potential improvements to the maintenance

process are identified
8.3.7
The plant and equipment register specifies those

plant and equipment requiring registration
8.3.8
The plant and equipment register is used to

record plant and equipment inspections,
maintenance, repairs and modifications
8.3.9
Project vehicles and plant are inspected by

project-authorised drivers or operators, and
results recorded in a logbook
8.3.10
Plant and equipment found to be defective or

dangerous is taken out of service and tagged as
out of service until such time as a qualified
technician has made suitable repairs or the
equipment is replaced
8.3.11
Personnel are instructed in the use of out of

service tags as part of their induction
8.3.12
Appropriate procedures and training are

provided to ensure that all maintenance
activities and tasks are conducted in line with
the occupational safety and health policy
8.3.13
There is a documented procedure to ensure that

defective or dangerous plant and equipment is
reported
Employee selection competency and training

8.4.1
The project management team has ensured that

the human resources required for the project are
suitably fit and competent with the necessary
safety behaviours for the tasks assigned to
contribute to a positive safety culture on site
8.4.2
Occupational safety and health forms an integral

part of the projects human resources strategy
and training-needs analysis
8.4.3
A competency and skills matrix defines the

competency criteria and safety attributes of each
position
Page 23 of 55

8.4.4
Evidence of statutory competencies is required

for relevant positions, and a copy of the
certificate retained on site
8.4.5
There is a process to capture the review of

position specifications
8.4.6
All personnel are aware of their roles and

responsibilities upon commencement of
employment
8.4.7
Employee competence is assessed as part of a

periodic performance review
8.4.8
Nominated workplace trainers deliver training

programs in a timely manner
8.4.9
Training programs are adequately funded, and

reviewed and reassessed periodically to ensure
effectiveness
8.4.10
All personnel on or visiting the project site

receive a project-specific induction before
commencing work or accessing the project site
8.4.11
Induction training addresses:
8.4.12
8.5
site and occupational safety and health

issues as identified by the HAZID, risk
assessment and control process
responsibilities for safety and health
project SMS
emergency arrangements
Y/N
Comments
Training is available to address safety and

health considerations and safety-critical projectspecific tasks such as:
SOPs
safety and health responsibilities
vehicle operation and driving
PTW system
manual handling
first aid
emergency response
incident and hazard reporting
heat stress
relevant legislation
PPE and hazardous substances and

dangerous goods
Workplace environment
8.5.1
The project management team has developed

safety and health processes to ensure and
promote a safe and health working environment
Page 24 of 55

8.5.2
8.6
Y/N
Comments
Workplace environment issues addressed, as a

minimum, are:
protection against atmospheric

contamination
control of dust
housekeeping
lighting and ventilation
noise assessment and management
signage (AS 1319:1994)
PPE
temperature and heat stress
hygiene
radiation protection
working hours
workplace amenities
transport, storage and preparation of food
smoke detectors and alarms
chemical spill management
measuring and monitoring equipment as

applicable
8.5.3
Potable water and waste water management is

addressed
8.5.4
Camp and accommodation arrangements are

addressed
8.5.5
Fitness-for-work strategies are in place
First aid facilities and services

8.6.1
First aid facilities are appropriate to the type and

location of the work being performed
8.6.2
First aid facilities are consistent with regulatory

requirements and the projects emergency
response plan
8.6.3
A risk assessment of possible emergencies at

each location has been conducted to ensure first
aid equipment and resources are appropriate to
manage:
8.6.4
all potential injury events on site
travelling to and from the site
An approved and appropriate first aid kit is

available for each:
work crew
motor vehicle
office
accommodation facility
Page 25 of 55
8.7
8.6.5
First aid equipment checks form part of the

regular site safety inspection program
8.6.6
First aid equipment is replaced as soon as

possible following use or before its use-by date
8.6.7
A list of trained first aid personnel with current

certification is displayed
8.6.8
First aid personnel are readily identified
8.6.9
Arrangements are in place to ensure

prescription medication is secured
8.6.10
Additional medical advice is available as

required
8.6.11
A first aid treatment register is kept
Comments
Emergency management
8.7.1
The project management team has assessed

each activity and external factors or influences
that may give rise to identifiable emergency
events, and used this assessment to develop a
specific emergency response plan
Inspection, testing, monitoring and reporting
9.1
General
9.1.1
9.2
Y/N
The following processes exist for the purpose of

inspection, testing and monitoring of site
activities, plant and equipment for the duration of
the project:
procedures for ensuring plant is checked

prior to use
a planned regime of workplace safety and

health inspections
work activity observations
pre-operation inspections of vehicles and

plant
inspection and testing of electrical

equipment
inspections and testing of cranes and lifting

equipment
inspections and testing of pressure vessels

and pressure testing equipment
inspections and testing of emergency, first

aid, fire and spill control equipment
camp and amenities inspections
9.1.2
Inspections follow an agreed format and are

documented
9.1.3
A corrective action register prioritises, tracks and

closes-out actions and improvements
Health monitoring
Page 26 of 55

9.2.1
9.3
9.4
Y/N
Comments
A health monitoring system and fitness-for-work

processes are in place and include:
pre-employment fitness and health

assessments
injury management on and off the work site
employee assistance programs
drug and alcohol policy
camp and amenity hygiene
supervision or monitoring of employees

returning to work following serious illness or
injury
storage of health monitoring records of

personnel
specialist health monitoring where there is

exposure to specific hazards
Workers compensation, rehabilitation and return to work

(RTW) program
9.3.1
There is a workplace rehabilitation policy
9.3.2
Medical professionals are consulted regarding

supervised RTW programs
9.3.3
A RTW program exists and is understood by all

personnel, including medical service providers
Incident hazard reporting and investigation

9.4.1
All accidents, incidents and near-miss incidents

that cause, or have the potential to cause, a
hazard are reported and investigated
9.4..2
The causes of all accidents, incidents and nearmiss incidents are eliminated or controlled to
prevent recurrences
Page 27 of 55

9.4.3
Y/N
Comments
An accident or incident reporting and

investigation process is in place covering:
securing or ensuring safety at the accident

or incident scene
treatment, medical assistance and

evacuation of injured personnel
assignment of responsibility for the accident

or incident site
assessment of the seriousness of the

accident or incident event
notification of organisational management

personnel, employee representatives and
authorities
assignment of responsibility for reporting and

investigation
identification of witnesses and protecting

evidence at the scene
consultation with authorities, site and

operations personnel
investigation to identify root causes and

recommendations to prevent recurrence
timely implementation of recommendations
9.4.4
Corrective action requests are in place to

provide a permanent and traceable record of the
close-out recommendations arising from
accident or incident reports and investigations
9.4.5
Assignment of reporting requirements and

timeliness of reporting of accidents, incidents,
and near-miss incidents to regulatory authorities
is in line with legislative requirements
9.4.6
Safety alert notices are used to disseminate

information on incidents to all project personnel
9.4.7
All project personnel are informed of the

necessary reporting and investigation processes
and their required involvement
9.4.8
Those personnel involved in the reporting and

investigation process are adequately trained to
perform these tasks
9.4.9
The investigation teams competence to carry out

a thorough investigation has been confirmed
9.4.10
A hazards and risk register is used to record all

accident and incident hazards
9.4.11
Documentation of regulatory requirements for

incident reporting and contact procedures are
maintained on site
9.4.12
Relevant industry hazard alerts are

disseminated to personnel
Page 28 of 55

9.5
Comments
Safety and health information and reports

9.5.1
Safety and health records are archived in

accordance with statutory periods and are
legible, identifiable, traceable and readily
retrievable
9.5.2
Access to confidential records is restricted in line

with the operators privacy policy, which aligns to
legislative requirements
10
Audit, review and improvement
10.1
Safety and health audit

10.1.1
There is a system and program of safety and

health audits, including both internal and
independent audits
10.1.2
Safety and health audits enable:
10.1.3
10.2
Y/N
verification that the safety and health

arrangements meet specified performance
standards
opportunities for system improvements to be

identified
There is a methodology for conducting audits,

including:
scope and objectives
criteria for selection of audit teams and

leaders
reporting requirements
10.1.4
Safety and health audits are conducted by

suitably competent personnel and involve
project personnel
10.1.5
The safety and health audit process involves

relevant employees
10.1.6
Corrective action requests are prioritised,

assigned responsibility, and allocated an
expected completion date
10.1.7
Safety and health audit findings are submitted in

a formal report to appropriate project personnel,
along with any corrective action requests
10.1.8
Follow-up actions on audit findings are

monitored for suitable resolution and timely
close-out
10.1.9
Safety and health reports are disseminated to

involved stakeholders and authorities
Review and improvement

10.2.1
A process is in place to capture corrective

actions and follow-up requirements resulting
from the audit or assessment, and ensure closeout in a timely manner
Page 29 of 55

10.2.2
10.2.3
Y/N
Comments
The periodic review culminates in the

development of a close-out report with content
including:
identified areas of safety and health

improvement
sources of information used
effectiveness of employee communication

and feedback
results of accident and incident

investigations
results of monitoring, inspection and audit

programs
details of corrective actions taken
safety and health impacts of changes in

project delivery
changes in the organisation structure
a sampling of management and employee

safety perception
improvements in work practices and

technology
community safety and health impacts and

expectations
The safety and health performance is

benchmarked against other organisational,
project and industry data
11
Risk safety assessment
11.1
Risk safety assessment process

11.1.1
The risk safety assessment process reflects

licence and regulatory requirements and best
industry practice
11.1.2
Development of the formal safety assessment

process is undertaken by competent and
suitably qualified persons
11.1.3
The formal safety assessment process is

comprehensive in its delivery of an assessment
of the safety and health outcomes to be
achieved, and the risk exposure associated with
the project
11.1.4
The formal safety assessment process uses

appropriate standards, including:
AS/NZS ISO 31000:2009
work environment
HAZID studies
risk assessment
Page 30 of 55

11.1.5
11.2
Y/N
Comments
Assumptions made within the formal safety

assessment are justified and supported by
relevant information pertaining to the project or
similar projects
Hazard identification
11.2.1
11.2.2
11.2.3
There is a HAZID process that involves the

systematic review of all :
activities
processes
designs
products
materials
plant
equipment
services
site locations
work environments
The HAZID process considers, as a minimum:
emergencies
unplanned events
incidents
organisational structure
environment
legislation
The HAZID process includes:
scope and objectives
personnel with detailed knowledge of work

processes and practical experience
available and required information and

records included from previous projects and
the industry
assumptions made as part of the process,

and validation of these assumptions
interaction of work parties, stakeholders,

processes, plant and environment
consultation with involved stakeholders
major accident and incident events
11.2.4
The methodology used in the HAZID process is

applicable to the safety and health outcomes to
be achieved
11.2.5
The methodology used in the HAZID process is

in line with applicable regulations and standards
Page 31 of 55

11.2.6
11.2.7
11.3
Y/N
Comments
The outcomes and results of the HAZID

process:
identify the hazards
categorise the hazards
determine if the hazards fall inside the

definition of a major accident event
carry identified potential major accident

event hazards forward to the assessment
phase
detail appropriate controls for the safety of

personnel and community
are documented as a formal record for each

hazard, and collated in a project hazard
register
The hazard register is maintained
Identified hazards and risk assessment

11.3.1
All identified hazards and major accident events

are subject to an appropriate risk assessment
process that aligns with legislative standards
11.3.2
Risks are assessed in terms of the consequence

of a major accident event and the likelihood that
it will occur
11.3.3
A qualitative risk matrix detailing the level of risk

is used that aligns with legislative standards and
is appropriate to the type of assessment being
conducted
11.3.4
Qualitative and quantitative risk assessments

are undertaken by suitably knowledgeable and
experienced persons
11.3.5
Persons involved in the risk assessment are

provided with current data and information
relating to the project
11.3.6
Assumptions have been identified and justified
11.3.7
The potential for escalation of a major accident

event has been assessed
11.3.8
The identified hazards and risk data are

consistent with industry practice
11.3.9
The hazard and risk data used in the

assessment are referenced
11.3.10
Where software has been used in the

assessment of risks:
it has been assessed by the operator prior to

implementation and deemed appropriate
the input data and models have been

verified for accuracy
the results have been verified
Page 32 of 55
11.4
11.3.11
Where an external provider has undertaken the

risk assessment, there is an agreement with the
provider to review the risk assessment as
required or, alternatively, the operator is capable
of performing the review in-house
11.3.12
The assessment of risks is consistent with the

operation and associated facilities, their
locations and other relevant impacts
Y/N
Comments
Hazard and risk reduction and application of ALARP

11.4.1
The project management team has developed a

control strategy for each of the identified
hazards based on a hierarchy of control that
aligns with the level of risk
11.4.2
The control strategy is documented within a risk

control action plan
11.4.3
The control strategy aligns with legislation and

standards in terms of the following hierarchy of
control measures:
11.4.4
elimination
substitution
isolation
engineering
administrative
PPE
The control strategy details:
the criteria for selection of control measures
the selected control measures
the assigned responsibility
when the control measures will be

implemented (in conjunction with priority)
the assumptions and justifications
11.4.5
The control strategy demonstrates risk reduction

to ALARP
11.4.6
The control strategy demonstrates that the cost

associated with adopting further control
measures is disproportionate to the accrued
benefits
11.4.7
The legislative obligations for individual hazards

and their controls are specified
11.4.8
Project personnel are consulted regarding the

selection of hazard and risk control measures
11.4.9
Project personnel are informed of all risks

associated with their work tasks, and are aware
of how to perform their work tasks to achieve the
risk reduction measures
Page 33 of 55

11.4.10
There is a system to monitor the effectiveness of

controls or maintain controls and implementation
of the risk control action plan
11.4.11
Safety and health inspections, testing, checks

and audits verify that the agreed hazard and risk
control strategies:
11.4.12
11.4.13
are being implemented
are effective
identify where improvements can be

achieved
Y/N
Comments
There is documentation demonstrating the

hazard and risk control options that were:
considered
rejected
There are plans that address the return to

normal operations following each identified
major accident event, including:
recovery measures
repair, testing and recommissioning

strategies
provision of assistance and information to

stakeholders such as the emergency
services, community and regulator
review of any associated findings that may

assist in preventing recurrence
12
Assessment of results (formal safety assessment)
12.1
General
12.1.1
Hazard and risk reduction and control measures

have been adopted for the project and have
reduced the risk of major accident events to
ALARP
12.1.2
Reduction of risks to ALARP can be

demonstrated in a verifiable workplace and
community context
Page 34 of 55

12.1.3
Y/N
Comments
The consolidated results of the formal safety

assessment demonstrate the strategy and logic
of the HAZID and risk reduction and control
processes by:
describing the detailed formal safety

assessment strategy
describing the logic for using chosen formal

safety assessment techniques
demonstrating the involvement of

knowledgeable and experienced persons
demonstrating, as far as practicable, that all

hazards have been identified
describing a positive shift between untreated

and treated risk levels
demonstrating agreed controls have reduced

risk levels to ALARP
describing the assumptions in deriving the

formal safety assessment results
describing the method of validating the

formal safety assessment results
12.1.4
The consolidated results of the formal safety

assessment demonstrate that the project risk
profile has been reduced to ALARP
12.1.5
Actions arising out of the formal safety

assessment are tracked, implemented and
closed-out prior to construction activity
commencing
12.1.6
Actions arising out of the formal safety

assessment are checked to ensure they remain
in place for the duration of the project
12.1.7
Risk reduction measures have been

incorporated into the SMS
12.1.8
The project management team commits to the

view that the objectives of the formal safety
assessment have been met
Page 35 of 55
Y/N
Comments
13
Emergency response plan (also see separate evaluation checklist in Chapter 6)
13.1
General
13.1.1
13.1.2
The project emergency response plan:
assigns roles and responsibilities for key

personnel
assigns an emergency coordinator
details implementation and training
defines emergency events and situations
includes procedures for specific

emergencies
details an emergency drills schedule,

including type and duration
has been developed in consultation with

local community emergency response
agencies
The emergency response organisation is

analysed to determine the minimum number of
personnel, which includes at least the following
positions:
emergency coordinator
site controller
communications
personnel support
management liaison
regulatory liaison
13.1.3
All personnel within the emergency response

organisation are trained in the emergency
response plan and their particular role
13.1.4
Procedures are in place to assist those

personnel exposed to a critical incident
13.1.5
Key elements of the emergency response plan

are contained within the site induction
13.1.6
Changes to the emergency response plan are

communicated effectively to all personnel
13.1.7
An emergency contact list is maintained and

displayed at a prominent location and with each
work crew and includes:
telephone numbers and locations of

community emergency response agencies
a list of first aid personnel
13.1.8
Emergency equipment and communications are

tested periodically
13.1.9
An emergency communication protocol for

transmitting emergency information exists and
has been communicated to all personnel
Page 36 of 55

13.1.10
Communication limitations have been

considered, and appropriate measures put in
place to handle these limitations within the
emergency response plan
13.1.11
Site personnel and third parties entering and

leaving the site are controlled and recorded
13.1.12
There is periodic correspondence with

emergency agencies to ensure current
information is accurate for all parties concerned
13.1.13
Emergency drills are conducted periodically and

a report detailing drill performance,
recommendations for improvement and
corrective actions implemented is distributed to
relevant personnel
13.1.14
Directions to emergency assembly points are

posted around the site and are known by all site
personnel
13.1.15
The emergency response plan documents the

requirements of contact with media, public,
family members, unions and local interests, and
the nominated personnel for such contacts
13.1.16
Emergency response equipment and resources

are available and commensurate with analysis of
the assessment of risks and possible
emergencies
13.1.17
Particularly in remote locations, the following

have been considered or adopted for extracting
injured or sick personnel:
13.1.18
13.2
helicopter and associated resources (e.g.

helipad, fuel, pilot)
arrangements with any neighbouring

landowners who have a light aircraft and
airstrip
Y/N
Comments
The operator has an emergency vehicle plan in

place where external emergency response to
the site is deemed likely to be detrimental to the
support of an injured or sick personnel due to
response time, or there is a regulatory
requirement for such a plan (and point 13.1.17 is
not feasible)
Emergency response plan: emergency vehicle plan (where

applicable)
13.2.1
The emergency vehicle plan contains

information relevant to the characteristics,
maintenance and operation of an emergency
vehicle
Page 37 of 55

13.2.2
Where an emergency vehicle plan is required,

the operator has its own ambulance or vehicle
specifically designated as a transport for sick or
injured personnel
13.2.3
The vehicle is suitably equipped to deal with the

most probable causes of injury and sickness
13.2.4
The vehicle is equipped, where appropriate, with

duel fuel tanks, one of which is always full
13.2.5
There is an effective and regular maintenance

and cleaning program for the vehicle
13.2.6
There is an effective and regular checking

process to ensure the adequacy of medical
supplies in the vehicle
13.2.7
A periodic program is in place to ensure medical

equipment within the vehicle is checked by
suitably qualified persons
13.2.8
Suitably qualified and authorised drivers are

available to transport sick or injured personnel
13.2.9
There is a procedure to ensure the vehicle is

started and the fuel checked daily
13.2.10
An assessment has been carried out to

determine the fastest and safest route (and an
alternate route where possible) to extricate sick
or injured personnel to a medical facility, and the
route is driven regularly
14
Document control procedures
14.1
General
14.1.1
There is a document identification system that

allows each document to be uniquely identified
14.1.2
All documents developed use the document

identification system
14.1.3
All documents are developed in line with an

agreed format
14.1.4
All documents intended solely for the project and

developed by external parties are reproduced
(with consent of the external party) in line with
the agreed format and identification system
14.1.5
Where a document hierarchy exists, this is

detailed within the document control procedures
14.1.6
Document development is undertaken by

persons who are suitably qualified and
competent
14.1.7
All documents are subject to a defined review

process that includes appropriately selected
personnel to participate
Y/N
Comments
Page 38 of 55

14.1.8
The review of documents is recorded either on

the document master drafts or by some other
means (e.g. document review register)
14.1.9
All documents are subject to a defined

authorisation process that includes those
persons whose responsibility it falls under as per
the organisation structure
14.1.10
Authorisation of documents is recorded either on

the document final draft or by some other means
(e.g. document authorisation register)
14.1.11
Where applicable, documents include

references to material gathered from other
documentation, either internal or external to the
project organisation
14.1.12
An effective document change management

process is in place to ensure that:
changes to the project (any internal or

external factors or references) are captured
in the corresponding documents
dissemination of altered documentation is

timely and effective
relevant personnel are made aware of

changes to documentation
superseded or redundant documents are

replaced at all locations on site and within
the organisation
14.1.13
A process to ensure that all correspondence that

will, or has the potential to, influence safety and
health aspects of the project is captured within
the document control process
14.1.14
Documents are marked as either controlled or

uncontrolled as is applicable, and there is a
process to ensure this is effectively managed
14.1.15
Documentation is archived in accordance with

statutory requirements
14.1.16
Dissemination of documentation is restricted

where applicable by relevant privacy guidelines
15
Construction or significant change
15.1
General
15.1.1
Manning requirements and arrangements are

described
15.1.2
There is a general description of the site

meteorological conditions predicted for the
duration of the project
15.1.3
Key construction, including inspection, testing

and pre-commissioning, activities are described
Y/N
Comments
Page 39 of 55
15.2
15.1.4
There is a general description of the structure,

plant and equipment to be installed
15.1.5
The equipment required for and in support of

construction activities is described
15.1.6
The safety features and systems are described
Y/N
Comments
Safety assessment
15.2.1
The safety assessment process covers the

elements of hazard identification, hazard and
risk assessment, assessment of results, and
hazard and risk control measures
15.2.2
There is a clear indication of who was involved

in conducting the safety assessment studies for
construction or significant change, and whether
these personnel are competent
15.2.3
The assumptions made for the safety

assessment process are:
laid out clearly
reasonable
justified (e.g. by comparison with external

data and references)
15.2.4
The hazard identification approach used is

systematic
15.2.5
The hazard identification has been adequately

documented
15.2.6
The hazard identification techniques used are

described
15.2.7
The hazards and hazard categories are

recorded in the hazard register or a similar
document
15.2.8
Maintenance of the hazard register is referenced

in the SMS
15.2.9
The people involved in the hazard identification

process (e.g. construction workers, employees,
contractors) are documented
15.2.10
The identified hazards are in line with hazards

for similar construction activities in similar
settings
15.2.11
A systematic approach has been adopted for the

analysis of major accident events
15.2.12
Comparative hazard and risk assessment

studies have been conducted
15.2.13
The type and extent of the comparative hazard

and risk assessment studies are commensurate
with the extent of activities
15.2.14
The consequences and likelihood of all major

accident events are clearly expressed
Page 40 of 55

15.2.15
The integrity of temporary refuges, escape

routes, evacuation and rescue systems have
been evaluated for all major accident events
15.2.16
Hazards and major accident events are in

accord with findings from the hazard
identification studies for similar construction
projects or sites
15.2.17
The risk results are presented:
15.2.18
quantitatively
qualitatively
Y/N
Comments
Any contractors have been assessed and

determined by the operator to be appropriate
(i.e. experienced and competent) for the
operation or activity in which they will be
engaged
Page 41 of 55
Evaluating an emergency response plan
Introductory notes
In its Guidelines for offshore emergency management, published in 1999, the Australian Petroleum
Production and Exploration Association (APPEA) states that the emergency management plan:
needs to be clearly and concisely written with the emphasis on ease-of-use and
practical information that would be required in an emergency. The plan should cover all
stages of an ER from detection of the emergency until the emergency is over and persons are
considered to be in a place of safety.
The documents that are easiest to read or follow are typically those comprising a list of incident types
with the detailed procedures for each individual involved presented as tables and flowcharts. The value
of such a document is that the incident type is clear, the individual can find their specific job role and
procedures without delay, and the format allows easy copying and laminating so each person has a
durable copy of their role. Relevant information may need to be extracted for various sites (e.g. contact
numbers and location plans showing extinguishers, first aid facilities or equipment, and muster points).
Laminated copies can be held in the office and at workplaces ready for immediate use.
Overview
Y/N
Comments
Y/N
Comments

Considerations
ERP evaluation considerations
1
1.1
1.2

1.3
Distribution list
1.4
Revision procedure
Contents
2.1
2.2
Table of contents
2.3
2.4
References list of general and specific documents

interfacing with the emergency response plan (e.g.
legislation, safety management system or SMS, other
emergency response plans, bridging documents)
2.5
List of definitions of terms (e.g. contractor, superintendent,

installation)
Page 42 of 55

2.6
List of abbreviations and acronyms
Introduction
3.1
Purpose
3.2
Scope
3.2.1
3.2.2
3.2.3
3.3
Objectives
3.4
Priorities
3.5
Operational location details
3.6
3.7
3.5.1
Location map, coordinates and distances or time

table
3.5.2
3.5.3
For multiple site operations, tabulation of specific

location and name of each emergency response
plan covering the separate locations
Comments
Overall emergency management structure showing

hierarchy
3.6.1
Crisis management (corporate level)
3.6.2
Emergency management (area or operational

division level)
3.6.3
Incident management (location level)
3.6.4
Field response (immediate vicinity of incident)
Personnel
3.7.1
3.8
Y/N
Tabulated composition of:
crisis management team (corporate level

team for major incidents)
emergency response team (shore-based

team)
incident management team (typically local

and immediate response, such as police or
fire brigade)
oil spill response team
Training
3.8.1
Induction
3.8.2
Specialist:
emergency response team members
emergency response team leader
well control personnel
Page 43 of 55

3.8.3
3.9
3.10
a clearly identified individual with overall

responsibility for taking charge
a clear chain of command
steps taken to ensure the competency of the

persons in the chain
availability of alternates
appropriate arrangements for handover of

command and control functions where
necessary for different stages of the
emergency
Outline of drills or exercises

3.9.1
Planning
3.9.2
Execution
3.9.3
Post-exercise review
3.9.4
Scenarios
3.9.5
Frequency
Outline of plan maintenance

3.10.1
Review period
3.10.2
Auditing and performance monitoring
General emergency response organisation
4.1
Command structure flowcharts (rostered and on-call)
4.3
Comments
Command and control:
4.2
Y/N
4.1.1
Crisis response (corporate level)
4.1.2
Emergency management
4.1.3
Incident management
4.1.4
Field response
Facility alarm systems

4.2.1
Identify specific alarm conditions (e.g. fire,

evacuation, man down)
4.2.2
Describe alarm sounds
4.2.3
State alarm announcements for public address

(PA) system
4.2.4
Describe automatic actions by alarm type
4.2.5
Describe procedural matter
Overview of communications network

4.3.1
Matrix of location versus communications type,

including specific details (e.g. frequency, call
signs)
4.3.2
Radio room and/or command centre
4.3.3
Provision of emergency specific phone lines
Page 44 of 55
4.4
4.5
4.6
4.7
4.3.4
Emergency response room setup
4.3.5
Layout plan of room
4.3.6
Room equipment list (e.g. what and where

must be permanently set up)
4.3.7
Copies of the emergency response plan
4.3.8
Duty cards for emergency response positions
4.3.9
Radios on emergency frequency
4.3.10
Telephones, including hotlines where

necessary
4.3.11
Fax machines and electronic mail capability, if

appropriate
4.3.12
Graphical aids such as maps (regional and

local), installation layout diagrams and plans,
aerial photographs, and site photographs
4.3.13
Office equipment and stationery such

whiteboards, notepads and pens
4.3.14
Tape recorders to record progress of emergency

and critical phone calls
4.3.15
Emergency power and lighting
4.3.16
Material safety data sheets (MSDSs) as

applicable
4.3.17
Access to simple catering needs
4.3.18
Nearby availability of television, video recorder

and radio
Y/N
Comments
Crisis management team

4.4.1
Responsibilities
4.4.2
Composition
Local incident management team

4.5.1
Responsibilities
4.5.2
Composition
Activation process flowcharts

4.6.1
Classification of incidents
4.6.2
Frequency and severity descriptions
4.6.3
Risk rating matrices description
Raising the alarm

4.7.1
Types of alarm
4.7.2
Response to alarm
Page 45 of 55

4.7.3
4.8
4.9
Comments
Team callout:
incident management team
emergency response team
crisis management team
4.7.4
Triggers
4.7.5
Process
4.7.6
Escalation flowcharts
Reporting obligations
4.8.1
Internal
4.8.2
External (e.g. regulatory)
Emergency notification
4.9.1
Matrix incident versus organisation or authority
4.9.2
Initial incident notification form
4.9.3
Follow-up notification form
4.10
Instructions for obtaining weather forecasts and reports
4.11
Arrangements for site security during an emergency
4.12
Review and updating plans
4.13
Auditing
4.14
Media release overview
Roles and responsibilities of individual team members
5.1
Positions allocated to emergency response roles and

named alternates
5.2
List of callers allowed to be transferred to the teams:
5.3
Y/N
Evaluation of individual roles and responsibilities

Note: There is a separate evaluation for each team
members position, duties, functions and responsibilities
5.3.1
General
5.3.2
Preparation
5.3.3
Media
5.3.4
Notifications
5.3.5
Personnel issues
5.3.6
Investigation
5.3.7
Ending emergency
Page 46 of 55

5.3.8
5.4
Y/N
Comments
Debrief
Specific event roles and response arrangements (who

does what and when)
5.4.1
Cyclone
5.4.2
Search and rescue
5.4.3
Electrical storm
5.4.4
Fatality
5.4.5
Oil spill
5.4.6
Fire or gas escape
5.4.7
H2S event
5.4.8
Explosion
5.4.9
Bomb threat:
procedure
checklist
5.4.10
Medical evacuation
5.4.11
Criminal acts
5.4.12
Well control:
problem
blowout
5.4.13
Evacuation general
5.4.14
Evacuation medivac
5.4.15
Loss of critical system
5.4.16
Radiation incident
5.4.17
Hydrocarbon spill
5.4.18
Isolation and emergency shut-down:
plans
procedure
5.4.19
Emergency power and services arrangements
5.4.20
Confined space entry emergency
definition
forward command post
actions (flowcharts of actions and checks or

prompts for each member)
5.4.21
Bush fire
5.4.22
Terrorism threat or attack
Contact details
6.1
Table of contents (essential)
6.2
Internal contacts
Page 47 of 55

6.3
Comments
Government contacts
6.3.1
State authorities
6.3.2
Department of Mines and Petroleum
WA Police
Fire and Emergency Services Authority

(FESA)
6.3.3
6.4
Y/N
Federal authorities (where applicable)
Medical contacts
6.4.1
Medical (doctors and hospitals)
Ambulance
Royal Flying Doctor Service (RFDS) or

contracted private service equivalent
Counselling
Employee assistance program (EAP)
6.5
Oil spill agencies and specialists contacts
6.6
Contractors and service companies contacts

6.6.1
For example:
drilling, construction, maintenance

contractors and subcontractors
aviation services, such as helicopter and

fixed wing aircraft
road transport services
waste oil disposal services
6.7
Other operators
6.8
Other contractors
Master copies of forms
7.1
Incident initial report form
7.2
Incident follow-up report form
7.3
Medivac request
7.4
Relatives information release
7.5
Fatality report form
7.6
Emergency response formal log
7.7
Record of bomb threat
7.8
Emergency status report
7.9
Status log (i.e. personnel at site)
7.10
Notification to a service company
7.11
Phone log form
7.12
Aerial surveillance form
7.13
Change of contact details form (annual review)
Page 48 of 55

7.14
Audit checklist
7.15
List of callers allowed to be transferred to the teams:
Y/N
Comments
Page 49 of 55
Evaluating bridging and SIMOPS documents
Overview
Y/N
Comments
Y/N
Comments

Considerations
Bridging and SIMOPS documents evaluation considerations
1
1.1
1.2

1.3
Distribution list
1.4
Revision procedure
Contents
2.1
2.2
Table of contents
2.3
Introduction
3.1
Purpose
3.2
Scope
3.2.1
3.2.2
3.2.3
3.3
Objectives
3.4
Priorities
3.5
Location details
3.6
3.5.1
Location map, coordinates and distances or

times table
3.5.2
Policy and leadership

3.6.1
Policy statements are included
3.6.2
Applicable Act and regulations for the project are

listed
Page 50 of 55
3.7
3.6.3
Confirmation that parties have jointly reviewed

their safety policies to manage possible conflicts
3.6.4
There is a commitment to controlling hazards

and risk for the project or operation to as low as
reasonably practicable (ALARP)
3.6.5
Obligations and responsibilities are specified for

the implementation of agreed safety policies and
objectives
3.6.6
Describes means by which the policies and

objectives of the project, as well as individual
responsibilities and obligations, are
communicated
3.6.7
There is a commitment by senior management

to take direct responsibility for implementation
and maintenance of the safety and health
policies
3.6.8
There are mechanisms that promote the active

involvement of all employees in achieving policy
objectives.
3.6.9
Describes steps taken by operator to be satisfied

that the rig, equipment or service provider or
organisation is fit for purpose for the proposed
scope of work
Y/N
Comments

3.7.1
Organisation structure for the site and onshore

support, during the campaign, and the reporting
relationships between the parties is clearly
defined
3.7.2
Roles and responsibilities of involved personnel

are defined for the management of safety
activities during the campaign
3.7.3
Roles and responsibilities of key positions in the

operation (e.g. operator senior representative,
person in charge) are defined
3.7.4
Procedures and systems are defined for the

communication to personnel (e.g. technical
information, drilling and work program
information, safety information)
3.7.5
Systems and procedures are in place for

communicating to personnel what their roles and
responsibilities for safety are during the
campaign
Employee involvement and communication
4.1
Responsible party
4.1.1
Safety representatives and safety committees

are elected or established in accordance with
the relevant safety and health legislation
Page 51 of 55
4.2
4.1.2
There are mechanisms for involving personnel in

the day-to-day management of hazard
identification and risk assessment
4.1.3
There is a communication strategy to inform

personnel of safety and health issues, the
relevant safety systems and objectives of the
campaign
Y/N
Comments
Hazard identification and risk management

4.2.1
Policies and procedures are in place for the

identification, assessment and control of hazards
and risk
4.2.2
Hazards with mitigation control listing for the

campaign are documented in a hazard register
or similar document
Objectives, plans and performance standards
5.1
Responsible party
5.1.1
Plan implementation, monitoring and

performance appraisal are described
5.1.2
There is management accountability for meeting

safety and health performance standards
5.1.3
Safety and health objectives, plans, performance

standards and the subsequent level of
achievement are communicated to all personnel
and parties involved in the project
Management system documentation
6.1
Responsible party
6.1.1
Documentation is archived in accordance with

statutory requirements for 5 years following the
date of acceptance by the minister
6.1.2
Manuals, procedures, plans, and drawings for

the management of safety and health and
control of risk during the project are accessible
to project personnel
Design, construction and commissioning
7.1
Responsible party
7.1.1
There are systems and procedures in place to

ensure coordination between parties (e.g.
operator, contractors)
7.1.2
The selection of competent personnel is defined
7.1.3
There are formal design reviews
7.1.4
There is validation of significant hardware and

systems changes
7.1.5
The hazards and risks associated with

construction, commissioning and operation are
identified, assessed and controlled
Page 52 of 55

8
Management of change
8.1
Responsible party
8.1.1
Arrangements for controlling permanent and

temporary engineering, organisational, and work
activity modifications and changes for the project
are defined
8.1.2
Changes and modifications are communicated

to relevant employees
Purchasing and control of materials and services
9.1
Responsible party
9.1.1
Personnel are informed of safety and health

implications associated with purchases during
the campaign
9.1.2
Material safety data sheets (MSDSs) are freely

available at the point of storage and site office
Y/N
10
Safe operational procedures and permit to work (PTW) system
10.1
Responsible party
10.2
10.1.1
Interaction of PTW systems (e.g. construction

and operations, permit-issuing officer)
10.1.2
Operating, maintenance, testing, commissioning

or construction procedures requiring interaction
between two or more companies are linked for
all key work activities
10.1.3
Arrangements are in place for the input and

review of the adequacy of standard operational
procedures (SOPs).
Note: The demonstration should indicate
employees responsible for task execution are
involved in the review.
10.1.4
There are procedures for the review and control

of non-routine and routine activities in
emergency and non-emergency conditions
Comments
Maintenance
10.2.1
There are standards and procedures for

maintaining plant, equipment and facilities for all
companies involved in the project
10.2.2
Inspections, maintenance, repair and plant

records are established and maintained by all
parties involved in the project
10.2.3
There are procedures for the review of hazards

and risk associated with maintenance activities
and tasks
10.2.4
There are procedures for the reporting, isolation

and withdrawal of unsafe plant and equipment
from service
Page 53 of 55

11
Employee selection, competency and training
11.1
Responsible party
11.1.1
Methodology for selection of competent

personnel is described
11.1.2
Certification system (e.g. medical, well control) is

described
11.1.3
Competency and safety and health training

requirements are described
11.1.4
There is a mechanism for communicating roles

and responsibilities to employees
12
Inspection, testing and monitoring
12.1
Responsible party
12.1.1
Inspection, testing and monitoring systems for

equipment to be used during the project are
described
12.1.2
There is a register of equipment (e.g. pull lifts,

chain blocks, slings, elevating work platforms or
EWPs, forklifts)
12.1.3
There is an equipment certification register
13
Workplace environment
13.1
Responsible party
13.1.1
Atmospheric contaminants
13.1.2
Housekeeping
13.1.3
Lighting and ventilation
13.1.4
Noise and vibration
13.1.5
Sign posting
13.1.6
Personal protective equipment
13.1.7
Temperature extremes
13.1.8
Hygiene
13.1.9
Working hours
13.1.10
Basic amenities
Y/N
Comments
14
Emergency response (also see separate evaluation checklist Chapter 6)
14.1
Responsible party
14.1.1
Linkage of emergency response systems is

described
14.1.2
Organisation charts show the lines of

communication and chain of command during an
emergency
14.1.3
Procedures and facilities for mitigating the

effects of potential emergencies are identified
prior to and during the project
Page 54 of 55

14.1.4
There is a schedule of emergency drills
14.1.5
There is a schedule of emergency exercises
14.1.6
There is a mechanism to establish personnel

competency to perform their roles during an
emergency
14.1.7
There is a procedure or method for

communicating emergency response
arrangements to personnel
14.1.8
Emergency response arrangements are

periodically assessed and reviewed
14.1.9
Contact numbers are provided
14.1.10
A crisis management team is available for

escalation beyond site capabilities
15
Incident or hazard reporting and investigation
15.1
Responsible party
15.1.1
There are linked procedures for reporting and

investigating hazards and incidents
15.1.2
The method for informing employees of

incidents, hazards, risks and corrective actions
is defined
15.1.3
Arrangements are in place for reporting

accidents and incidents to the regulator
15.1.4
Arrangements are in place for monthly reporting

to the regulator
16
Safety and health information and reports
16.1
Responsible party
16.1.1
Y/N
Comments
Procedures are in place for the collection,

maintenance, and confidential retention of
employee safety and health records
17
Safety management system (SMS) audit
17.1
Responsible party
17.1.1
An audit program is established, implemented

and maintained
17.1.2
Audit schedules are synchronised under one

campaign audit program
17.1.3
Procedures are in place for the reporting of audit

results and implementation of corrective actions
17.1.4
Employees are involved in the audit process
17.1.5
Senior management reviews audits and

outcomes, and monitors timely implementation
of corrective actions
Page 55 of 55

Developing A SMS For A Petroleum or Geothermal Energy Operation

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Developing a safety management system (SMS) for a petroleum

or geothermal energy operation guide

Level 1, 303 Sevenoaks Street (cnr Grose Ave), Cannington WA 6107

General requirements .................................................................................................................4

Overview of the facility ...............................................................................................................4

Health, safety and environment policy statement ...................................................................4

Organisational chart, structure and responsibilities ..............................................................5

Employee selection, competency and training arrangements ..............................................5

Consultation and communication of safety issues and involvement of employees ...........5

Specify all principal Australian and international standards to apply ..................................5

Hazard identification, risk assessment and control ................................................................6

Materials handling and storage .................................................................................................6

Independent third-party inspection and certification .............................................................6

Emergency preparation ..............................................................................................................7

Hazardous area classification and control of ignition sources .............................................7

Management of change process defined in policy or procedure ..........................................7

Incident management and reporting.........................................................................................8

Monitoring, audits and review, and record keeping ................................................................8

Camp standard and operation ...................................................................................................8

3 Emergency response manual ................................................................................... 9

Emergency plan and incident procedure .................................................................................9

Relevant emergency response manual or diagram ................................................................9

Emergency response .................................................................................................................10

Emergency equipment ...............................................................................................................10

Medical emergency .....................................................................................................................10

Emergency drills .........................................................................................................................10

Emergency drill audit or review ................................................................................................10

Emergency training ....................................................................................................................10

4 Bridging document .................................................................................................... 11

Project overview .........................................................................................................................11

Organisation and responsibility ................................................................................................11

Communication and reporting ..................................................................................................11

Activities and responsibilities ...................................................................................................11

Health and safety information ...................................................................................................11

Hazard or risk and incidents ......................................................................................................12

Developing an SMS for a petroleum or geothermal energy operation

Emergency response .................................................................................................................12

5 Evaluating an SMS ..................................................................................................... 13

6 Evaluating an emergency response plan................................................................. 42

7 Evaluating bridging and SIMOPS documents ......................................................... 50

Developing an SMS for a petroleum or geothermal energy operation

An operator or licensee wishing to conduct petroleum or geothermal energy operations in Western

Petroleum and Geothermal Energy Resources (Management of Safety) Regulations

The SMS documentation must address the elements of:

overview of the operation and location (i.e. facility description)

safety procedures to address control measures

inclusion of contractors and other non-employees in the items above.

The SMS generally comprises two parts:

an emergency response manual.

site-specific hazards will be managed

potential incidents will have an appropriate and efficient response.

be commensurate with the size and scope of the project

be in a form acceptable to the determining authority

Risk assessment and safety manual

What assumptions were made during the process?

a risk assessment appropriate to the type of facility has been conducted

Overview of the facility

Safety, health and environment policy statement

drug and alcohol policy

site meteorological conditions

Developing an SMS for a petroleum or geothermal energy operation

Organisational chart, structure and responsibilities

Employee selection, competency and training arrangements