Hsems 8 Elements

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

to them?
1 Do leaders discuss and review with employees and contractors 2

progress against meeting specific 'results' and 'activity' HSE
targets. This usually takes place at staff appraisal and pre contract
award?
2 Are there regular management HSE statements demonstrating 2

commitment at the highest level?
2 Is there sufficient visible demonstration of commitment to HSE at 2

different management levels?
- Does this notably include putting HSE matters high on the
agenda of meetings (Board downwards)?
2 Is there a clear message that everyone is responsible for managing 2

HSE as part of their individual activities?
2 In visibly demonstrating their commitment to HSE, do line 2

supervisors lead by example?
- setting a personal example in day-to-day work e.g wearing correct
PPE?
- attendance at monthly departmental HSE meetings?
- attendance at and chairing own HSE meetings?
- attending subordinates HSE meetings?
- actively supporting daily safety discussions and 'toolbox'
meetings?
2 Who is responsible for management inspection follow-up? 2

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

EP HSE 13-May-02 Page 1
3 In visibly demonstrating their commitment to HSE, do managers 2

lead by example?
- Setting a personal example in day-to-day work and following the
company rules?
- Attendance at and chairing management level HSE meetings?
3 Is there an active HSE dialogue between company and contractor 2

management?
3 Do line supervisors communicate company HSE objectives and 2

targets to subordinate staff and contractors?
3 Does the workforce think that line supervision consider HSE 2

matters to be an integral part of managing the business?
1 Do leaders actively participate in HSE activities such as training, 3

reward and recognition schemes, industry/contractor workshops,
conferences and audits?
2 Is there an effective management inspections programme, covering 3

company/contractor facilities and operations?
- Is there an annual schedule for management inspections?
- How often is the schedule cancelled or changed?
2 Does the management inspection team include: 3

- At least one senior manager?
- The HSE department?
- The line?
- Medical department?
2 Is there feedback to the contractor management? 3

- Are minutes made and distributed?
- how long after the inspection?
3 Is there visible demonstration of commitment to HSE at different 3

management levels?
- Communicating the importance of HSE considerations in
business decisions?
- Recognition of performance when HSE objectives and targets are
achieved?
3 Do managment attend HSE meetings/conferences outside 3

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

3 In visibly demonstrating their commitment to HSE, do managers 3

lead by example:
- Participation in the execution of HSE plans?
- Being actively involved in HSE activities and campaigns?
- Being actively involved in HSE review and analysis sessions?
- Discussing HSE with employees at all levels?
- Coaching employees who need to do better?
3 Do senior management participate in work site visits and 3

departmental/subordinate HSE meetings?
- Reading of and acting on HSE reports?
- Conducting HSE audits or inspections personally (including
remote sites)?
- Are these documented?
3 Do line supervisors conduct regular HSE visits, inspections and 3

audits to site?
3 During visits/inspections/audits, are activities ever stopped 3

because they were concluded to be unsafe?
3 How frequently do Senior management and Department heads 3

make HSE inspections?
- Are the inspections conducted following an agreed programme
and procedure or established practice?
- Are records (itinerary and action items) kept of their visits?
3 During management site visits and inpections: 3

- Do managers wear the required PPE?
- Is Unsafe Act Auditing a routine feature of these inspections?
- Are operations staff interviewed?
- Is there a structured list of questions?
3 What is the general status of follow-up on management inspections 3

for the audited operations?
- Are highlights of the inspection discussed in management
meetings and or HSE meetings?
- Are lateral learning points distributed to relevant staff?
3 Does Contractor Corporate and Country Management carry out 3

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

1 Do leaders drive the process for HSE excellence? 4

- Do all levels 'own' the HSE management process?
- Do the documented surveys of employee perceptions confirm
that employees believe the company is committed to HSE?
2 Is there structured and repeated management HSE communication 4

to highlight to staff that:
- Supervisors are accountable for their subordinates' HSE
performance?
- Following HSE rules is a condition of employment?
2 Do management issue HSE communications to highlight to 4

contractors that meeting company HSE standards is:
- A prerequisite for continued employment under existing
contracts?
3 Do managers at all levels ensure that decisions/practices are 4

consistent with HSE policy and objectives?
3 Have management provided a culture in which staff and 4

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

1. LEADERSHIP AND COMMITMENT 3.1.1.2 Proactive in target
setting
3.1.1.2 Proactive in target setting assessment level
1 Do leaders participate in the review of reactive indicators i.e. 1

'results' such as LTIs, spills, emission.
- Are these reviews documented?
- Is there evidence of effective follow-up?
3 Are investigations of serious incidents led by Managers of an 1

appropriate level?
1 Do leaders participate in the development of objectives and target 2

setting for H,S & E management 'activities', (proactive indicators)
as well as 'result' indicators?
1 Do leaders jointly develop and discuss and review HSE targets, 3

'results' and 'activity' improvement with employees and
contractors?
2 Do managers require HSE plans from their subordinates and 3

visibly verify implementation of HSE plans and actions they
3 Does management review corporate performance against objectives 3

and targets?
- At least quarterly?
- Is a summary of that review available?
1 Do they ensure that all staff have been given pro-active and 4
re-active targets?
- Is there recognition of performance when HSE objectives and
targets are achieved?
3 Have line supervisors received/set specific HSE tasks and targets 4

(individually and/or as related to the department/contractor)?
- Do line supervisors set challenging HSE targets for all
subordinates?
3 How and how often is progress versus targets reviewed? 4

1. LEADERSHIP AND COMMITMENT 3.1.1.3 Informed involvement
3.1.1.3 Informed involvement assessment level
1 Are leaders not convinced that the systematic management of HSE 1

and measurement of the effectiveness of such a system is more
important than the reactive measurements such as LTIs?
1 Do leaders review the progress both in the development and the 2

content of HSE - management systems and HSE Cases and make
available the resources and expertise to meet the targets?
2 Do senior management hold subordinates accountable for 2

conducting HSE meetings on the following minimum basis:
- Departmental management: Monthy?
- Work site management: Weekly?
- Team supervision: Daily 'safety topic' or 'tool box' meetings?
3 Do managers stimulate full recognition of HSE risks across the 2

entire spectrum of the business?
3 Do managers actively support consistent application and/or 2

development of the various risk recognition and documentation
techniques, e.g.:
- HSE Cases,
- Environmental Impact Assessments (EIAs)?
- Health Risk Assessments (HRAs)?
3 Has management provided an effective structure and sufficient 2

resources to manage HSE?
- Has this structure been communicated to and is it understood at
all staff levels?
- Do managers provide sufficient resources to enable management
of HSE risks ?
3 Does the Chief Executive chair the Management HSE Committee? 2
- Are the meetings held at a minimum quarterly frequency?

- Do managers verify that regular HSE meetings are held at all
3 Do the workforce see management and line supervision taking 2

action and providing resources to support their stated policy and
objectives?
3 Do line supervisors enforce formal and on-the-job training and 2

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

1 Are Management fully aware of the priority areas for 3

improvement in the HSE-MS identified during Management
Reviews and of the status of the follow up?
3 Has management provided funds: 3

- For hardware to allow elimination of risks where possible?
- Appropriate staff resources to allow operation maintaining the
risks at ALARP ?
3 Do managers ensure that their staff: 3

- Are adequately empowered to effect HSE improvements?
- Have and use proper work procedures?
- Are fully trained and understand their equipment and jobs?
- Are given adequate time for training needs?
3 Does Management ensure that HSE aspects of business decisions 3

are evaluated and taken into account before final decisions are
reached?
3 Do managers at all levels ensure that conflicts between HSE and 3

cash flow are effectively balanced?
- Do they refuse to order or sanction 'short-cuts' or to save time or
money as a compromise on agreed HSE standards?
3 Do management and supervisors have credibility with the work 3

force on HSE matters?
3 Is there a formal statement of mandatory HSE requirements and 3

does line supervision personally ensure all staff are fully aware of
them?
- For example:
- compliance with HSE policy, standards and procedures?
- formal HSE training?
- on-the-job HSE training?
- wearing of PPE?
- equipment and tools to be used?
- response in HSE emergencies?
1 Are Managers personally involved in improvement efforts 4

resulting from Management Reviews?
3 Do management provide adequate and timely response to 4

improvement suggestions and initiatives from subordinates?

3 Do employees consider that management are committed to HSE 4

and are serious about the priority of HSE?

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

current Chief Executive?
0 Does the Company HSE policy specifically highlight that 2

individual staff are:
- Accountable for ensuring HSE systems are in place prior to
commencing work?
- Empowered to suspend his own or others' work where the risk is
unacceptable?
1 Do the company HSE Policy and Commitment statements comply 2

with Group requirements as a minimum and reflect company
circumstances?
1 Are there specific and clear daughter policies are available for all 2
areas relevant to the OU?
1 Are the Contractors' HSE policies consistent with the Company 3

HSE policy?
- Are the contractor's HSE policy statements dated and signed by
their current Chief Executive?
1 Is there a Company statement on Joint Ventures (JV) available? 3
2 Has the Company developed specific, clear and concise policies in 3

the areas of:
- Drugs (medicines and illegal drugs)?
- Alcohol abuse?
- Road safety?
- Smoking?
- Gas flaring or venting?
- Others (social aspects, effluents)?
2 Is Contractors HSE-MS compatible with Companys? 3
2 Do Contractors have HSE related daughter policies? 3
2 Do contractors have HSE related daughter policies consistent with 3

company daughter policies?

2. POLICY AND STRATEGIC OBJECTIVES 3.1.2.1 Content
2 Does the Contractor HSE policy specifically highlight that 3

individual staff are:
- Accountable for ensuring HSE systems are in place prior to
commencing work?
- Empowered to suspend his own or others' work where the risk is
unacceptable?
1 Is the HSE Policy reviewed as part of the HSE-MS review? 4
1 Are comments sought from stakeholders during the review 4

process?

2. POLICY AND STRATEGIC OBJECTIVES 3.1.2.2 Dissemination
3.1.2.2 Dissemination assessment level
1 Do employees and contractors know where to find a copy of the 1

HSE Policy of their company?
2 Is the company HSE policy included in tender documents and is 1

the company's expectations discussed with potential contractors?
1 Is the current HSE Policy is prominently displayed in a language 2

understood by all employees and contractors?
- Has each employee a personal copy of the HSE Policy?
3 Is the Company HSE Policy prominently posted on bulletin 2

boards, in managers' offices, in manuals and handbooks?
3 Do company employees as well as contractor staff: understand the 2

Company HSE Policy contents and context?
3 Is the Contractor HSE Policy prominently posted on bulletin 2

boards, in managers' offices, in manuals and handbooks?
1 Is the personal relevance of the HSE Policy to all new employees 3

(company & contractor) explained to them by their immediate
supervisor?
- Do supervisors discuss revised HSE policies with employees?
3 When the Contractor's HSE policy was issued, was it handed to 3

and discussed with
- Each Contractor employee by his/her Line Manager?
- Was the same done with sub-contractors?
1 Can employees and contractors explain what they must do in their 4

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

2. POLICY AND STRATEGIC OBJECTIVES 3.1.2.3 Strategic Objectives
3.1.2.3 Strategic Objectives assessment level
1 Is there an HSE MS in place or under development which includes 1

an HSE Plan to meet the OU strategic objectives.
2 Are challenging HSE objectives set? 1
2 Has actual performance been taken account of when setting 1
2 Have Contractors set Objectives and annual HSE targets? 1
3 Has the Sustainability Assessment Guide (EP 950373) been 1

reviewed by the HSE department?
- Has the concept of SD been communicated within the Company?
1 Are the HSE targets described in the HSE Plan consistent with 2
those of the Shell Group (EP95-0140)?
- Is there a transparent cascade between OU corporate targets and
unit targets?
2 In setting Objectives, has Management considered the overall risk 2

levels of its activities and identified those critical operations and
installations, which require a fully documented demonstration that
risks have been reduced to ALARP?
2 Do the company's strategic objectives and annual HSE targets link 2

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

2. POLICY AND STRATEGIC OBJECTIVES 3.1.2.3 Strategic Objectives
2 Are Contractor Objectives and Targets consistent with Companies 2

Objectives and Targets?
- Have Contractor objectives and targets been effectively cascaded
down to operational levels?
2 Has the Company assessed what Sustainable Development means 2

to them and how they may contribute towards it?
1 Do audits confirm that the HSE Plan is functioning? 3

- Is there a process in place to effectively monitor progress against
the HSE Plan and verify the HSE results?
2 Has the Company developed objectives and a strategy on 3

Sustainable Development?
1 Are Senior managers measured on performance in setting 4

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

3. ORGANISATION, RESPONSIBILITIES, 3.1.3.1 Roles & responsibilities
RESOURCES, STANDARDS AND
DOCUMENTS
3.1.3.1 Roles & responsibilities assessment level
1 Is there a description of the current organisational structure and a 1

description of the relationships of all parties involved in the
operation including partners, contractors and regulators?
2 Is the Company Organisation adequate for its workload? 1

- Including development, implementation and management of the
HSE-MS?
2 Is it clearly defined whether smaller contractors fall under 1

Company responsibility, or under Contractor responsibility (i.e.
are subcontracted)?
2 Do the Company organisational structure and allocation of 1

resources reflect that handling of HSE is a line responsibility.
2 Is there a separate Company HSE organisation and if so: 1

- What are its terms of reference?
- Is the organisation adequate for its current workload?
2 Are current Company organograms available? 1

- Is distribution subject to document control?
- Are they regularly updated?
2 Does the Contractor organisational structure adequately describe 1

the relationships between:
- The various operations sections?
- Operating sections and supporting services?
- All Subcontractors?
2 Do the Contractor organisational structure and allocation of 1

resources reflect that handling of HSE is a line responsibility.
2 Is there a separate Contractor HSE organisation and if so: 1

- What are its terms of reference?
- Is the organisation adequate for its current workload?
2 Are current contractors organograms available? 1

- Have they been distributed to appropriate Company staff?
- Are they regularly updated?
3 Are all staff and employees made aware of their HSE 1

responsibilities when joining the company?

DOCUMENTS
1 Does the HSE MS include a description of all HSE critical 2

activities and the HSE responsibilities of employees and
contractors in undertaking these activities. Supervisors, employees
and contractors know these?
2 Are job descriptions available for each position (company and 2

contractors)?
- Are HSE responsibilities described in these
- Are they agreed with and issued to staff?
2 Who is the Custodian of the HSE Management System? 2
1 Are HSE critical activities defined and known by contractors and 3

employees responsible for their implementation together with the
inputs, outputs, performance standards, verification and
competency requirements?
2 Is there an explicit right for all staff to refuse work that damages 3
one's health, is unsafe or will damage the environment?
2 Has a management representative been assigned responsibility, 3

authority and accountability for co-ordinating implementation and
maintenance of the HSE-MS?
2 Are responsibilities at departmental interfaces defined? 3

- How is co-ordination of activities across departmental boundaries
arranged?
3 Are authority levels given commensurate with assigned 3

responsibilities?
3 Is HSE fully understood and implemented in the line? 3

- At all levels in the company?
- Do Line managers and supervisors accept responsibility for all
aspects of their subordinates' HSE performance?
3 Do all employees accept responsibility for their own and 3

colleagues' safety and health protection?
1 Individual HSE responsibilities are known and understood by all 4

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

DOCUMENTS
3 Are responsibilities regularly reviewed and updated in conjunction 4

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

3. ORGANISATION, RESPONSIBILITIES, 3.1.3.2 HSE Advisors
DOCUMENTS
3.1.3.2 HSE Advisors assessment level
1 Is quality specialist advice is readily available to line personnel on 1

all H, S & E issues?
- Do HSE advisers meet relevant (regulatory) professional
requirements?
2 Have HSE advisers / focal points been nominated in the contractor 1

organisation?
2 What training has the HSE adviser(s) received? 1

- HSE Management Training?
- Environment?
- Occupational Health?
3 Are HSE advisers appropriately trained to deliver professional 1

advice within the defined scope of responsibilities and duties?
3 Is there adequate experience of line operations amongst HSE 1

advisers?
1 Is the role and reporting relationship of the HSE Advisor(s) fully 2

defined in the HSE-MS and understood by all staff?
- Do the HSE adviser(s) have direct access to the Chief Executive?
2 Is the HSE Department custodian of the HSE-MS? 2
3 Is there an appropriate balance between line staff and HSE 2
3 Is there a line HSE focal point? 2

- Does he report to the appropriate organisational level?
- Are his/her responsibilities and duties documented?
- Are his/her responsibilities and duties known to other staff?
1 Is HSE fully understood and implemented in the line and only 3

specialist advice is required from HSE advisors?
- Is this advice sought and acted upon?
3 Do the line managers accept responsibility for implementing the 3

HSE-MS in their areas.?

3. ORGANISATION, RESPONSIBILITIES, 3.1.3.2 HSE Advisors
DOCUMENTS
1 Can HSE advisors demonstrate that they regularly support the 4

drive for continuous improvement in HSE-MSs across the
operation?
- By proactive challenge?
- By comparison with and promotion of best Group/Industry
practice?
3 Is the HSE department involved in monitoring the quality and 4

timely completion of HSE Cases?

3. ORGANISATION, RESPONSIBILITIES, 3.1.3.3 Resourcing
DOCUMENTS
3.1.3.3 Resourcing assessment level
1 Has there been a review of the resourcing levels required to 1

conduct the operations, notably taking into account:
- Risk level?
- Emergency procedures?
- Leave and Competency levels?
3 Are the manpower review results realistic and have they been 1
agreed with appropriate supervisors and line managers?
3 Is the agreed manning in line with manning philosophies and facts 1

e.g.?
- Facilities manning e.g. ad-hoc, day shift only, 24 hr/day?
- Activities manning e.g. single person visits, buddy system?
- Realistic transport times to reach facilities?
3 Are forecasted activity levels adequately planned for? 1
3 What are the leave rotation schedules for various staff? 1

- Is this strictly adhered to?
- Is proper hand-over in place?
- Do any staff spend excessively long periods on-site without
break?
1 Is the establishment described or referred in the HSE MS or HSE 2

Case?
2 Are there formal procedures or policies which describe: 2

- Minimum number of people required/allowed at the
facility/worksite at any one time?
- Manning requirements for certain hazardous activities?
2 Are there formal procedures or policies which describe: 2

- When accessing heights?
- Tank dipping?
- Electrical maintenance?
- HV switching?
- Accessing bilge tanks?
- Night operations?
3 Have adequate resources been provided for effective 2

development/implementation and management of the HSE-MS?

DOCUMENTS
1 Does the actual resourcing meet the requirements described in the 3

HSE MS or HSE Case in number and competency?
3 Does the current establishment (Company and Contractor) meet 3

the defined criteria (as described in the HSE-MS)?
- Approved establishment?
- Actual manpower in place?
- Competency?
3 Is the HSE Department adequately staffed to fulfil its role? 3
3 Is the Contractor manning levels adequate for its workload 3

including development, implementation and management of the
HSE-MS/HSE Case?
- Approved contractor establishment?
- Actual contractor manpower in place?
- Competency?
3 Are the contractor manpower levels adequate to comply with the 3

requirements as per the contract:?
- Are HSE requirements met?
- Is there adequate supervision?
3 Is excessive supervision required by company staff to ensure 3

contractually prescribed work quantity and quality is being
delivered?
3 If a significant percentage of staff is temporary, is training and 3

hand-over adequately handled?
3 Is facility manning and/or activity execution ever undertaken in 3

non-conformance with the formal procedures and policies?
3 Are manning levels adequate to allow regular worksite visits by 3

foremen and supervisors?
- How often do these worksite visits take place (daily, weekly,
monthly)
1 Are changes to resourcing levels and competencies and associated 4

risks assessed as part of the change control procedure?

DOCUMENTS
1 Are supervisors trained and encouraged to recognise the symptoms 4

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

3. ORGANISATION, RESPONSIBILITIES, 3.1.3.4 Competency Assurance
DOCUMENTS
3.1.3.4 Competency Assurance assessment level
1 All staff and employees are made aware of their HSE 1

responsibilities when joining the company.
2 Is there an initial formal induction for new and transferred staff? 1

- Is the induction programme available to company and contractor
staff?
2 Does the work site induction training cover: 1

- Environmental hazards and effects?
- Fire?
- Legislative requirements?
- General safety rules and procedures?
- Hazard awareness and reporting?
- Occupational health?
- Other emergency response?
- Security?
2 Are records kept of company and contractors employees who 1

attended the HSE induction?
2 Are new managers and supervisors given a company HSE 1

orientation programme?
- Is there a written standard for the orientation programme?
- How many hours is orientation programme?
- How soon after arrival is the programme given?
- Are records kept?
3 Is it mandatory that all new company and contractor employees 1

attend the induction before they are allowed to work on site?
- How long does the induction training take?
- Does a member of senior management introduce the induction
briefing?
- is there any involvement of line supervision in the induction
briefings?
3 Is HSE induction training given to contractor staff? 1

- Does the HSE induction training for contractor staff cover all
contractor staff?
1 Is there a competency assurance process is in place for company 2

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

DOCUMENTS
2 Is there a formal requirement for supervisors to develop critical 2

skills in their staff through on-the-job coaching?
- Is this documented in job descriptions and tasks and targets?
2 Is there a formal on-the-job training scheme? 2

- Which staff levels are part of this?
- How is it controlled?
- How is progress measured?
- Are progress and relative competence checks signed off by
supervisors?
2 Is there a system of HSE Management training for supervisors? 2

- What percentage of supervisors have attended such a course?
3 Has the company defined minimum competence/training and 2

experience levels for each Company staff position?
- Are minimum experience level requirements complied with?
3 Are mandatory training requirements achieved? 2

- For HSE critical positions?
- For all positions?
- Are records being kept?
- Who is responsible for updating the records?
3 Are state-of-art training aids available:? 2

- Films/videos?
- Self-teaching aids?
3 Have Company and Contractor management attended a HSE 2

management course?
(eg. Managing HSE in the Business Workshop (previous V2FA)?
What percentage of managers have attended such a course?
1 Is a competency assurance process as described in Level 2 above 3

also in place for the employees of contractors in positions with
responsibility for HSE critical activities?
2 Does the competence requirement analysis equally appraise: 3

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

DOCUMENTS
2 Are staff competence requirements adequately specified in 3

contracts? do they cover:
- Specific site hazards?
- Anticipated staff turnover?
- Specific HSE training requirements?
- Medical requirements?
2 Who is responsible to check that new contractors are aware of and 3

are practising the contractual HSE competence regulations e.g.:?
- Induction training?
- Mandatory HSE training?
- Competence requirements
- Does Company verify and approve the quality of induction
training as provided by Contractors?
2 Are the contractually required contractor staff competency 3

requirements met?
- Induction training?
- Mandatory HSE training?
- Competence requirements
- Are records being kept?
2 Is there an overall programme for HSE training? 3

- Does the Programme include:
- HSE management inc all HSE-MS elements?
- Job procedures?
- Occupational health control?
- Road safety?
- Eenvironmental issues?
- Supervisory development
2 Is there a system of formal training for operators of mobile 3

equipment such as cranes, forklifts?
- Does the system include issue of formal operators
references/certificates?
- Are these certificates verified prior to allowing work to start?
2 Does supervisory development training cover: 3

- Proper job/task instruction?
- Skill development coaching?
- Concise task assignments?
- Personnel management skills?
- Communications skills?
3 Has the company/contractor defined minimum competence/training 3

and experience levels for each Contractor staff position?

DOCUMENTS
3 Are competency and medical requirements for potential 3

sub-contract staff covered as well?
- How is the skill and experience level of potential sub-contract
staff specified and verified?
3 Does the system for competence verification differentiate between 3

:
- Initial recruitment for existing tasks?
- Initial recruitment for new tasks?
3 Do supervisors check the knowledge of a new addition to the 3

team?
- On trade specific skills/procedures?
- On company HSE regulations?
- On departmental HSE procedures?
- On emergency procedures?
3 Do supervisors check the knowledge of a new employees on their 3

first day on site?
- Including contractor and sub-contractor staff?
- Are records kept of these checks?
- Do records include conditions set prior to being allowed to work
on his/her own?
3 Are visitors briefed and their knowledge checked regarding specific 3

HSE procedures on the site?
- Are they briefed on the action they are to take if an alarm
3 Does the supervisor check the knowledge of staff by going through 3

a procedure with them?
- Are both existing and new procedures equally covered?
- Is this done on-site or in the office?
- How often is this repeated?
- Are there records kept
3 What on site competence checks have staff experienced 3

personally?
Were they ever asked to demonstrate competence before being
allowed to operate on their own?
- Who makes these checks?
3 Have they received training in: 3

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

DOCUMENTS
3 Are training standards for Contractor and sub-contractor staff 3

equivalent?
- Notably if use is made of sub-contracted staff within the
Contractor organisation?
1 Are the competency requirements of all positions involving HSE 4

critical activities periodically reviewed and improved and the
competency of staff reassessed and gaps addressed?
2 Is there a systematic analysis of competence requirements for 4

tasks?
- Does the analysis differentiate between?
- Initial recruitment for existing tasks?
- Selection of existing staff for new activities?
- Are there documented guidelines covering the analysis of
competence requirements for tasks?
2 Is there a process defined for individuals who are found to be 4

not-yet-competent?
- Company staff?
- Contractor or sub-contractor staff?
2 Does the system notably aim at increasing competencies of staff in 4

HSE critical positions, covering e.g.:
- Job Procedures?
- Road Safety?
- Incident Investigation?
- Supervisory skills?
2 Is a database in place allowing the status of (refresher) training of 4

individuals to be easily verified?
3 Are staff not accepted in an HSE critical job until minimum 4

requirements are met?
3 Is the competence of staff regularly reviewed and appraised at 4

least annually?
3 Do staff themselves believe that they have received sufficient 4

training before being allowed to carry out their duties?
- Company staff?
- Contractor staff?
- Subcontractor staff?
3 Do line supervisors and management take a leading role in 4

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

DOCUMENTS
3 Is sufficient HSE training available to all levels of the workforce? 4
4 Does the system for competence assessment and verification 4

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

3. ORGANISATION, RESPONSIBILITIES, 3.1.3.5 Contractors
DOCUMENTS
3.1.3.5 Contractors assessment level
1 Is Contractor HSE competence assessed in the light of the risks to 1

be managed during the contract prior to the invitation to tender and
award of contract?
2 Have contractor's HSE responsibilities been clearly defined in 1

contracts?
2 Are records kept of contractors' past HSE performance? 1
2 Does contractor performance monitoring include Health and 1

Environmental performance?
2 Are relevant HSE clauses in contracts adequate? 1
3 Is account taken of the level of risk to be managed in the Contract? 1
3 Are visits to contractors' premises part of pre-tendering and 1

evaluation procedures?
3 What assessment of contractors' HSE management potential is 1

made?
3 If a contractor with a poor HSE performance is accepted? 1

- Is money allocated for improving his performance?
3 Has the company communicated to the contractor specific: 1

- Site hazards w.r.t. health, safety and/or environment?
- Manning level requirements, relief schedules?
- Staff competence requirements?
3 Are copies of all contracts available with appropriate parties? 1

- Company site supervisors?
- Contractor site representatives?
- Are these parties familiar with the HSE relevant parts of the
contracts?
1 Is Contractor mobilisation conditional on receiving a description 2

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

3. ORGANISATION, RESPONSIBILITIES, 3.1.3.5 Contractors
DOCUMENTS
3 Are contractor site inspections made prior to and during contract 2

start-up to verify that?
- Contractor staff are familiar with company practices and
procedures?
- Permit to Work?
- Journey management?
- Waste disposal?
- Hygiene?
3 Does the company prior to allowing the contractor to sublet the 2

work vet the contents of all sub-contracts terms?
3 Are the work schedules of the sub-contractor compatible with 2

applicable contractor and company HSE standards?
3 Is the value of good planning demonstrated during Contract 2

management?
1 Is compliance with the contractors own HSE MS audited within an 3

audit programme defined in the contract.
- Are actions to be taken in the event of different levels of non
compliance defined in the contract.
1 Are the HSE management systems of contractors subject to 4

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

3. ORGANISATION, RESPONSIBILITIES, 3.1.3.6 Communication
DOCUMENTS
3.1.3.6 Communication assessment level
1 Is there an effective hierarchy of HSE meetings at all levels within 1

Company and Contractor?
2 Are contractor HSE meetings consistent with Company ? 1

- Do sub-contractor staff attend HSE meetings?
- What level of contractor management does attend?
- Who attends from the company?
- Does the contract holder attend? How often?
2 Is the process of recording and disseminating the HSE meeting 1

proceedings adequate?
- Distribution of minutes?
- Posting on HSE bulletin boards?
- Other applicable parties (lateral learning)?
3 Does senior and middle management participate in lower levels 1

HSE meetings?
- Do they provide focus on compliance with program standards?
- Do they make special presentations on HSE topics?
3 Does the HSE meeting structure allow employees full 1

involvement?
- Does it allow employees own ideas and suggestions to be heard?
3 Are special meetings also held after an incident? 1
3 Is the process that ensures that HSE meetings are attended and/or 1
their contents disseminated adequate?
- Is attendance compulsory?
- Are staff levels in attendance?
- Has any member of top management participated?
3 Is the process that selects the topics for discussion at the HSE 1
meetings adequate?
- Are the themes for HSE meetings planned in advance?
- How are topics selected and decided?
- Incidents?
- Theme of the month?
- New plans/equipement?
3 What are workers reactions to HSE and 'tool-box' meetings? 1

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

DOCUMENTS
1 Is there an effective system in place for the timely transfer of HSE 2

information and feedback across all levels in the company and
contractors?
- Are all employees aware of key HSE information and
expectations?
2 Have the HSE risks and hazards of work activities been adequately 2
communicated to all company and contractor employees?
- Induction discussions/courses?
- Safety Cases?
- HSE and/or 'toolbox' meetings?
2 Are guidelines available for carrying out HSE meetings? 2

- At what frequency are meetings to be held?
- Is agenda and other reading material issued to attendees prior to
meetings?
- Who is to chair the meetings?
2 Are the communications techniques used adequate and appropriate 2

?
- Personal contact?
- Inter-active video?
- Video?
- Notice boards?
2 Are HSE bulletin boards available in sufficient quantity and in the 2

appropriate locations, carrying appropriate and current
information?
- Are up-to-date HSE performance indicators posted at HSE
2 Are focussed HSE campaigns conducted effectively? 2

- How many HSE themes were promoted within the past twelve
months?
- Was the selection of HSE themes based on critical problems?
3 Has the company adequately shared its HSE experiences with its 2
Contractors?
- At Management level?
- At Department Head level?
- How often are meetings held?
- What are the main subjects of meetings?

DOCUMENTS
3 How are the general HSE rules and procedures communicated? 2

- In the language that can be understood?
- Is there a briefing or is it purely a paper communication?
- Is employee and contractor understanding verified?
- By whom, how and how often?
3 Have the potential consequences of departure from HSE critical 2

procedures and/or performance targets been adequately
communicated to all levels within the Company and Contractor?
- Risk to employee himself and colleagues?
- Disciplinary action?
3 Is there evidence of open communication on HSE 2

accidents/incidents and is its coverage adequate?
3 Are safety alerts and bulletins distributed, displayed? 2
3 Has the company disseminated adequate information on 2

emergency response procedures?
- Availability of emergency response procedures?
- Formal emergency response training courses?
- Emergency response preparedness training via exercises?
3 How are language and/or comprehension problems assessed, dealt 2

with and understanding verified?
- Do supervisors and crew have a common language?
- Are translators with work experience available in the crews?
3 Are any of the supervisors proficient in the local language? 2

- Is there a requirement for bilingual foremen in the contracts?
- Are language training courses available?
3 Are HSE signs and information available in the local language? 2
3 Are pre-job and/or tool-box meetings held, where risks and barriers 2
are discussed?
- Do these meetings cover:all of HSE?
3 Does the Company newsletter effectively communicate issues and 2

material related to HSE?
- How often is it distributed?
- Does it reach all employees?
- Do all employees comprehend and value the newsletter?
3 Are posters available and appropriately placed to support specific 2

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

DOCUMENTS
3 Are line management and supervisors visible and motivating in 2

setting examples by adhering to safe working practices themselves?
3 Is the need for compliance with procedures constantly and 2

consistently being discussed and encouraged ?
- During HSE meetings?
- During activity toolbox meetings?
- By supervisors during supervisory worksite visits?
1 Is there a formal process to address HSE matters raised by 3

employees, contractors, customers, government agencies and the
public?
2 Are there company focal points for dealing with the different 3
authorities?
2 Is there a check-list of reports/studies required by governmental 3

agencies?
- Does the check-list include the report date and file location?
2 What Contractor-wide and/or industry sector communication 3

forums exist?
2 Is there training available in the effective running of HSE meetings? 3
2 What specific type of HSE incentive schemes are used, if any? 3

- Small rewards to large number of people?
- Large rewards to a few people?
- Is award based on positive contribution, not accident rate?
3 Is the HSE department involved in communication regarding HSE 3

issues?
3 Are communications with the regional Police and Emergency 3

services effectively in place?
3 Are HSE contests/competitions held? 3

- Do senior or line managers present safety awards or recognition?
3 Is the meaning of the HSE performance indicators well understood 3

by all?
3 Are employees sufficiently informed on exposure sampling results 3

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

DOCUMENTS
1 Is there a consultation programmes are in place to identify and act 4

upon HSE concerns of communities and other stakeholders.
- Are the HSE Policy, targets and verified performance of the
company provided in a clear format with a process for feedback.
2 Has senior management communicated the company's HSE 4

objectives and performance to Government and other authorities?
2 Is the Companys environmental performance being externally 4

verified and reported consistent with Group Policy?
2 Is there a system in place to maintain external factors awareness: 4

- Who is responsible?
- How is information disseminated?
3 Is the HSE Case and HSE-MS reviewed by the authorities? 4

- How often?
3 Are Company expectations of the Police and Emergency services 4

shared, understood and accepted by them?
3 Is there adequate awareness of external factors which might 4

influence the HSE performance and/or business of the company?
- Third party pressure groups (e.g. Greenpeace, Friends of the
Earth)?
3 Is there adequate awareness of external factors incuding: 4

- HSE problems of companies (oil and/or non-oil) operating in the
same environment?
- Governmental programs in HSE context?
- Labour Union HSE initiatives?
3 What is the role of the HSE Department in maintaining an 4

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

3. ORGANISATION, RESPONSIBILITIES, 3.1.3.7 Documentation - HSE
RESOURCES, STANDARDS AND MS Manual
DOCUMENTS
3.1.3.7 Documentation - HSE MS Manual assessment level
1 Are there HSE procedures available in the company and the 1

organistional units within the company?
1 Is there a corporate HSE-MS Manual for management? (paper, 2

CDROM or controlled web site)
- Is the HSE MS for the project / department or unit descriubed in
a an HSE-MS Manual?
- Does it cover all 8 elements in detail?
- Are shortfalls in the HSE-MS identified and is an action plan for
rectification in place?
1 Is the HSE MS Manual substantially complete? 3

- Has the environmental part of the HSE-MS it describes been
certified to conform with ISO 14001?
2 Does the documentation adequately and separately cover the 3

standards for:
- Occupational health?
- Safety?
- Environment?
3 How does the company seek to influence developing or emerging 3

legislation?
1 Is the HSE-MS Manual complete, maintained up to date and 4

subjected to continuous improvement?

RESOURCES, STANDARDS AND Case
DOCUMENTS
3.1.3.8 Documentation - HSE Case assessment level
1 Have all sites requiring HSE Cases been identified? 1

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

matrix (EP 95-0100).
2 Does the HSE Case document all the significant hazards and 2
potential risks of the activity /site / facility?
2 HSE Case Checklist: Is there a brief summary statement of the 2

objectives of preparing the Case, eg to meet legislation, to assure
that risks are reduced to ALARP, to demonstrate HSE risk
management, etc?
2 Is the Case specific to the facility / operation/ vessel? 2
2 Has ownership of the Case been defined? 2
2 Has responsibility for maintenance of the Case been defined? 2

- Is there a defined time period for revalidation?
2 Does the Case adequately describe the HSE-MS as implemented 2

for the facilitiy/ operation/ vessel?
2 In particular, is the "Evaluation and Risk Management Process" 2

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

DOCUMENTS
2 Does the Case have an Activity Catalogue? 2

- Are activities "HSE critical" or only "Hazardous"?
- Have the responsible party for the Activities and Tasks been
clearly defined?
- Has this responsible party signed the activity sheet?
2 Does the Case have an adequate description of the Operation, 2

focusing on HSE considerations?
2 Does the Operations description make reference to all the systems 2

required by contractual or regulatory requirements to be inspected
by either regulator or third party certifying authority, e.g. cranes,
pressure vessels, and relief systems?
2 Does the Case have a Hazard and Effects Register? 2

- Have the risks associated with "Major" Hazards been
demonstrated to be ALARP?
- Are all Occupational H, S and E Hazards and Effects adequately
covered?
- Are Hazards and Effects systematically assessed i.e. on a risk
matrix after the implementation of controls?
2 Have control tasks defined on the Hazard Sheets been assigned to 2

individual positions?
- Via the Activity Catalogue?
- Via Job Descriptions?
- Via special listings given to staff?
- Via work procedures?
2 Is the wording of control tasks specific and self-explanatory? 2

- Are staff aware of these tasks?
- How does management verify execution of these tasks?
2 Does the Case reference HSE-critical Procedures? 2
2 Does the Case refer to the Workplace Hazard Management 2

system(s) in place: PTW, Tag-out/Lock-out procedures, JSA's,
2 Does the Case have a Manual of Permitted Operations (MOPO)? 2
2 Is there a HSE Case remedial action plan? 2

- Has the line taken ownership of this plan?
- Is the remedial action plan dated?
- Is there documented evidence of progress made versus this plan?
2 Is there a signed and dated Statement of Fitness for the Case? 2

- Is the date sufficiently recent (i.e. relevant to the current
operation)?
DOCUMENTS
2 Is there an "Interface Document" or "Bridging ocument" (Project 2

Plan or other) in place to describe the interface between the
Company and Contractor HSE-MS's?
- Does this include the Emergency response Plan?
2 Has all legislation applicable to the operations been identified and 2

summarised?
- Does the summary contain an overview of practical implications?
- Is this summary well disseminated/accessible (in Company and
2 Are HSE legislation and permits documented/registered 2

documents?
- Do these include local, national and international (where accords
are signed or promulgated) documents?
1 Do Contractors document how all hazards and effects are managed 3

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

matrix (EP 95-0100)?
3 Are relevant staff made aware of the HSE Case? For example by: 3
- By participation in its development?
- Workshop at start of Project?
- Handout of relevant abstracts to all personnel?
- Handout of their tasks from the Case?
1 Is each HSE Case including those of contractors up to date? 4

- Are the interface documents up to date?
- Do these documents reflect current practice on the location or
activity?
- Are HSE Cases reviewed as per cycle specified in the Case?
2 Is there a defined Review Process of the Case, notably the Hazard 4

Register?

DOCUMENTS
3 Are HSE cases reviewed in addition to the stated frequency? For 4

example:
- Before major modifications to the facility?
- After an unsatisfactory HSE Audit?
- Prior to start of new seismic and drilling projects?
3 How is Contractor awareness of changes in e.g. legal requirements 4

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

4. HAZARD AND EFFECTS MANAGEMENT 3.1.4.1 Identification
3.1.4.1 Identification assessment level
1 Are the techniques for hazard & effects identification adopted by 1

the company documented?
- Are these techniques known by those employees responsible for
their use?
1 Are appropriate techniques such as Health Risk Assessment 2

(HRA), Environmental Assessment (EA) and HAZOP used on all
facilities and operations, new projects, acquisitions and
divestments?
Are the results documented in an inventory of hazards and effects?
2 Has the company systematically identified and documented the 2

HSE hazards and effects, which may affect or arise from its
operations? Does this cover:
- H,S and E
- Initial and routine plant start-up?
- Preventative, break-down and shut-down maintenance?
- Online and intrusive equipment inspection?
2 If not for done for all operations, has the specific activity audited 2
been subjected to HRA, EA, HIA, SIA, HAZID / HAZOP?
- Are these reviews stand alone or part of the HSE Case?
Is there a listing of "residual risks" of operations or failure of 3

control systems of operations that could have the following
potential results:
- Fire?
- Explosion?
- Spillage?
- Toxic emission?
- Death/injury?
- Civil unrest?
1 Is there a comprehensive inventory of HSE hazards and effects has 3

been documented for all units within the company.?
2 Is there a listing of identified HSE hazards and risks resulting from 3

operating the audited facility or executing the audited activity?

4. HAZARD AND EFFECTS MANAGEMENT 3.1.4.1 Identification
1 Is there a process for updating the hazards and effects listing as a 4

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

4. HAZARD AND EFFECTS MANAGEMENT 3.1.4.2 Assessment
3.1.4.2 Assessment assessment level
1 Have hazard and effects assessments been carried out as part of 1

new projects, acquisitions, divestments and major modifications?
3 Do HSE assessments form an integral part of any proposal for 1

acquisition, divestment, abandonment or merger of business
entities?
- Are business risks, related to HSE, assessed in joint ventures that
1 Have hazards and effects assessments been carried out for all 2
operations and assets, (includes workplace hazards).?
- Has the risk or significance of these been classified using the risk
matrix or equivalent and endorsed by management?
3 Have incidents and potential other HSE emergency situations 2

including those arising from the following been considered while
assessing the HSE risks:
- Product / material containment failures e.g.:
- fuel storage sites?
- flowline and pipeline transport?
- process equipment?
- fuel loading or transfer?
- Soil and/or ground water contamination?
- Waste storage or shipping of disposal failures?
- Emergency Shutdown System (ESD) failures?
- Lifting equipment failures?
- Helicopter crashes?
- Structural failure?
- Climatic, geophysical and other external natural events?
- Sabotage and breaches of security?
- Human factors including breakdown in the use of HSE-MS
procedures?
1 Do the assessments include health, safety and the environment 3

including impact on third parties?
- Do the assessment for environmental effects satisfy ISO 14001
requirements?
2 Is there a requirement for an EA before approval of any new or 3

changed facility, process, or activity?

2 Does the Environmental Assessment (EA) process and document 3

include:
- Stakeholder consultation?
- Assess the need for a Social Impact Assessment (SIA)?
- Assess the need for a Health Impact Assessment (HIA)?
- Relevant environmental legislation?
- A well defined project scope?
- Discussion on alternative methods / designs and alternatives?
- Environmental information relevant to the project scope?
- The impacts of the project?
- The required mitigation measures of the impacts?
- An Environmental Management Plan (EMP) ?
- does the EMP address monitoring, audits and reinstatement?
2 Are there adequate procedures in place to evaluate (assess) HSE 3

risks resulting from identified hazards and effects against
consistent screening criteria?
2 Do the risk screening criteria differentiate between being: 3

- Tolerable?
- Intolerable i.e. additional controls and measures are to be
implemented?
2 Do the risk screening criteria take into account probabilities of 3

occurrence and severity of consequences for:
- People (staff and public) w.r.t. health and safety?
- Environment?
- Assets?
- Company reputation
3 Are EAs carried out routinely for all new projects? Do they cover 3
all life cycle stages:
- Seismic
- Drilling
- Engineering
- Development
- Construction
- Operation
- Abandonment
3 At what stages in the project is the EA process initiated? 3

- Is the EA completed and approved before start of operations
/construction?
- Who is involved in preparing and reviewing EAs?
3 What is the operational view of the value of EAs? 3

1 Are the hazard and effects assessments kept up to date and 4

modified when circumstances change as part of the change control
procedure?
3 Are the original assumptions made in the hazard and effect 4

identification process reviewed to determine if they still apply?

4. HAZARD AND EFFECTS MANAGEMENT 3.1.4.3 Controls - and
ownership.
3.1.4.3 Controls - and ownership. assessment level
1 Have the controls and persons responsible for managing the 1

controls been identified for known risks?
2 Are there risks which have been identified as intolerable? 1

- Have adequate measures been defined and applied to reduce these
to tolerable levels?
3 Have risk reduction measures been defined for all HSE risks? 1
- Are these measures adequate? - do they suitably aim for risk
management at ALARP?
1 Can each 'significant' risk (including those in the workplace) be 2

demonstrably linked to a set of controls either preventative and/or
recovery?
- Is the quality of the controls commensurate with the risks?
3 How is waste management addressed in design e.g. 2

- Reduction at source as a prime objective in new design?
- Provision of treatment facilities e.g. aqueous effluents?
- Minimisation of gaseous emissions?
3 How does engineering: 2

- Ensures it knows of latest environmental technology?
- Incorporate alternative options and environmental cost / benefits?
3 During the design of the facility, service or pipeline, were the 2

following considered:-
- Location selection to minimise environmental impact?
- Occupational health and ergonomic impact?
- Separation of process equipment from personnel?
- On-line monitoring of emissions and effluents?
- Disposal facilities?
- Bulk versus packaged handling of raw chemicals?
- Minimisation of ignition sources?
- Structural integrity?
- Leak detection and shutdown?
- Soil protection and ground water monitoring?
- Emergency response and lifesaving requirements?
3 Are adequate controls, procedures or facilities available to manage 2

the risks?

4. HAZARD AND EFFECTS MANAGEMENT 3.1.4.3 Controls - and
ownership.
1 Are all controls for known risks and hazards assigned to 3

responsible parties?
- Are performance measurements defined for the maintenance of
the controls?
2 Is there a regular monitoring program in place for hazards and 3

effect and their associated risks?
3 Within the context of environmental protection: 3

- How is energy conservation / efficiency addressed?
- How is the necessity to phase out Halons addressed?
3 Are adequate controls in place to manage the HSE risks within the 3
levels defined as tolerable?
3 Are residual HSE risks being effectively managed to ALARP? 3
3 Do supervisors and workers understand their responsibilities for 3

HSE Critical Activities?
1 Have controls been revised as a result of changes, improvements 4

and more demanding targets e.g. in terms of waste, discharges,
emissions, conservation and as appropriate, establishment of
community devlopment projects?
2 Is the operation / facility regularly being audited to verify that its 4

risk management procedures are being adhered to?
- How often and by whom?
- Are the results documented?
3 Are the residual hazard management requirements satisfied in 4

practice?
3 Is the effectiveness of risk management regularly monitored and 4

reviewed?

4. HAZARD AND EFFECTS MANAGEMENT 3.1.4.4 Performance in
maintaining controls
3.1.4.4 Performance in maintaining controls assessment level
1 The means of measuring performance in the maintenance of critical 1

HSE controls are defined and documented?
1 Are performance indicators available for all HSE-critical activities 2

(e.g. for testing systems, emergency response times, procedures,
training effectiveness)?
- Are these included or referenced in the HSE Case and assigned to
individuals?
1 Is actual performance in undertaking HSE-critical activities 3

documented and trended against the performance activity
indicators set?
1 Is performance against activity indicators used in staff appraisal 4

and rewarded accordingly?

4. HAZARD AND EFFECTS MANAGEMENT 3.1.4.5 Recovery
3.1.4.5 Recovery assessment level
1 Are recovery procedures available in the company for general 1

emergency and contingency planning and for managing the
consequences of any failure to control hazards and effects?
1 Are the procedures in Level 1 referenced in the HSE MS and or 2

HSE Case(s) together with those responsible for updating,
implementing and checking implementation of the procedures?
1 Are all personnel familiar with their roles in control and recovery 3
procedures?
- Recovery procedures are regularly tested?
- Records are available to demonstrate that these procedures are in
place and performing satisfactorily under test?
1 Are the control and recovery procedures updated and their 4

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

4. HAZARD AND EFFECTS MANAGEMENT 3.1.4.6 Recording
3.1.4.6 Recording assessment level
1 Does the HSE-MS describe the procedures used in the analyses of 1

hazard and effects in the company.
1 Are all hazards and effects analyses described or referenced in the 2

HSE Case demonstrating that the selected option is ALARP?
- Are the controls in place to reduce risks to ALARP?
- Are all shortfalls identified in the remedial action plan?
2 Is there documented evidence of the consistent application of risk 2

reduction measures to reduce risk beyond the levels already
defined as tolerable e.g.:
- Additional procedures?
- Additional hardware?
- Additional manpower?
1 Do documents exists which describe all those activities which must 3

be discontinued or restricted in given circumstances (MOPO)?
- Are these documents based on HSE risk?
- Are they understood by all supervisors responsible for
operational decisions?
2 Does the Operations Manual clearly define process limits in terms 3

of:
- Pressures?
- Temperatures?
- Fluid characteristics?
- Flow rates?
2 Are activities which must be discontinued or restricted in certain 3

circumstances fully documented? (MOPO)
3 Have the limits of the original facilities design envelopes ( e.g.. 3

MOPO) been communicated to staff?
1 Is the HEMP documentation updated to reflect the actual 4

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

5. PLANNING AND PROCEDURES 3.1.5.1 HSE Plan
3.1.5.1 HSE Plan assessment level
1 Is there a Corporate HSE Plan which includes one and five year 1
performance targets?
1 Has an overall company HSE Plan been developed to meet 2

continuous improvement targets?
- Has a strategy been developed to close the gaps in the HSE
management system?
2 Do the corporate HSE plans clearly define the strategies, targets 2

and time tables required to meet the corporate HSE objectives and
targets, including those in the longer term?
- Do strategies address closing identified gaps in the HSE
management system?
2 Are the plans realistic and achievable? 2

- What % of targets were achieved in last reporting period
2 Have the corporate HSE plans and objectives been formulated 2

through input by appropriate levels of the organisation and/or
other input sources?
3 Does the HSE department provide guidance on preparing and 2

monitoring of departmental action plans?
1 Have HSE improvement plans been developed in the different 3

units with resources, accountable parties and target dates.?
- Do these HSE plans align with the overall documented Corporate
HSE Plan and Business Plan?
- Does the Corporate HSE Plan reflect the resources required?
2 Are the HSE Plan tasks and targets SMART (simple, measurable, 3
achievable, realistic, time-based)?
3 Are subordinates held accountable for progress against plans and 3

targets?
3 Does the appropriate management level review departmental HSE 3

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

5. PLANNING AND PROCEDURES 3.1.5.1 HSE Plan
1 Do strategies to improve company HSE performance in the longer 4

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

5. PLANNING AND PROCEDURES 3.1.5.2 Asset Integrity
3.1.5.2 Asset Integrity assessment level
1 Are there operations ref. plans under development for some or all 1
assets?
- Are structured hazard review techniques performed for new
processes only?
- Is risk management focuses on mitigation?
- Are P & IDs and equip.t registers being developed or updated?
2 Are responsibilities for technical integrity of facilities or 1

equipment defined?
- Setting of standards?
- Technical validation of standards?
- Verification of compliance with standards?
- Authorisations of deviations (change control)?
2 Is asset custodianship clearly defined? 1
1 Are operations personnel are involved in hazard reviews in 2

accordance with company guidelines?
- Are P& ID and hazardous area drawings are held current?
Is the change management process adhered to?
3 Are responsibilities for technical integrity of facilities or 2

equipment known by staff?
3 Does the asset custodian have appropriate authority levels? 2
3 Have maintenance and inspections plans been agreed with the asset 2
custodian?
1 Are structured review hazard analyses complete for all processes? 3
- Have operations personnel participated in the development of

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

formulated around technical integrity and safety related activities?

5. PLANNING AND PROCEDURES 3.1.5.2 Asset Integrity
3 Is work pre-planned and job hazards consciously recognised? 3

- Does this include journeys planned and optional modes of
transport considered?
3 Are priorities maintained and resources balanced when additional 3

projects are introduced?
1 Have all recommendations arising from hazard analyses and 4

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

5. PLANNING AND PROCEDURES 3.1.5.3 Procedures & work
instructions
3.1.5.3 Procedures & work instructions assessment level
1 Do HSE standards and procedures exist? 1

- Are they known to supervisors but are they inconsistently
applied and enforced?
- Are the HSE standard sand procedures documents written
primarily by HSE personnel or consultants with little or no
employee involvement?
2 Are there rules and procedures:? 1

- Do they identify possible hazards?
- Do they refer to governing legislation?
- Are they controlled documents?
- Understandable for target audience?
- Have users been involved in the preparation?
- Are they available at the right level?
- Have staff been adequately briefed on or trained in their use?
2 Are there specific procedures to cover simultaneous activities such 1

as:
- Production and drilling?
- Production and construction / commissioning?
- Production and maintenance?
- Seismic / hazardous areas?
3 For those areas of operation which are covered by HSE legislation. 1
3 For those areas of operation which are covered by HSE legislation: 1
3 Are written HSE procedures supplemented with worksite 1

instructional signs?
- Security, access control?
- Emergency Plans
- Hazardous area classification?
- Control of combustible material?
- PPE to be worn?
1 Are the HSE standards and procedures consistently applied? 2

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

instructions
2 Are there rules and procedures for HSE critical activities and 2
locations?
- Are they consistent with higher level documentation?
- Consistent and up-to-date with on-site conditions?
- Fit-for-purpose?
2 Is a permit to work (PTW) system in place? 2

- Who is the process custodian?
- Are there sufficient supervisory staff nominated to authorise a
permit?
- Are staff trained in the use of the PTW?
- Is a document available instructing in the use of the PTW?
- Are the PTWs examined before being authorised?
- Is the PTW process audited regularly?
- Is there any system of review of the use of the PTW system?
2 Is there a list of work for which a PTW is required? 2

- Are there general definitions as to which permits are necessary
when?
2 Do the following work permits exist? 2

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

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

instructions
2 Are procedures in place to control and maintenance for 2

instrumentation?
- Alarm and trip overrides?
- Fire & gas detection and logic systems?
- Trip setpoint changes?
- Control setpoint changes (including gain, etc.)?
2 Are there procedures for isolation and de-isolation of equipment 2

and vessels?
- Spade and valve listings for individual jobs?
- Purging air from systems prior to start-up?
- Purging hydrocarbons from system?
- Gas and oxygen testing?
2 Is the use of Breathing Apparatus equipment procedurised? 2

- Are all jobs listed which require the use of BA equipment?
- Is there a sufficient number of staff trained and authorised to use
BA equipment?
- Is regular maintenance of BA being covered?
2 Does the materials purchasing procedure make specific reference to 2

HSE related controls?
- HSE information (MSDS) is obtained from suppliers?
- HSE specifications are included in the purchase orders?
2 Does the materials purchasing procedures make specific reference: 2
- Composition and hazardous properties are required?

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

- bunded, impervious area storage for chemicals in sacks and/or
drums?
- Availability of materials data sheets locally at storage
sites/stores?
2 Does the materials storage procedures reference: 2

- Surplus stock management for hazardous materials?
- Secondary use or scrapping of used drums and containers?
2 Are there waste management procedures? 2

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

instructions
2 Do the waste management procedures adequately cover all 2

operations e.g.:
- Seismic?
- Drilling and workover?
- Production?
- Procurement and logistics?
- Engineering and construction?
- Accommodation /camps and catering?
2 Are the procedures related to accurate waste inventories? 2

- How is this information recorded?
- How often is the information updated?
- How are new waste streams identified and included?
2 Does the procedure specify requirements for waste segregation? 2
2 Is there a separate waste disposal procedure? 2

- Are the waste disposal facilities operated by the company or by
contractors?
2 Do the disposal facilities operating procedures specifically address 2

environmental aspects of .:
- Soil contamination?
- Burning of waste?
- Ground water pollution?
2 Are the procedures specific on allowable volumes, qualitative 2

limits and standards and what to do if a limit or standard is
2 Is there a robust and seamless system for executing Daily Orders? 2
- How are these handled at change of shifts?
3 Have the rules and procedures been distributed and communicated 2

to relevant employees and contractors?
3 Are the PTW requirements known to all the work force & 2
supervisors?
- Who physically checks that precautions have been taken before
work?
- Who personally briefs the men doing the job before work starts?
3 When in use, where are PTWs displayed? 2

- How is a permit adapted if scope of job changes in the middle?
- How does one establish when a job is finished?
- How long are permits stored?
3 How is a permit arranged in an emergency, such as during the 2

instructions
3 Is equipment assessed pre procurement to ensure compliance with 2

company standards:
- Materials specification?
- Instrumentation standards used e.g. redundancy, standardisation?
- Coatings?
3 Do operators (Company and Contractor) know the procedures 2

relevant to their job?
- How did they get this knowledge?
- Have they read the procedures themselves?
3 Are the Design and Equipment HSE Standards and Specifications 2

complied with?
3 Are the general HSE rules and procedures complied with 2

- Vehicle standards
- Seat belt usage
- Wearing of PPE?
- Control of combustible materials?
- Chemicals handling?
- Office and worksite security?
- Alcohol and drugs?
3 Are facility and activity specific HSE instructions and procedures 2

complied with ?
- Permit to Work procedures?
- Work procedures?
- Night driving limitations?
3 Is there any evidence of non-compliance, if so at what level or 2

interface?
- How is non-compliance dealt with?
- Are the rules for compliance with procedures equally applied to
all staff?
3 What is the operating procedure for the particular job that they are 2
doing at this very moment?
- How did they find out what the procedure was?
- Are they following it exactly?
- How do they know this?
3 Do they know the checks to make before e.g.: 2

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

instructions
1 Is there a defined process for the development and review of HSE 3

standards and procedures?
- Does this process include employee involvement?
- Are Shell /OU DEP's consistently applied?
- Is there a documented process for updating Shell /OU DEP's?
2 Is there a documented process for the development and review of 3

HSE standards and procedures?
2 Is there a written procedure for handling refusal to work situations: 3
- How confident do the employees feel themselves with?

- Clarity of the procedure?
3 For those areas of operation which are covered by HSE legislation: 3
- Who is responsible for initiating changes to meet new legislation?
3 What do operators (Company and Contractor) think of their 3

procedures:
- Useful, accurate and practical?
- Are parts of the procedure unnecessary?
- Have they ever been asked to review, comment on existing or
new procedures?
3 Have there been occasions where the workforce had to deviate 3

from the procedures?
- How do they know when they are allowed to this?
- Are variances subject to a control procedure?
3 Who checks to make sure that the workforce is aware of the 3

procedures and understand them?
- How often does this happen?
1 Is there evidence that in addition to outside the formal review 4

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

instructions
3 Can operators and maintainers initiate change or modification to 4

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

5. PLANNING AND PROCEDURES 3.1.5.4 Contingency planning
and External Planning
3.1.5.4 Contingency planning and External Planning assessment level
1 Are the relevant external emergency organisations unfamiliar with 1

the operational hazards in the company?
- Does the company emergency plan not define the incident
command structure and the relationship with these external
agencies?
2 Are there written plans and procedures for dealing with reported 1
emergencies, hazards or environmental effects?
- Crisis Management Plan?
- Emergency Response Plan (ERP?
- major fire and/or explosion?
- loss of containment and/or spillage?
- injury?
- death?
- civil unrest?
- Oil Spill Response Plan?
1 Is there a clear command structure for dealing with the various 2

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

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

- Is there an Emergency Response Adviser?
- is this person a member of the Corporate Crisis Management
Team?
2 Are the Contingency plans and procedures current and in 2

possession of those on the distribution list?
2 Do the contractors have their own emergency response plans and 2

procedures?
- Are these in accordance with contractual requirements?

3 Have key personnel participated in the development of worst case 2

incident scenarios?
- Are those involved in executing these plans familiar with the
plans/procedures?
- What is or has been the role of the HSE Department in
formulating these plans?
3 What are the experiences of Duty Personnel responding to 2

emergency calls?
- During normal office hours?
- Outside normal office hours?
3 Specifically for spill response, are contractors on call or 2

identified to provide assistance.
3 Do Medevac Plans comply with maximum responses times: 2

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

confirm them.)
3 When contractors rely on company resources to respond to own 2

emergencies:
- Is the contractor fully familiar with the possibilities and
limitations of the company emergency response resources?
- Has the contractor identified and managed the gaps?
3 Is the frequency of each type of exercise adequate? 2

- Has there been coverage by table top exercises, worksite
exercises (with full involvement of emergency response resources
and deployment of equipment)
- Real emergencies?
1 Is there a comprehensive tiered emergency response plan which is 3

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

2 Is guidance available on: 3

- Emergency plans?
- Training for firefighting teams, first-aiders, spill containment and
clean up, etc.?
- Emergency drills and exercises?
- Personal Protective Equipment?
- Addressing complaints and public concerns?
2 Is there a Duty System of trained Duty Personnel? 3

- Are there alternatives in case of unavailability?
- Have competencies been defined and assurance systems put in
place?
2 Is there a programme to co-ordinate with outside agencies? 3

- Fire departments/police?
- Local hospitals?
- Environmental departments?
- Contractors?
2 Is there a formal company or departmental schedule for ERP 3

excercises:
- Is the schedule being complied with?
- What percentage of planned exercises was actually carried out in
the last year?
2 Is there a formal feedback loop to improve the existing plans, 3

procedures, systems and hardware?
3 Are the emergency response team members familiar with their 3

duties and responsibilities?
3 How are updates to emergency response plans and procedures 3

documentation managed?
- Who is focal point for amendments?
- Who approves amendments?
- How are names and telephone numbers kept up to date?
3 Have all emergency response plans, procedures, systems, 3

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

1 Are drills conducted with third parties and agencies according to a 4

plan?
- Are improvements incorporated and checked?
- Are external agencies and communities familiar with site hazards
and emergency response plans?
3 Are third parties, agencies and contractors involved in the review 4

process of exercises and real events?

6. IMPLEMENTATION AND MONITORING 3.1.6.1 Performance Monitoring
3.1.6.1 Performance Monitoring assessment level
1 Are the means of measuring performance in the maintenance of 1

critical HSE controls defined and documented?
1 Is the HSE management system is being introduced but 1

measurements which show that activities are being performed
satisfactorily are not yet available?
1 Are performance measurements relating to 'results' (LTIs, 2

emissions etc.) collected?
- Have locations completed the first review assessment of the
implementation of their HSE-MS?
2 Are all SIEP internally and externally reported performance 2

measures of Company and Contractors being fully collected and
collated ?
3 How reliable and comprehensive are the performance measures? 2

- Are definitions and calculation methods consistent with
EP95-0325 guide?
- Are definitions known and understood by both the contributors
and collators?
3 Are all Company and Contractor vehicle accidents recorded (also 2

those with minor damage)?
- Are all Company and Contractor Sub-Contractors vehicle vehicle
kilometres driven while engaged on Company business recorded?
1 Are locations beginning to develop performance indicators to 3

measure the elements and procedures of the HSE MS?
2 Is there routine monitoring of emissions and / or effluents? 3
2 Are measures in place within the Company for all elements of 3

HSE-MS development?
- HSE-MS development progress against plan
- Completion of HSE-MS remedial actions against plan
- HSE-Case development progress against plan
2 Are all SIEP internally and externally reported performance 3

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

2 Are (sub-)contractors required to maintain and report HSE 3

performance?
- Are contractor HSE statistics included in the overall company
statistics?
- Is there a guideline defining contractors excluded from HSE
statistics?
2 Are there inspections/checks for: 3

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

protection?
- Tag-out and lock-out e.g. adequacy, and use of tags and lock-out
devices?
- Points of discharge e.g. measurement devices, control to specified
3 Are individual Company locations, asset areas and Contractor sites 3
using a consistent sub set of the Company HSE-MS performance
measures?
3 How often does the contract holder review the contractors HSE 3
performance?
3 How and how often are comparisons made with HSE performance 3
of other sections, companies, sectors?
- Inside same country?
- Outside same country but within Group?

3 Do supervisors carry out regular inspections? 3

- How often?
- What do they look for?
- Are check lists used
- Is there any guidance on the subject?
- What reports are generated and who gets them?
1 Are numerical performance indicators and targets used to measure 4

the implementation of the elements and procedures of the HSE
MS?
- Are numerical performance indicators and targets included in
employee appraisal?
3 Do line supervisors actively support and participate in Unsafe Act 4

Auditing with focus on people first and equipment second?

6. IMPLEMENTATION AND MONITORING 3.1.6.2 Records
3.1.6.2 Records assessment level
1 Is the monitoring system for health, environmental and safety 1

performance driven mainly by legislation?
- Are health programs developing?
2 Are all reportable Company, Contractor and Sub-contractor 1

injuries recorded?
1 Have tasks been identified where exposure assessments should be 2

made?
- Have significant effects been identified where environmental
measurements should be taken?
2 Is contractor's HSE performance recorded and used within the 2

Companys
- Contractor registration system?
- Who does this analysis and how often is this done?
2 Is there a list of outstanding HSE action items and their status? 2

- Who keeps track
- Are closed out items reported on, or do they just disappear?
- How and how often is management informed of the action status?
3 When was the last visit by the off-site supervisor / manager?: 2

- Supervisor at base?
- Department head?
- Are the results discussed with operators?
3 With the latest supervisory inspection report at hand, visit the 2

inspected site/operation with the particular supervisor and review:
- The gaps in the checks,
1 Are records for most health, environmental and safety 3

measurements available in the company?

6. IMPLEMENTATION AND MONITORING 3.1.6.2 Records
2 Are the following Health indcators being measured and reported: 3

- Smoking rate?
- Noise exposure frequency?
- Exposure toxic chemicals
- Sickness absenteeism?
- Occupational Illness Performance Indicators?
- Total Recordable (Occupational) Illness Frequency?
- Lost-Time (Occupational) Illness Frequency?
2 Are the following HSE-MS indcators being measured and reported: 3
- Progress against plans and/or targets?

- Effectiveness of HSE initiatives
- Number of training courses?
- Achieving HSE milestones ?
- Number of audits?
2 Are the following Safety indcators being measured and reported: 3

- Unsafe Act Audits and results?
- Lost Time Injury Frequency?
- Total Recordable Case Frequency?
- Ratio of TRCF to LTIF?
- Vehicle accidents?
- Number of km driven?
- Near misses?
- Number of "first-aid and other minor injuries"?
- Material Losses?
- Compliance with HSE legislation?
2 Are the following Environment indcators being measured and 3

reported:
- Spillages and product cross-overs?
3 Is Near Miss and Unsafe Acts analysis effectively used for 3

improvement?
- Properly analysed?
- Conclusions drawn and actioned?
1 Are records for health*, environmental and safety measurements 4

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

6. IMPLEMENTATION AND MONITORING 3.1.6.3 Non compliance &
corrective Action
3.1.6.3 Non compliance & corrective Action assessment level
1 Are the procedures which describe what must be done in the event 1
of non compliance with legislation, procedures and standards
known?
2 Is there a formal guideline for: 1

- Handling violators of HSE rules?
- Commendation of those who demonstrate consistent compliance?
1 Few variances are recorded and the procedure for approving 2

variance is ill defined or impractical.
3 Do supervisors and line managers feel empowered to take 2

disciplinary action for repeat offenders?
- do they exercise these powers?
3 Is there any evidence of formal action taken against repeat 2

offenders of compliance requirements?
1 Is there a documented system for variance control of HSE critical 3

procedures and standards?
- Is the system known by those responsible for following
procedures and standards?
- Are there records for variances at all locations and projects?
2 Are HSE non-compliance by Contractors reflected both in contract 3

close-out reports and in the Companys Contractor registration
system?
3 Do line supervisors verify and reward compliance with 3

procedures, PTW, PPE requirements, etc.?
3 Does line supervision take appropriate action against 3

non-compliance?
3 Are all staff (Company and (sub-) Contractors) familiar with 3

applicable legislation and the practical consequences?
- Are they familiar with the penalties for non-compliance?
3 Have there been any cases of disciplinary action against repeat 3

offenders of compliance requirements?

6. IMPLEMENTATION AND MONITORING 3.1.6.3 Non compliance &
corrective Action
1 Do employees anticipate any potential need to deviate from 4

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

6. IMPLEMENTATION AND MONITORING 3.1.6.4 Incident Reporting &
follow up.
3.1.6.4 Incident Reporting & follow up. assessment level
1 Are significant high profile incidents investigated? 1

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

- Is the remedial action poorly tracked?
2 Are fatalities reported to the Service Companies within 24 hours? 1
- Are high potential incidents details distributed appropriately

within 24 hours?
3 Is there any evidence that there is a blame culture? 1

- Throughout the organisation?
- At selected locations/parts of the organisation only?
1 Are there procedures for reporting and investigating incidents? 2

- Do both HSE personnel and supervisors undertake
investigations?
- Is there a documented process for tracking recommendations?
2 Is there an adequate HSE incident reporting and investigation 2

procedure?
- Does it define what constitutes a reportable HSE
accident/incident?
- Uses standard reporting forms/reports?
2 Are there clear guidelines for appointing the incident/accident 2

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

follow up.
2 Are all incidents/accidents to be reported: 2

- First-aid injuries?
- Occupational illness?
- Property damage?
- Chemical and oil spills?
- Fires and/or explosions?
- Third party?
- Near misses?
2 How are repetitive or significant items of damage or loss identified 2

by the system?
- Do maintenance records identify accidental damages?
- How often are property damage rates communicated to
management?
2 What verification system do line supervisors have in place to 2

ensure that they are told of all incidents/accidents?
- Checks of first-aid register for injuries not formally reported?
- Is there any evidence that incidents/accidents are not reported?
3 Are incident reports/investigations seen to assist accident 2

prevention?
3 Are all incidents and accidents being reported? 2
3 Are contractor staff involved? 2

- Because the incident/accident occurred in their own sphere?
- Because they possess relevant experience to assist in other
investigations?
3 Is the HSE department routinely involved in either participating or 2

supporting incident investigation by the Line?
3 Who decides to initiate a formal incident/accident 2

investigation/report?
- Who decides how injuries are classified - as MTC, RWC or LTI?
- line management?
- Senior Management?
3 Does the Line and/or Site Supervisor always see the investigation 2
report before it is published?
- Does he/she always agree with it?
- How are his/her doubts communicated:
- to the Line Department?
- to the HSE Department?

follow up.
3 Are the incident/accident investigation guidelines complied with? 2

- Incidents that need to be reported to national authorities, etc.?
- Are deadlines for reporting given and adhered to?
3 How are sub-contractor accidents reported? 2

- How and by whom are they investigated?
- who leads the team?
- are sub-contractor staff involved?
- Does the sub-contractor Supervisor always see the report before
it is published?
3 Is there evidence of constructive follow-up by the 2
3 What features of reported incidents are analysed: 2

- Frequency?
- Probability of recurrence?
- Potential loss?
- Causes.
1 Is the reporting and investigation process well understood? 3

- Is the reporting and investigation process also applied to high
potential near misses?
- Are supervisors trained in incident investigation?
- Do supervisors direct investigations which include employee
participation?
- Are lessons learned disseminated?
2 Are there clear guidelines that incident investigations must include 3

review of relevant parts of the HSE Case, and that conclusions and
actions must be fed back into the HSE Case?
2 Do the gudelines cover the Immediate reporting to management of 3

accidents/incidents which:
- Are politically sensitive e.g. third parties involvement?
- Require immediate, company wide dissemination for lateral
learning?
2 Is the reporting and investigation also applied to high potential 3

near misses?
2 Are Accident Trees (e.g. TRIPOD) used during incident/accident 3

investigations?

follow up.
2 Is there a structured system involving different tiers in both the 3

Company and Contractor that analyse occupational
injuries/illnesses?
- Frequency and severity of injuries/illnesses?
2 Do incident analyses identify immediate and causes in relation to: 3
- HSE-MS (training, supervision, etc.)?

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

accidents/incidents and disseminating lessons learned to staff?
- By note and/or personal briefing?
3 Are the procedures of incident reporting and investigations 3

distributed to all relevant levels?
- All company supervisory staff?
- All contractors and sub-contracting supervisory staff?
3 Is the reporting and investigation process well understood? 3

- Have the Supervisors been trained in incident investigation?
3 When does management discuss HSE accidents/incidents? 3

- Are these discussions minuted?
3 How often are incidents and incident rates discussed? 3

- What kind of information do they get?
- relating to their own part of the organisation?
- relating to other parts of the organisation?
1 Are investigation findings documented and addressed in a timely 4

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

6. IMPLEMENTATION AND MONITORING 3.1.6.5 Change Control
3.1.6.5 Change Control assessment level
1 Are the changes to approved plans (cost time, resources) approved 1

"one level up", and only formally documented and approved when
required by financial controls?
1 Is there a change control procedure? 2
2 Is there a system for management of controlled HSE 2

documentation in the company?
2 Are there procedures for execution of change modification work? 2

- Who supervises change modification work?
- What is the procedure for the work request?
1 Are there several change control procedures (corporate, BU/asset, 3

projects)?
- Is the scope of each change control procedure clearly defined?
- Do the procedures document evaluation, approval and the
responsibilities and competencies of those involved?
2 Are custodians for each HSE document appointed? 3
2 Do documents require formal approval by specialist staff and 3

management prior to:
- Initial issue?
- Issue of revision?
2 Are fixed review periods defined for every document? 3

- How frequent are these reviews?
- Are the prescribed review periods being complied with?
2 Are Line Managers appointed as "Owner/holder" for every 3

document?
2 Are authorised change control procedures available on site, are 3

they comprehensive enough and are they (including any waiver
procedures) being applied?
2 Do the change control procedures adequately cover: 3

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

2 How are changes implemented? 3

- Are there meetings?
- are minutes available?
2 Are there documented procedures for managing change of staff and 3

organisation?
2 Are there adequate, documented procedures for managing change 3

for:
- Company and work procedures?
- Legislation?
- how are changes in legislation identified?
2 Is it formally documented who can authorise deviations from a 3

rule, standards and procedures?
- Is this documented separately for:
- engineering standards?
- general HSE rules?
- activity and site specific HSE instructions and procedures?
2 Do the change procedures specify: 3

- Authority levels for approval of changes and modifications?
- Communication required to inform the relevant organisations and
staff?
- Documentation procedures to be adhered to?
2 Are changes to the hardware, operating procedures or legislation 3

incorporated in the HSE-MS?
2 Do the change procedures specify: 3

- Authority levels for approval of changes and modifications?
- Communication required to inform relevant organisations and
staff?
- Documentation procedures to be adhered to?
2 Is the variance procedure to allow deviations from standards 3

available onsite?
- Does it require involvement of sufficiently senior management?
- How is the input of each specialist discipline ensured?
- What is the involvement of the HSE department?
3 Has Line management taken full ownership of their particular HSE 3

related documents?
3 Are current HSE related documents available at all key locations? 3

- Can staff easily access documents?

3 Prior to allowing staff to take full responsibilities of activities 3

within their sphere of influence:
- Is their HSE competence assessed for successfully handling their
new job?
- is a remedial training plan formulated where deficiencies are
observed?
3 At what organisational level can these deviations be authorised? 3

- how are the deviations and authorisation thereof recorded?
- are these records ever audited?
3 Are the supervisors fully familiar with the company variance 3

procedure?
- Are the procedures followed?
1 Do the change control procedures include the requirement for 4

comparative analysis and documentation of the HSE impact of
IMPLEMENTING the change as well as the HSE impact of the
IMPLEMENTED change.
- Are there records of this being done?
2 Is there a system in place for monitoring compliance with 4

documents?
3 Were change proposals appropriately vetted during the review 4

process and the HSE cases and procedures subsequently updated?
3 Have all completed changes been included as appropriate in the 4

HSE Case and/or procedures?

7. AUDIT 3.1.7.1 Audit plan
3.1.7.1 Audit plan assessment level
1 Are Audits mainly focused on hardware and housekeeping? 1

- Are the audits conducted mostly by HSE personnel?
- Are regulatory audits conducted?
1 Is the auditing plan and process documented? 2

- Is checklist and compliance auditing being performed?
- Is there a follow up system in place?
- Are supervisors involved in auditing?
2 What is a typical age of outstanding action items? 2
3 How are follow-up system (database) issues handled by the 2

on-site system?
1 Is the audit process defined and implemented? 3

- Are supervisors take ownership of audit process?
- Does the audit process involve employees and independent
parties?
- Are audit recommendations documented and tracked to closure?
2 Is there a documented HSE audit process, consistent with 3

EP95-0130, to verify effectiveness of the HSE Management
2 Does the HSE audit process specify standards in terms of: 3

- Responsibilities?
- Team composition?
- Location?
- Frequency?
- Method?
- Follow-up?
2 Is there an integrated corporate audit plan, which covers HSE 3

audits for the full range of company facilities and activities?

2 Do the audit plans cover: 3

- HSE management audits?
- HSE departmental audits?
- Cross-departmental HSE audits?
- Contractor HSE audits?
- Occupational health audits?
- Waste management audits?
- Restoration and recovery audits
2 What are the typical audit frequencies for: 3

- Integrated HSE audits?
- Separate H, S and E audits?
- Are the HSE audits carried out at the planned frequency?
- if not, what is the actual frequency?
2 Are Contractors required to have a corporate audit system 3

implemented irrespective of contractual requirements?
- Regular/major contractors?
- All contractors?
2 Is there an Internal Audit Committee or Department? 3

- Do they regularly review and approve the audit plan?
- Are there minutes kept of IAC meetings?
2 Are asset integrity issues with an HSE impact adequately covered? 3
2 Are there corporate environmental audits? 3

By qualified persons?
2 Are standard audit questionnaires provided for use by auditors? 3
2 Is there a structured, time based programme for departmental 3

audits, covering company as well as contractor facilities and
2 Do departmental HSE plans reflect corporate plans regarding 3

auditing e.g.:
- Number and types of audits to be conducted?
- Audit schedules?
- Are the HSE audits carried out at the planned frequency?
2 Are pre-start operational audits systematically carried out? 3

- Fully covering H, S and E?
- Do they adequately cover all areas of the operation?
2 Is there a single Company follow-up system (database) for all 3

audit types?
3 Do managers and supervisors take ownership of audit process 3

which involves employees and independent parties?
3 Do Health apects of audits cover: 3

- chemical agents, including caustic, corrosive and toxic; labels,
storage, disposal, clean up?
- engineering and procedural controls, including ventilation of toxic
fumes, vapours, mists, smoke, gases and dust?
- Noise exposure; measurement and controls?
- Temperature extremes; measurement and controls?
- Hazardous substances; ?
- Biological agents, surveys and controls?
- Health surveillance?
- Illumination; surveys and controls?
- PPE; selection, placement and compliance?
- Ergonomics; surveys and controls?
- Living environment and life-style health hazards?
3 Do environmental aspects of audits cover: 3

- External environmental protection; evaluations and actions?
- Chemical storage and containment?
- Waste treatment, storage and inventories?
- Waste reporting to authorities?
- Environmental effects monitoring?
- Purchasing (toxicity) controls?
- Site rehabilitation success?
3 What internal and external HSE audits have been done in the past? 3
- Was the frequency fixed? By whom?

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

- What is the role of the HSE department in the follow-up?
1 Is the audit programme fully implemented? 4

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

2 Is there a system of Unsafe Act Auditing in place? 4

- What training/instruction have people received in UAA?
- Do staff understand the difference with UA reporting?
- Does the system adequately cover all areas of the operation?
2 Is there an effective system for lateral application of audit 4

recommendations?
3 Is the defined audit process fully implemented? 4
3 Is the audit structure, plan and execution audited at appropriate 4

times by independent auditing?

7. AUDIT 3.1.7.2 Competency
3.1.7.2 Competency assessment level
1 Does the Company uses mainly unqualified and/or inexperienced 1

resources for HSE audits?
1 Do HSE personnel involved in audits first undergo formal HSE 2

audit training?
- Is there is a process of describing the required competency for
auditors?
3 How are HSE auditors trained? 2

- Technical competence?
- HSE competence?
- Auditing skills?
3 Does Company have access to and only use qualified, experienced 2

personnel for HSE audits?
1 Do personnel in other parts of the organisation as well as the HSE 3

or audit department undergo HSE audit training and competency
development?
1 Has company access to, and only uses, qualified, experienced 4

personnel with high credibility to perform HSE audits?

7. AUDIT 3.1.7.3 Contractor
3.1.7.3 Contractor assessment level
1 Do regular contractors have formal internal HSE audits on their 1

operations?
1 Do regular contractors provide senior personnel to participate in 2

company led integrated HSE audits of the operations contracted to
them?
3 How are follow-up system (database) issues handled in the 2

Contractor's Corporate system?
1 Do regular Contractors have an HSE audit process and audit 3

schedule?
- Is it implemented irrespective of contractual requirements?
- Does the audit schedule include audits carried out by independent
auditors?
2 Are Contractor internal audit reports made available to Company? 3
2 Does the contractor operation have a system of Cross-audits in 3

place?
- Are these audits properly documented?
- Are checklists available for such auditing?
3 Are subcontractors audited by the main contractor? 3

- Who verifies the follow-up of the action items?
- Are reports available?
3 How often is contractor's work audited for unsafe acts and 3

conditions?
By whom?
3 Does senior (corporate or country management) management carry 3

out audits?
- Are checklists used?
- Are these audits documented?
1 Do all Contractors have a formal system of corporate audits? 4

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

8. MANAGEMENT REVIEW 3.1.8.1 General
3.1.8.1 General assessment level
1 Are modifications to the HSE management system only instigated 1

and followed up by senior management when shortcomings have
been highlighted as a result of incidents or failure to meet targets or
regulatory requirements?
3 Does management review incident investigations? 1

- Is this formalised?
- Do management analyse incidents for underlying causes?
- Are recommendations to prevent recurrence endorsed by
management?
1 Have the management reviews of the HSE Management System(s) 2

that have taken place been done in an adhoc manner and are not
well documented?
1 Is there a defined process for formal and regular review of the HSE 3
management system?
2 Is there a regular and formal review of the effectiveness of the 3

company HSE-MS?
- Is the review interval at least annual?
- Who is the focal point for the review?
- Are all the management team involved in the review process?
- Are reviews documented?
2 Are recommendations from audits, inspections and reviews 3

incorporated in the overall HSE-MS review?
- Is effective action taken on outstanding issues from audits and
inspections?
- Can this be verified from the documentation?
2 Does the Contractor have a corporate or regional review system? 3

- Reviewing the HSE-MS?
- Reviewing progress against (major) audits?
- Reviewing progress against objectives and targets?
3 Are Contractor HSE-MS reviews documented and disseminated to 3

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

8. MANAGEMENT REVIEW 3.1.8.1 General
3 Do the Department and Line managers regularly review: 3

- Minutes of subordinates' HSE meetings, incident investigation
reports, audit
reports?
- is progress on follow up monitored and stimulated?
- what are steps taken to ensure lateral learning?
3 Does management regularly review consequences of legal 3

developments and other external developments?
1 Have Senior management reviewed the effectiveness of the HSE 4

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

stakeholders, the business environment and performance?
2 Has there been a focal point appointed for follow-up of the 4

Management review of the HSE-MS?
- Has a plan been put in place for follow-up of review action
items?
- Has there been progress made in the follow-up process?
3 Are changes in risk exposure, stakeholder perception, business 4

environment or performance taken into account in the review?


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EP HSE

HSE-MS Audit Questions EP HSE

1. LEADERSHIP AND COMMITMENT 3.1.1.1 Visibility

3.1.1.1 Visibility assessment level

1 Do leaders communicate HSE expectations to employees reporting 1

3.1.1.1 Visibility assessment level

1 Do leaders discuss and review with employees and contractors 2

2 Are there regular management HSE statements demonstrating 2

2 Is there sufficient visible demonstration of commitment to HSE at 2

2 Is there a clear message that everyone is responsible for managing 2

2 In visibly demonstrating their commitment to HSE, do line 2

2 Who is responsible for management inspection follow-up? 2

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

3 In visibly demonstrating their commitment to HSE, do managers 2

3 Is there an active HSE dialogue between company and contractor 2

3 Do line supervisors communicate company HSE objectives and 2

3 Does the workforce think that line supervision consider HSE 2

3.1.1.1 Visibility assessment level

1 Do leaders actively participate in HSE activities such as training, 3

2 Is there an effective management inspections programme, covering 3

2 Does the management inspection team include: 3

2 Is there feedback to the contractor management? 3

3 Is there visible demonstration of commitment to HSE at different 3

3 Do managment attend HSE meetings/conferences outside 3

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

3 In visibly demonstrating their commitment to HSE, do managers 3

3 Do senior management participate in work site visits and 3

3 Do line supervisors conduct regular HSE visits, inspections and 3

3 During visits/inspections/audits, are activities ever stopped 3

3 How frequently do Senior management and Department heads 3

3 During management site visits and inpections: 3

3 What is the general status of follow-up on management inspections 3

3 Does Contractor Corporate and Country Management carry out 3

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

3.1.1.1 Visibility assessment level

1 Do leaders drive the process for HSE excellence? 4

2 Is there structured and repeated management HSE communication 4

2 Do management issue HSE communications to highlight to 4

3 Do managers at all levels ensure that decisions/practices are 4

3 Have management provided a culture in which staff and 4

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

3.1.1.2 Proactive in target setting assessment level

1 Do leaders participate in the review of reactive indicators i.e. 1

3 Are investigations of serious incidents led by Managers of an 1

3.1.1.2 Proactive in target setting assessment level

1 Do leaders participate in the development of objectives and target 2

3.1.1.2 Proactive in target setting assessment level

1 Do leaders jointly develop and discuss and review HSE targets, 3

2 Do managers require HSE plans from their subordinates and 3

3 Does management review corporate performance against objectives 3

3.1.1.2 Proactive in target setting assessment level

3 Have line supervisors received/set specific HSE tasks and targets 4

3 How and how often is progress versus targets reviewed? 4

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

3.1.1.3 Informed involvement assessment level

1 Are leaders not convinced that the systematic management of HSE 1

3.1.1.3 Informed involvement assessment level

1 Do leaders review the progress both in the development and the 2

2 Do senior management hold subordinates accountable for 2

3 Do managers stimulate full recognition of HSE risks across the 2

3 Do managers actively support consistent application and/or 2

3 Has management provided an effective structure and sufficient 2

3 Does the Chief Executive chair the Management HSE Committee? 2

- Are the meetings held at a minimum quarterly frequency?