Excel Temp Sample [PDF]

Zitiervorschau

SIEP HSE MS Self Assessment Questionnaire Company/OU: Ref Ind:

Asset: Level 1 Minimal alignment

Your Category:

Level 2 Some alignment

Level 3 Considerable alignment

Level 4 Full alignment

HSE in the head

HSE in the heart

HSE on Paper

System is documented approved System functioning and being verified, System sustained and supported by System is under development and resourced, and being implemented key system procedures documented an ongoing improvement process and primary issues are being met. Each with priority objectives satisfied and and results being measured. essentially all elements satisfied. HSE Case including those of the majority of others being addressed Contractors and the interface document are up to date and reflect.

HSE Advisor

Comments (Justify your choice)

1 Leadership and Commitment 1 Visibility

Leaders communicate HSE expectations to employees reporting to them but are not involved in the HSE Management System (HSE MS) process and do not refer to it.

Leaders discuss and review with employees and contractors progress against meeting specific 'results' and 'activity' HSE targets. This usually takes place at staff appraisal and pre contract award.

Leaders actively participate in HSE activities such as training, reward and recognition schemes, industry/contractor workshops, conferences and audits.

Leaders drive the process for HSE excellence. All levels 'own' the HSE management process. Documented surveys of employee perceptions confirm that employees believe the company is committed to HSE.

2 Proactive in target setting

Leaders participate in the review of reactive indicators i.e. 'results' such as LTIs, spills, emission.

Leaders participate in the development of objectives and target setting for H, S & E management 'activities', (proactive indicators) as well as 'result' indicators.

Leaders jointly develop and discuss both HSE 'result' and 'activity' improvement targets with the employees and contractors.

Leaders ensure that all staff have HSE 'results' and 'activity' targets in their appraisal and are rewarded accordingly.

3 Informed Involvement

Leaders are unconvinced that the systematic management of HSE and measurement of the effectiveness of such a system is as important as the reactive measurements such as LTIs.

Leaders review the progress both in the development AND the content of HSE MS and HSE Cases and make available the resources and specialist expertise to meet the targets.

Leaders are fully aware of the high priority areas for improvement identified in the HSE MS and the status of the follow up remedial programme.

Leaders are personally involved in the improvement efforts arising from the formal senior management 'Review' (see 8) of the HSE MS.

The company HSE Policy complies with the Shell Group HSE Policy as a minimum and reflects specific OU circumstances. Specific and clear daughter policies are available for all areas relevant to the OU including Biodiversity.®

All contractors have HSE Policies and daughter policies consistent with those of the Operating Unit as described in level 2. The policies are endorsed by the CEO. A statement on Joint ventures is available.

The HSE Policy is reviewed as part of the formal HSE MS Review. Comments are sought from all stakeholders on the content of the company HSE Policy during the revision process.

2 Policy and Strategic Objectives 1 Content

There is a company HSE Policy dated and endorsed by the current CEO.

Page 1 of 8

01/16/2020

Level 1 Minimal alignment

2 Dissemination

3 Strategic Objectives

Level 2 Some alignment

Level 3 Considerable alignment

Level 4 Full alignment

Employees and contractors know where to find a copy of the HSE Policy of their company.

The current HSE Policy is prominently displayed in a language understood by all employees and contractors. Each employee has a personal copy of the HSE Policy.

The personal relevance of the HSE Policy to all new employees (company & contractor) is explained to them by their immediate supervisor. Supervisors discuss all new or revised HSE policies and daughter policies with employees.

Employees and contractors can explain what they must do in their work so that their company can fulfill the requirements of it's HSE Policy. The HSE Policy is readily available to neighbouring communities in an understandable format.

There is an HSE MS under development which includes an HSE Plan to meet the OU strategic objectives.

The HSE targets described in the HSE Plan are consistent with EP Minimum Health, Safety and Environment expectations and there is a transparent cascade between OU corporate targets and unit targets.®

Audits confirm that the HSE Plan is functioning and there is a process in place to effectively monitor progress against the HSE Plan and verify the HSE results.

Senior managers are measured on performance in setting challenging targets for continuous improvement and all levels from senior management to supervisors are assessed on performance in achieving these targets which are included in the HSE Plan.

Comments (Justify your choice)

3 Organisation, Responsibilities, Resources, Standards and Documents There is a description of the current organisational structure and a description of the relationships of all parties involved in the operation including partners, contractors and regulators.

The HSE MS includes a description of all HSE critical activities and the HSE responsibilities of employees and contractors in undertaking these activities. Supervisors, employees and contractors know these.

All HSE Critical activities are defined and known by contractors and employees responsible for their implementation together with the inputs, outputs, performance standards, verification and competency requirements.

Individual HSE responsibilities are known and understood by all employees (company and contractor) and are maintained by updating and revision in conjunction with the employees.

2 HSE Advisors & Management representatives

Quality specialist advice is readily available to line personnel on all H, S & E issues and HSE advisors meet relevant regulatory professional requirements.

The role and reporting relationship of the HSE Advisor(s) is fully defined in the HSE MS. This also includes for direct access to the chief executive of the company.

HSE is fully understood and implemented in the line and only specialist advice is required from HSE advisors. This advice is sought and acted upon.

HSE advisors can demonstrate that they are regularly supporting the drive for continuous improvement in HSE MS(s) across the operation by proactive challenge, comparison and promotion of best practice.

3 Resources

Risks inherent in the operation or facility, the emergency procedures, shifts, leave and competency levels are taken into account in determining the resourcing levels.

The establishment in terms of numbers and function of personnel is described or referred to in the HSE MS or HSE Case.®

The actual resourcing meets the requirements described in the HSE MS or HSE Case in number and competency.

Changes to resourcing levels and competencies and associated risk are assessed as part of change control procedure. Supervisors trained to recognise the symptoms of under resourcing:(stress, incident causation, overtime levels etc.)

1 Organisational Structure and responsibilities (roles & responsibilities)

Page 2 of 8

01/16/2020

Level 1 Minimal alignment

Level 2 Some alignment

Level 3 Considerable alignment

Level 4 Full alignment

All staff and employees are made aware of their HSE responsibilities when joining the company.

A competency assurance process is in place for company personnel in positions with responsibility for HSE critical activities. Required and actual competencies of incumbents are documented.

A competency assurance process as described in Level 2 is also in place for the employees of contractors in positions with responsibility for HSE critical activities.

The competency requirements of all positions involving HSE critical activities are periodically reviewed and improved and the competency of staff reassessed and gaps addressed.

5 Contractors

Contractor HSE competence is assessed in the light of the risks to be managed during the contract prior to the invitation to tender and award of contract.

Contractor mobilisation is conditional upon receiving a description of how HSE risks will be systematically managed to ALARP and interfaces managed on that particular contract or project.®

Compliance with the contractors own HSE MS is audited within an audit programme defined in the contract. Actions to be taken in the event of different levels of non compliance are defined in the contract.

The HSE MS of contractors are subject to continuous improvement during the course of projects and contracts in consultation with the OU.

6 Communication

An effective hierarchy of HSE meetings within the company is described.

There is an effective system in place for the timely transfer of HSE information and feedback across all levels in the company and contractors. All employees are aware of key HSE information and expectations.

There is a formal process to address HSE matters raised by employees, contractors, customers, government agencies and the public.

Consultation programmes are in place to identify and act upon HSE concerns of communities and other stakeholders. The HSE Policy, targets and verified performance of the company are provided in a clear format with a process for feedback.

7 Documentation & Control (HSE MS)

There are HSE procedures available in the company and the organisational units within the company.®

An HSE MS Manual is available for the company as a whole and for organisational units within the OU. Legislative requirements are known but compliance cannot be demonstrated. Shortfalls in the HSE MS are identified and a rectification plan is in place.®

The HSE MS is substantially complete and the environmental part of the HSE-MS meets the requirements of ISO 14001. There is also a system for tracking, anticipating and disseminating and ensuring compliance with relevant H&S legislation.®

The HSE MS Manual is complete, maintained up-to-date and subjected to continuous improvement and upgrade.

8 Documentation & Control (HSE Cases)

All sites and operations requiring HSE Cases have been identified and there is a resourced plan in place for their development.

HSE Cases are complete for all required locations and activities. These demonstrate how all risks are managed to ALARP . HSE Cases are endorsed by those managing the asset or operation and snr. management.

Contractors document how all hazards and effects on their contract are managed to ALARP. Interfaces between company and contractor systems are defined.

Each HSE Case including those of contractors and the interface documents are up to date and reflect current practice on the location or activity. HSE Cases are reviewed as per cycle specified in the Case.®

4 Competence

Page 3 of 8

Comments (Justify your choice)

01/16/2020

Level 1 Minimal alignment

Level 2 Some alignment

Level 3 Considerable alignment

Level 4 Full alignment

4 Hazard And Effects Management Techniques for hazard & effects identification adopted by the company are documented and known by those employees responsible for their use.

Appropriate techniques such as Health Risk Assessment, Environmental Assessment and HAZOP are used on all facilities and operations and the results documented in the inventory of hazards and effects.

A comprehensive inventory of HSE hazards and effects has been documented for all units within the company.

There is a process for updating the hazards and effects listing as a result of changes to the operation or findings e.g. job hazard analyses, inspections or incident analyses.

Hazard and effects assessment has been carried out as part of new projects, acquisitions, divestments and major modifications.

Hazards and effects assessments have been carried out for all operations and assets, (includes workplace hazards). The risk or significance of these has been classified using the risk matrix or equivalent and endorsed by management.

The assessments include health, safety and the environment including impact on third parties. The assessment for environmental effects satisfy ISO 14001 requirements.

The hazard and effects assessments are kept up to date and modified when circumstances change as part of the change control procedure.®

3 Recording of Hazards and Effects (Recording)

The HSE-MS describes the procedures used in the analyses of hazard and effects in the company.

All hazards and effects analyses are described or referenced in the HSE Case demonstrating that the selected option is ALARP and that the controls are in place to reduce risks to ALARP. All shortfalls are identified in the remedial action plan.

Documents exists which describe all those activities, which must be discontinued or restricted in given circumstances (MOPO). These documents based on HSE risk are understood by all supervisors responsible for operational decisions.

HEMP documentation is updated to reflect the actual situation. All controls described in the analysis reflect existing practice and any identified shortfalls.

4 Objectives and Performance Criteria controls

The means of measuring performance in the maintenance of critical HSE controls are defined and documented.

Performance indicators are available for all HSE-critical activities (e.g. for testing systems, emergency response times, procedures, training effectiveness). These are included or referenced in the HSE Case and assigned to individuals.

Actual performance in undertaking HSE-critical activities is documented and trended against the performance activity indicators set.

Performance against activity indicators is used in staff appraisal and is rewarded accordingly.

Controls and persons responsible for managing the controls have been identified for known risks.

Each 'significant' risk (including those in the workplace) can be demonstrably linked to a set of controls either preventative and/or recovery. The quality of the controls is commensurate with the risks.

All controls with respect to risk are assigned to responsible parties and performance measurements for the maintenance of the controls defined.

Controls have been revised as a result of changes, improvements and more demanding targets e.g. in terms of waste, discharges, emissions, conservation and as appropriate, establishment of community development projects.

1 Identification of Hazards and Effects (Identification)

2 Evaluation (Assessment)

(Performance in maintaining controls)

5 Risk Reduction Measures (Controls and Ownership)

Page 4 of 8

Comments (Justify your choice)

01/16/2020

Level 1 Minimal alignment

6 Risk Reduction Measures (Recovery)

Recovery procedures are available in the company for general emergency and contingency planning and for managing the consequences of any failure to control hazards and effects.

Level 2 Some alignment

Level 3 Considerable alignment

Level 4 Full alignment

Procedures in Level 1 are referenced in the HSE MS and or HSE Case(s) together with those responsible for updating, implementing and checking implementation of the procedures.

All personnel are familiar with their roles in control and recovery procedures. Procedures are regularly tested. Records are available to demonstrate that these procedures are in place and performing satisfactorily under test.

The control and recovery procedures are updated and their implementation improved as a result of drills and practical experience from both inside and outside the company.

Comments (Justify your choice)

5 Planning And Procedures 1 General (HSE Plan)

There is a company HSE Plan which includes one and five year performance targets.

An overall company HSE Plan has been developed to meet continuous improvement targets and a strategy has been developed to close the gaps in the HSE MS.

HSE improvement plans have been developed in the different units with resources, accountable parties and target dates. These align with the overall documented HSE Plan which and Business Plan, which reflects the resources required.

Strategies to improve company HSE performance in the longer term form part of the overall business plan. Targets are published annually.

2 Asset Integrity

Operations Ref Plans are under development for some or all assets. Structured hazard review techniques are performed for new processes only. Risk management focuses on mitigation. P&IDs and equipment registers are being developed or updated.

Operations personnel are involved in structured hazard reviews conducted in accordance with company guidelines. P & ID and hazardous area drawings exist are held current. A change management process is adhered to.

Structured review hazard analyses are complete for all processes and operations personnel have participated in the development of worst case incident scenarios for emergency planning purposes.

All recommendations arising from hazard analyses and reviews have been resolved and employees are involved in a process of ongoing review and improvement of asset integrity.

3 Procedures & work instructions

HSE standards and procedures exist and are known to supervisors. These are inconsistently applied and enforced. The documents are written primarily by HSE personnel or consultants with little or no employee involvement.

HSE standards and procedures are consistently applied. HSE or consultant personnel with employee input. Shell /OU DEPs are not critically applied and there is not a documented process for updating these.

A defined process exists for the development and review of HSE standards and procedures and includes employee involvement. Shell /OU DEP's are consistently applied and variances subject to a control procedure.

There is evidence that in addition to 3) outside the formal review cycle, modifications to standards and procedures have been initiated by operations personnel.

4 Management of Change

Changes to approved plans (cost time, resources) are approved 'one level up', and only formally documented and approved when required by financial controls.

There is a change control procedure, but its scope is not clearly described and application is not consistent.

There are several change control procedures (corporate, BU/asset, projects) with clearly defined scope. The procedure document evaluation, approval and the responsibilities and competencies of those involved.

Comparative analysis and documentation of the HSE impact of IMPLEMENTING the change as well as the HSE impact of the IMPLEMENTED change are an integral part of all change control procedures.

Page 5 of 8

01/16/2020

Level 1 Minimal alignment

Level 3 Considerable alignment

Level 4 Full alignment

The incident command structure is identified. Regulatory emergency response requirements are met. A comprehensive emergency response plan is under development. External emergency agencies are familiar with operational hazards in the company.

There is a comprehensive tiered emergency response plan which is integrated with individual site plans as appropriate. Required competencies are defined in the plan and assured. Drills include for testing the co-ordination between sites.

Drills are conducted in conjunction with third parties and agencies according to a plan. Improvements are incorporated and checked. External agencies and communities are familiar with site hazards and emergency response plans.

The HSE MS is being introduced but measurements which show that activities are being performed satisfactorily are not yet available.

Performance measurements relating to 'results' (LTIs, emissions, etc.) are collected but not for HSE-MS activities. Locations have completed the first review assessment of the implementation of their HSE-MS.

Locations are beginning to develop performance indicators to measure the elements and procedures of the HSE MS.

Numerical performance indicators and targets are used to measure the implementation of the elements and procedures of the HSE MS and are included in employee appraisal.

2 Records

The monitoring system for health, environmental and safety performance is not fully described and is driven by legislation. Health programs are developing.

Tasks have been identified where exposure assessments should be made. Significant effects have been identified where environmental measurements should be taken.

Records for most health, environmental and safety measurements are available in the company.

Records for health*, environmental and safety measurements are available on locations and trends are openly discussed as part of improvement plans. * confidentiality requirements permitting.

3 Non Compliance & Corrective Action

Procedures which describe what must be done in the event of non compliance with legislation, procedures and standards are known but not documented.

Few variances are recorded and the procedure for approving variance is ill defined or impractical.

There is a documented system for variance control of HSE critical procedures and standards known by those responsible for following HSE critical procedures and standards. There are records for variances at all locations and projects.

Employees anticipate any potential need to deviate from standards and procedures allowing sufficient time to consider alternatives and, if necessary obtain the appropriate authorisation for the variance.

4 Incident Reporting and Follow up

Only significant high profile incidents are investigated. These investigations are undertaken directly by HSE personnel. Investigation findings are only disseminated locally and remedial action poorly tracked.

There are procedures for reporting and investigating incidents. HSE personnel and supervisors undertake investigations with limited employee involvement. A process is documented for tracking recommendations but many are outstanding.

Reporting and investigation process is well understood and also applied to high potential near misses. Supervisors are trained in incident investigation and direct investigations which include employee participation. Lessons are disseminated.

Investigation findings are documented and addressed in a timely manner, accountabilities assigned and tracked to closure. All information is stored and retrievable. Employees suggest improvements to the process.

5 Contingency and Emergency Planning

Relevant external emergency organisations are unfamiliar with the operational hazards in the company. The company emergency plan does not define the incident command structure and the relationship with these external agencies.

Level 2 Some alignment

Comments (Justify your choice)

6 Implementation and Monitoring 1 Monitoring (Performance Monitoring)

7 Audits Page 6 of 8

01/16/2020

Level 1 Minimal alignment

Level 2 Some alignment

Level 3 Considerable alignment

Level 4 Full alignment

Auditing plan or process is not documented, follow up system not in place. Audits are focused on hardware and housekeeping and conducted mostly by HSE personnel. Some regulatory audits are conducted.

Audit plan and process under development. Audit tracking system not functioning effectively. Some checklist and compliance auditing being performed. Some involvement of supervisors with in auditing.

Audit process is defined and implemented. Supervisors take ownership of audit process which involves employees and independent parties. Audit recommendations documented and tracked to closure.

Audit programme fully implemented. Skilled auditor base includes HSE personnel , supervisors and employees. Conformance with ISO 14001 externally certified. All past audit recommendations arising from ‘serious’ findings have been resolved.

2 Competency

Company uses mainly unqualified and/or inexperienced resources for HSE audits.

HSE personnel involved in audits first undergo formal HSE audit training. There is a process describing the required competency for auditors.

Personnel in other parts of the organisation as well as the HSE or audit department undergo HSE audit training and competency development.

Company has access to, and only uses, qualified, experienced personnel with high credibility to perform HSE audits.

3 Contractor

Regular contractors undertake HSE inspections of their operations but not formal and planned internal HSE audits on their operations.®

Regular contractors provide senior personnel to participate in company led integrated HSE audits of the operations contracted to them.

Regular contractors have an HSE audit process and audit schedule which is implemented irrespective of contractual requirements. The audit schedule includes audits carried out by independent auditors

All contractors have an HSE audit process and audit schedule which is implemented irrespective of contractual requirements. The audit schedule includes audits carried out by independent auditors.

Modifications to the HSE MS are instigated and followed up by senior management when shortcomings have been highlighted as a result of incidents or failure to meet targets or regulatory requirements. There are no scheduled formal reviews of the system.

Management reviews of the HSE MS(s) have taken place but these are not undertaken in accordance with a predefined schedule and are not documented.

There is a defined process for formal and regular review of the HSE MS.

Senior management review the effectiveness of the HSE MS following a defined process and implement the conclusions. Taken into account are changes in risk exposure, stakeholders, the business environment and performance.

1 Audit Plan

Comments (Justify your choice)

8 Management Review 1 General

Page 7 of 8

01/16/2020

SIEP HSE MS Self Assessment Questionnaire 1 Leadership and Commitment

Values

1

Visibility

0

2

Proactive in target setting

0

3

Informed Involvement

0

2 Policy and Strategic Objectives

0.00

1

Content

0

2

Dissemination

0

3

Strategic Objectives

0

3 Organisation, Responsibilities, Resources, Standards and Documents

0.00

1

Organisational Structure and responsibilities (roles & responsibilities)

0

2

HSE Advisors & Management representatives

0

3

Resources

0

4

Competence

0

5

Contractors

0

6

Communication

0

7

Documentation & Control (HSE MS)

0

8

Documentation & Control (HSE Cases)

0

4 Hazard And Effects Management

0.00

1

Identification of Hazards and Effects

2

Evaluation (Assessment)

3

Recording of Hazards and Effects

4

Objectives and Performance Criteria controls

5

Risk Reduction Measures (Controls and Ownership)

0

6

Risk Reduction Measures (Recovery)

0

(Identification)

0 0 0

(Recording) (Performance in maintaining controls)

0

5 Planning And Procedures

0.00

1

General (HSE Plan)

0

2

Asset Integrity

0

3

Procedures & work instructions

0

4

Management of Change

0

5

Contingency and Emergency Planning

0

6 Implementation and Monitoring

0.00

1

Monitoring (Performance Monitoring)

0

2

Records

0

3

Non Compliance & Corrective Action

0

4

Incident Reporting and Follow up

0

7 Audits

0.00

1

Audit Plan

0

2

Competency

0

3

Contractor

0

8 Management Review 1

0.00

General

0 AVERAGE

0.00 Page 8 of 8

01/16/2020