Visibility

Proactive in targetsetting

Informed Involvement

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

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

Leaders are unconvinced that the systematicmanagement of HSE and measurement ofthe effectiveness of such a system is asimportant as the reactive measurementssuch as LTIs.

Leaders discuss and review with employeesand contractors progress against meetingspecific 'results' and 'activity' HSE targets.This usually takes place at staff appraisaland pre contract award.

Leaders participate in the development ofobjectives and target setting for H,S & Emanagement 'activities', (proactive indicators)as well as 'result' indicators.

Leaders review the progress both in thedevelopment AND the content of HSE -management systems and HSE Cases andmake available the resources and expertiseto meet the targets.

Leaders actively participate in HSEactivities such as training, reward andrecognition schemes, industry/contractorworkshops, conferences and audits.

Leaders jointly develop and discuss bothHSE 'result' and 'activity' improvementtargets with the employees and contractors.

Leaders are fully aware of the high priorityareas for improvement identified in the HSEmanagement system and the status of thefollow up remedial programme.

Leaders drive the process for HSEexcellence. All levels 'own' the HSEmanagement process. Documented surveysof employee perceptions confirm thatemployees believe the company iscommitted to HSE.

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

Leaders are personally involved in theimprovement efforts arising from the formalsenior management 'Review' (see 8) of theHSE management system(s).

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

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

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

ContentThe company HSE Policy complies with the Shell Group HSE Policy as a minimumand reflects specific OU circumstances. Specific and clear daughter policies areavailable for all areas relevant to the OU.

The current HSE Policy is prominentlydisplayed in a language understood by allemployees and contractors. Each employeehas a personal copy of the HSE Policy.

The HSE targets described in the HSE Planare consistent with those of the Shell Group(EP95-0140) and there is a transparentcascade between OU corporate targets andunit targets.

The HSE Policy is reviewed as part of theformal HSE management system Review.Comments are sought from all stakeholderson the content of the company HSE Policyduring the revision process.

Employees and contractors can explainwhat they must do in their work so thattheir company can fulfil the requirements ofit's HSE Policy. The HSE Policy is readilyavailable to neighbouring communities inan understandable format.

Senior managers are measured onperformance in setting challenging targetsfor continuous improvement and personnelat all levels in the company are assessed onperformance in achieving these targetswhich are included in the HSE Plan.

All contractors have HSE Policies anddaughter policies consistent with those ofthe company as described in level 2. The policies are endorsed by the CEO. A statement on Joint ventures is available.

The personal relevance of the HSE Policy toall new employees (company & contractor) is explained to them by their immediatesupervisor. Supervisors discuss revised HSEpolicies with employees.

Audits confirm that the HSE is functioningand there is a process in place to effectivelymonitor progress against the HSE Plan andverify the HSE results.

Dissemination

Strategic Objectives

Level 4

The HSE MS includes a description of allHSE critical activities and the HSEresponsibilities of employees and contractorsin undertaking these activities. Supervisors,employees and contractors know these.

The role and reporting relationship of theHSE Advisor(s) is fully defined in the HSEmanagement system. This also includes fordirect access to the chief executive of thecompany.

The establishment is described or referred toin the HSE management system or HSE Case.

A competency assurance process is in placefor company personnel with responsibility forHSE critical activities. Required and actualcompetencies of incumbents are documented.

Contractor mobilisation is conditional onreceiving a description of how HSE riskswill be systematically managed to ALARPand interfaces managed on that particularcontract or project.

There is an effective system in place for thetimely transfer of HSE information andfeedback across all levels in the companyand contractors. All employees are aware ofkey HSE information and expectations.

An HSE MS Manual is available for thecompany as a whole and for organisationalunits within the OU. Shortfalls in the HSEMS are identified in the Manual and a planfor rectification is in place.

*) HSE Cases are complete for all requiredlocations and activities. These demonstratehow all risks are managed to ALARP. HSECases are endorsed by those managing theasset or operation and snr. management.

All HSE Critical activities are defined andknown by contractors and employeesresponsible for their implementationtogether with the inputs, outputs,performance standards, verification andcompetency requirements.

HSE is fully understood and implementedin the line and only specialist advice isrequired from HSE advisors. This advice issought and acted upon.

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

A competency assurance process asdescribed in level 2 is also in place for theemployees of contractors in positions withresponsibility for HSE critical activities.

Compliance with the contractors own HSEMS is audited within an audit programmedefined in the contract. Actions to be takenin the event of different levels of noncompliance are defined in the contract.

There is a formal process to address HSEmatters raised by employees, contractors,customers, government agencies and thepublic.

The HSE MS Manual is substantiallycomplete and the environmental part of theHSE-MS it describes has been certified toconform with ISO 14001.

Contractors document how all hazards andeffects on their contract are managed toALARP. Interfaces between company andcontractor systems are defined.

There is a description of the currentorganisational structure and a description ofthe relationships of all parties involved inthe operation including partners, contractorsand regulators.

Quality specialist advice is readily availableto line personnel on all H, S & E issues andHSE advisors meet relevant regulatoryprofessional requirements.

Risks inherent in the operation or facility,the emergency procedures, shifts, leave andcompetency levels are taken into account indetermining the resourcing levels.

All staff and employees are made aware oftheir HSE responsibilities when joining thecompany.

Contractor HSE competence is assessed inthe light of the risks to be managed duringthe contract prior to the invitation to tenderand award of contract.

An effective hierarchy of HSE meetingswithin the company is described.

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

All sites and operations requiring HSECases have been identified and there is aresourced plan in place for theirdevelopment.

Individual HSE responsibilities are knownand understood by all employees (companyand contractor) and are maintained byupdating and revision in conjunction withthe employees.

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

Changes to resourcing levels andcompetencies and associated risk are assessedas part of change control procedure.Supervisors trained to recognise symptomsof under resourcing (stress, incidentcausation, overtime levels etc).

The competency requirements of all positionsinvolving HSE critical activities are periodicallyreviewed and improved and the competency ofstaff reassessed and gaps addressed.

The HSE management systems of contractorsare subject to continuous improvementduring the course of projects and contractsin consultation with the OU.

Consultation programmes are in place toidentify and act upon HSE concerns ofcommunities and other stakeholders. The HSE Policy, targets and verifiedperformance of the company are provided ina clear format with a process for feedback.

The HSE MS Manual is complete, maintainedup to date and subjected to continuousimprovement and upgrade.

Each HSE Case including those ofcontractors and the interface documents areup to date and reflect current practice on thelocation or activity. HSE Cases are reviewedas per cycle specified in the Case.

Roles &Responsibilities

HSE Advisors

Resourcing

CompetencyAssurance

Contractors

Communication

Documentation – HSE MS Manual

Documentation – HSE cases

Techniques for hazard & effectsidentification adopted by the company aredocumented and known by those employeesresponsible for their use.

Hazard and effects assessment has beencarried out as part of new projects,acquisitions, divestments and majormodifications.

Controls and persons responsible for mana-ging the controls have been identified forknown risks.

A comprehensive inventory of HSE hazardsand effects has been documented for allunits within the company.

The assessments include health, safety andthe environment including impact on thirdparties. The assessment for environmentaleffects satisfy ISO 14001 requirements.

All controls with respect to risk are assig-ned to responsible parties and performancemeasurements for the maintenance of thecontrols defined.

Appropriate techniques such as Health RiskAssessment, Environmental Assessment andHAZOP are used on all facilities andoperations and the results documented inthe inventory of hazards and effects.

Hazards and effects assessments have beencarried out for all operations and assets(includes workplace hazards). The risk orsignificance of these has been classifiedusing the risk matrix or equivalent andendorsed by management.

Each 'significant' risk (including those in the workplace) can be demonstrably linkedto a set of controls either preventativeand/or recovery. The quality of the controlsis commensurate with the risks.

There is a process for updating the hazardsand effects listing as a result of changes tothe operation or findings, e.g. job hazardanalyses, inspections or incident analyses.

The hazard and effects assessments are keptup to date and modified when circumstanceschange as part of the change controlprocedure.

Controls have been revised as a result ofchanges, improvements and moredemanding targets e.g. in terms of waste,discharges, emissions, conservation and asappropriate, establishment of communitydevelopment projects.

Identification

Assessment

Controls andOwnership

Level 1System is under development and

partially implemented.

Level 2System is documented approvedresourced and being implementedwith priority objectives satisfied

and the majority of others being met.

Level 3System functioning and being

verified, results being measuredkey system procedures

documented.

Level 4System sustained and supported

by an ongoing improvementprocess and essentially all

elements satisfied.

Level 2 Level 3Level 1

Assessment Criteria

Sub elements

* The documented demonstration of how HSE risks are managed to ALARP for locations and activities may be described in more than one document.

155899_Folder SHell_v10 01-06-1999 14:48 Pagina 1

Performance inMaintaining Controls

The means of measuring performance in themaintenance of critical HSE controls aredefined and documented.

Recovery procedures are available in thecompany for general emergency andcontingency planning and for managing theconsequences of any failure to controlhazards and effects.

The HSE-MS describes the procedures usedin the analyses of hazard and effects in thecompany.

Performance indicators are available for allHSE-critical activities (e.g. for testing systems,emergency response times, procedures, trainingeffectiveness). These are included or referencedin the HSE Case and assigned to individuals.

Procedures in Level 1 are referenced in theHSE MS and or HSE Case(s) together withthose responsible for updating, implementingand checking implementation of theprocedures.

All hazards and effects analyses aredescribed or referenced in the HSE Casedemonstrating that the selected option isALARP and that the controls are in place toreduce risks to ALARP. All shortfalls areidentified in the remedial action plan.

Actual performance in undertaking HSE-critical activities is documented andtrended against the performance activityindicators set.

All personnel are familiar with their roles incontrol and recovery procedures. Proceduresare regularly tested. Records are available todemonstrate that these procedures are in placeand performing satisfactorily under test.

Documents exists which describe all thoseactivities which must be discontinued orrestricted in given circumstances (MOPO).These documents based on HSE risk areunderstood by all supervisors responsiblefor operational decisions.

Performance against activity indicators isused in staff appraisal and is rewardedaccordingly.

The control and recovery procedures areupdated and their implementation improvedas a result of drills and practical experiencefrom both inside and outside the company.

HEMP documentation is updated to reflectthe actual situation. All controls describedin the analysis reflect existing practice andany identified shortfalls.

Recovery

HSE PlanThere is a company HSE Plan whichincludes one and five year performancetargets.

Operations ref. plans are under developmentfor some or all assets. Structured hazardreview techniques are performed for newprocesses only. Risk management focuseson mitigation. P & IDs and equip.t registersare being developed or updated.

HSE standards and procedures exist and areknown to supervisors These are inconsistentlyapplied and enforced. The documents are writ-ten primarily by HSE personnel or consultantswith little or no employee involvement.

Relevant external emergency organisationsare unfamiliar with the operational hazardsin the company. The company emergencyplan does not define the incident commandstructure and the relationship with theseexternal agencies.

An overall company HSE Plan has beendeveloped to meet continuous improvementtargets and a strategy has been developed toclose the gaps in the HSE management system.

Operations personnel are involved in hazardreviews in accordance with companyguidelines. P& ID and haz. area drawingsare held current. A change managementprocess is adhered to.

HSE standards and procedures are consistentlyapplied. HSE or consultant personnel developthese with employee input. Shell/OU DEPsare not critically applied and there is not adocumented process for updating these.

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

HSE improvement plans have been developedin the different units with resources, accountableparties and target dates. These align with theoverall documented HSE Plan and BusinessPlan which reflects the resources required.

Structured review hazard analyses are completefor all processes and operations personnel haveparticipated in the development of worst caseincident scenarios for emergency planningpurposes.

A defined process exists for the developmentand review of HSE standards and proceduresand includes employee involvement. Shell /OUDEP'sare consistently applied and variancessubject to a control procedure.

There is a comprehensive tiered emergencyresponse plan which is integrated withindividual site plans as appropriate.Competencies are defined in the plan andassured. Drills include for testing thecoordination between sites.

Strategies to improve company HSEperformance in the longer term form part ofthe overall business plan. Targets arepublished annually.

All recommendations arising from hazardanalyses and reviews have been resolvedand employees are involved in a process ofongoing review and improvement of assetintegrity.

There is evidence that in addition to 3) outsidethe formal review cycle, modifications tostandards and procedures have beeninitiated by operations personnel.

Drills are conducted with third parties andagencies according to a plan. Improvementsare incorporated and checked. Externalagencies and communities are familiar withsite hazards and emergency response plans.

Asset Integrity

Procedure & WorkInstructions

Contingency Planning& External Planning

Recording

The HSE management system is beingintroduced but measurements which showthat activities are being performedsatisfactorily are not yet available.

The monitoring system for health,environmental and safety performance isnot fully described and is driven bylegislation. Health programs are developing.

Procedures which describe what must bedone in the event of non compliance withlegislation, procedures and standards areknown but not documented.

Only significant high profile incidents areinvestigated. These investigations areundertaken directly by HSE personnel.Investigation findings are only disseminatedlocally and remedial action poorly tracked.

Changes to approved plans (cost time,resources) are approved "one level up", andonly formally documented and approvedwhen required by financial controls.

Performance measurements relating to'results' (LTIs, emissions etc.) are collectedbut not for HSE-MS activities. Locationshave completed the first review assessmentof the implementation of their HSE-MS.

Tasks have been identified where exposureassessments should be made. Significant effects have been identifiedwhere environmental measurements shouldbe taken.

Few variances are recorded and theprocedure for approving variance is illdefined or impractical.

There are procedures for reporting andinvestigating incidents. HSE personnel andsupervisors undertake investigations withlimited employee involvement. A process isdocumented for tracking recommendationsbut many are outstanding.

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

Locations are beginning to developperformance indicators to measure theelements and procedures of the HSE MS.

Records for most health, environmental andsafety measurements are available in thecompany.

There is a documented system for variancecontrol of HSE critical procedures andstandards known by those responsible forfollowing procedures and standards. There are records for variances at alllocations and projects.

Reporting and investigation process is wellunderstood and also applied to highpotential near misses. Supervisors aretrained in incident investigation and directinvestigations which include employeeparticipation. Lessons are disseminated.

There are several change control procedures(corporate, BU/asset, projects) with clearlydefined scope. The procedures documentevaluation, approval and the responsibilitiesand competencies of those involved.

Numerical performance indicators and targetsare used to measure the implementation ofthe elements and procedures of the HSE MSand are included in employee appraisal.

Records for health*, environmental andsafety measurements are available onlocations and trends are openly discussed aspart of improvement plans. * Confidentiality requirements permitting.

Employees anticipate any potential need todeviate from standards and proceduresallowing sufficient time to consideralternatives and if necessary obtain theappropriate authorisations for the variance.

Investigation findings are documented and addressed in a timely manner, accoun-tabilities assigned and tracked to closure. All information is stored and retrievable.Employees suggest improvements to theprocess.

Comparative analysis and documentation ofthe HSE impact of IMPLEMENTING thechange as well as the HSE impact of theIMPLEMENTED change are an integralpart of all change control procedures.

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

Company uses mainly unqualified and/orinexperienced resources for HSE audits.

Regular contractors have formal internalHSE audits on their operations.

Modifications to the HSE managementsystem are instigated and followed up bysnr. management when shortcomings havebeen highlighted as a result of incidents orfailure to meet targets or regulatoryrequirements. There are no scheduledformal reviews of the system.

Audit plan and process under development.Audit tracking system not functioningeffectively. Some checklist and complianceauditing being performed. Some involvement of supervisors in auditing.

HSE personnel involved in audits firstundergo formal HSE audit training. There is a process describing the requiredcompetency for auditors.

Regular contractors provide seniorpersonnel to participate in company ledintegrated HSE audits of the operationscontracted to them.

Management reviews of the HSEManagement System(s) have taken placebut these are not undertaken in accordancewith a predefined schedule and are notdocumented.

Audit process is defined and implemented.Supervisors take ownership of audit processwhich involves employees and independentparties. Audit recommendationsdocumented and tracked to closure.

Personnel in other parts of the organisationas well as the HSE or audit departmentundergo HSE audit training and competencydevelopment.

Regular contractors have an HSE auditprocess and audit schedule which isimplemented irrespective of contractualrequirements. The audit schedule includesaudits carried out by independent auditors

There is a defined process for formal andregular review of the HSE managementsystem.

Audit programme fully implemented.Skilled auditor base includes HSE personnel,supervisors and employees. Conformancewith ISO 14001 externally certified. All pastaudit recommendations arising from'serious' findings have been resolved.

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

All contractors have an HSE audit processand audit schedule which is implementedirrespective of contractual requirements. The audit schedule includes audits carriedout by independent auditors.

Snr mngt review the effectiveness of the HSE MS following a defined process andimplement the conclusions. Taken intoaccount are changes in risk exposure,stakeholders, the business environment andperformance.

PerformanceMonitoring

Records

Non-Compliance &Corrective Action

Incident ReportingFollow-up

Change Control

Audit Plan

Competency

Contractor

Review

Level 2 Level 3 Level 4Level 1

Assessment Criteria

Sub elements

Level 1System is under development and

partially implemented.

Level 2System is documented approvedresourced and being implementedwith priority objectives satisfied

and the majority of others being met.

Level 3System functioning and being

verified, results being measuredkey system procedures

documented.

Level 4System sustained and supported

by an ongoing improvementprocess and essentially all

elements satisfied.

155899_Folder SHell_v10 01-06-1999 14:48 Pagina 2

Step threePlot the results on a plain squared chart or the chart overleaf. Of particular interest are trends,so the chart should be retained and displayed until the next assessment.

If completed honestly,the results should provide a valuable input into how the HSE programmeand improvement efforts are going.

Is HSE MS in place?This question is often asked in support of the Chief Executive's HSE Letter of Assurance. HSE MS is fully implemented when Level 4 has been reached. The HSEMS can be consideredto be “in place”when a system is described on paper,the major risks are managed,there areplans to improve each sub-element and the feedback loop is active for most of the sub-elements(more than 50%). So HSEMS is “in place”when Levels 1&2 are met for all sub-elements andLevel 3 for at least 50% of the sub-elements.

What to do with the results?To focus effort where improvement is most required,select the lowest unshaded box in eachsub element i.e. where all the requirements are not fulfilled. Determine the reason for this–is it in one particular area or activity?–is it one particular aspect,i.e. health,environment or safety?The statements in the self assessment are based on a detailed knowledge of how things arereally working. The actions required to meet the requirements of the next level must thereforebe directed at specific deficiencies. Document these actions together with responsibilities in a plan for review at the next selfassessment including any more detailed questions and responses specific to the business or assetwhich have been developed to underpin the assessment.

Reality checkIn addition,examine the actual performance figures for the unit or area under consideration e.g. LTI’s,discharges,complaints,fines and compare these with the targets. Where there isunder achievement,examine the underlying causes and revisit the assessment above to ensurethat these shortfalls are reflected in the self assessment.

DisseminationSelf assessment is an integral part of the plan-do-check-review loop and to be effective it mustbe honest and aimed at improvement. The results of the assessment and the actions agreedshould therefore be available to all in the unit using whichever medium suits the situation orcircumstances. e.g. poster/ web site / video.

Shell Reprographics DHS/7

‘HSEMS in place’ when: all subelementsmeet Levels 1 & 2

at least 50% of sub elementsmeet Level 3

Results

&

Leadership

and C

om

mitm

ent

Visib

ility

Pro

active in target setting

Inform

ed Invo

lvement

Po

licy and S

trategic O

bjectives

Co

ntent

Dissem

ination

Strateg

ic Ob

jectives

Org

anisation, R

espo

nsibilities, R

esources, S

tandard

s and D

oc.

Ro

les & R

espo

nsibilities

HS

EA

dviso

rs

Reso

urcing

Co

mp

etency Assurance

Co

ntractors

Co

mm

unication

Do

cumentatio

n – HS

EM

SM

anual

Do

cumentatio

n – HS

EC

ases

Hazard

s & E

ffects Manag

ement

Identificatio

n

Assessm

ent

Co

ntrols and

Ow

nership

Perfo

rmance in M

aintaining C

ontro

ls

Reco

very

Reco

rding

Planning

& P

roced

ures

HS

EP

lan

Asset Integ

rity

Pro

cedure &

Wo

rk Instructions

Co

ntingency P

lanning &

External P

lanning

Imp

lementatio

n & M

onito

ring

Perfo

rmance M

onito

ring

Reco

rds

No

n-Co

mp

liance & C

orrective A

ction

Incident R

epo

rting F

ollo

w-up

Chang

e Co

ntrol

Aud

it

Aud

it Plan

Co

mp

etency

Co

ntractor

Review

Review

Re

su

ltslevels achieved

Date

155899_Folder SHell_v10 01-06-1999 14:49 Pagina 3

L E A D E R S H I P A N D C O M M I T M E N T

Organisation, Responsibilities,Resources, Standards and Doc.

Policy and Strategic Objectives

Hazards & Effects Management

Planning & Procedures

Implementation & Monitoring

Audit

Review

Corrective Action

Shell InternationalExploration & Production B.V.HSE-MS Self Assessment Questionnaire

PurposeThe self assessment system is a tool intended for use by a company or organisational unit identified by asset or business process. It is primarily intended to establish where thedevelopment of the HSE management system (HSE MS) has reached and where the gaps are sothat actions can be identified to improve. Aggregating the results of different units across acompany can provide a measure of overall progress but more importantly can identify commonshortfalls requiring corporate action. The prime aim is improvement therefore honesty incompletion is essential. Caution must be therefore exercised if the system is to be used as thebasis for employee or contractor performance related reward schemes.

The self assessment chart overleaf has been divided into the 8 elements ofthe HSE MS which have been further broken down into sub elements. For each sub element,(33 in total),there are four statements whichcharacterise different levels or stages which can be reached. The four levelsrange from the most elementary stage (level 1) which indicates that thesystems are under development and incomplete through to level 4 wheresystems are fully implemented,checked and personnel includingcontractors are constantly looking for ways to improve the system andperformance.

How to complete the chart?

Step oneDefine exactly which area,operation or activity is under consideration

Step two Assessment team* carries out the review.Take each sub element,one at a time. Start with level one and tick or shadethe box when all aspects of the description are met everywhere** in thearea under consideration.

* Assessment team should also include experienced parties uninvolved in the unit.** Everywhere means for practical purposes the significant majority.Move up to the next level and do the same until a level is reached where the description doesnot represent what is happening then stop,leaving the box clear. The basis of the ratings should be demonstrable therefore notes should be retained justifying

the decisions. Any recent audits should be used to substantiate the rating.Before accepting that an assessment level has been fulfilled,confirm that:–Health,safety and environment aspects have been covered.

Where for example one of the elements of health,safety and environment management isweaker than others then the level representing the less advanced element,e.g. health,shouldbe ticked,but notes should highlight that this is the case.

–The assessment is true for everywhere in the area under consideration.Highlight in notes any particular area dragging the score down.

‘HSE in the heart’

The Self Assessment

‘HSEon paper’‘HSE in the head’

155899_Folder SHell_v10 01-06-1999 14:51 Pagina 4