Team Briefing programme

1. Team Briefing programme • Why do we audit? • Link Model HSE-MS auditing • Audit methodology • Eight HSE-MS Elements (questionnaire) • Site visits & interviews • Report writing • Audit rating • Audit completion

2. HSE Performance “There must always be a gap between ... aspirations and performance.... But a gap between policy and performance is unacceptable” . Phil Watts - Shell EP HSE Conference 22 September 1997

3. Team Briefing programme • Why do we audit? • Audit methodology • Eight HSE-MS Elements (questionnaire) • Site visits & interviews • Report writing • Audit rating • Audit completion

4. SIEP-led Audit Focus • verification that structured risk assessment has been applied to the key HSE risk elements of the facility or activity, • sample whether these risks have been appropriately assessed and the correct controls have been identified, and • sample whether these controls are adequately implemented and complied with.

5. SIEP HSE Audit method (1) • OU and Contractor Staff involved • Based on National and OU/Contractor standards • HSE - Management System Audits • Fully cover H, S and E • Focus on system • Focus on risk instead of compliance • Focus on controls • Sampling Process • Questionnaire based

6. SIEP HSE Audit method (2) • Strategy and Process • Bottom up Approach • Look for unknown problems • Focus on gaps between areas of responsibility • Overall impression usually negative • Attempt to balance but focus on improvement • Investigate identified deficiencies in depth - find underlying causes • Record all areas investigated, noting any omissions • Verification!

7. A B C D E Environ- ment Repu- tation Happens several times a year in the audited OU Happens several times a year in the audited facility People Assets Severity Never heard of in EP industry Has occurred in EP industry Has occurred in the audited OU No injury or damage to health No damage No effect No impact 0 Low Slight injury or health effects Slight impact Slight damage Slight effect 1 Minor injury or health effects Minor damage Minor effect Minor impact Medium 2 Consider- able impact Major injury or health effects Local damage Localised effect 3 High Single fatality or permanent total disability Major damage Major effect National impact 4 Serious Inter- national impact Extensive damage Massive effect Multiple fatalities 5 Serious: Exposes OU to a major extent in terms of achievement of corporate HSE objectives or results. High: Though not serious, essential to be brought to Management attention. Includes medium weaknesses as repeat from previous reports. Low: No major HSE impact at process level, correction will assure greater effectiveness/efficiency in process concerned. Weakness Classification Matrix Medium: Could result in perceptible and undesirable effect on achievement of HSE objectives.

8. Root Causes Business objectives? Cause Policy failing? Recommendation Organisation failing? Review & App. failing? HSE Management System Supervisory failing? Procedural failing? Problem Detailed findings/deficiencies/problems

9. Team Briefing programme • Why do we audit? • Link Model HSE-MS auditing • Audit methodology • Eight HSE-MS Elements (questionnaire) • Site visits & interviews • Report writing • Audit rating • Audit completion

10. Audit process The HSE MS

11. HSE Management System Leadership and Commitment CORPORATE Policy and Strategic Objectives PROCESS Organisation, Responsibilities Resources, Standards & Doc. TASK Hazard and Effects Management Corrective Action Planning & Procedures Monitoring Implementation Corrective Action & Improvement Audit Corrective Action & Improvement Management Review

12. Leadership & Commitment HSE an integral part of business • Do managers effectively balance any conflict in the competing requirements to safeguard technical integrity and to optimise cashflow? • Do staff believe that management and supervisors are serious about the priority of HSE matters? • Do managers and supervisors periodically visit worksites and attend departmental safety meetings? • Do managers and supervisors lead by example - do they follow their own rules?

13. Policy & Strategic Objectives Challenging policy and objectives understood by all • Is there a Health, Safety and Environment policy? • Are strategic objectives defined (also for HSE aspects)? • Do the policy and objectives require continuous improvement, and set a leadership goal? • Are objectives cascaded to tasks and targets for all staff? • Does the policy contain an explicit statement that work should be stopped/not started if unsafe? • Are the policy and objectives endorsed by the present chief executive? • Are they readily available to employees and contractors? • Do employees and contractors understand policy and objectives? • Is Contractors' HSE management is consistent with Company's?

14. Organisation, Responsibilities,Resources, Contractor Management Communications, HSE-MS Documentation Standards and Change Control • Is the organisation appropriate? • Are boundaries and interfaces adequately described? • Are responsibilities defined to fully cover all activities? • Is there an appropriate balance between line staff and advisers? • Do all staff have job descriptions (also defining HSE aspects)? • Do staff understand and accept their responsibilities and authorities? • Are resources adequate for effective HSE management?

15. Organisation, Responsibilities,Resources, Contractor Management Communications, HSE-MS Documentation Standards and Change Control • Are job competence needs defined? • Are individual competencies assessed against the job requirements? • Are the mandatory competency requirements being complied with? • Is there an structured HSE training system? • Does the HSE training system meet line requirements? • Are there documented procedures for the separate stages of the contracting process? • Are relevant HSE clauses in contracts adequate? • Are Contractors required to submit a description of how risks will be systematically managed to ALARP prior to being allowed to start work

16. Organisation, Responsibilities,Resources, Contractor Management Communications, HSE-MS Documentation Standards and Change Control • Is there a structured system for HSE communication? • Are HSE bulletin boards available carrying appropriate and current information? • Are staff (at all levels) HSE motivated? • Is the Corporate HSE-MS substantially complete • Is there a project / departmental HSE - MS Manual? • Are shortfalls in the HSE-MS identified and is an action plan for rectification in place? • Are standards clearly defined and appropriate? • Are hazards and effects documented in an HSE case? • Is there an effective document control system? • Is there effective change and variance control?

17. Contractor HSE • What is contracted? • equipment and personnel • specified product or service • Contractor HSE management system • Pre-qualification: can contractor meet all HSE req’s? • Role of contractholder/ single point responsibility • Contract HSE plan • have all hazards been identified • are controls in place to eliminate/control hazards • are systems in place to verify: audits and inspections

18. HSE Risk Management SAFETY / HSE CASE COMPANY CONTRACTOR • Demonstration (regulator, shareholder • Major hazards of installation • Quantitative risk assessment • Safety-critical activities • Latent failures • Execution • (Minor) hazards at the workplace • Qualitative risk assessment • Hazardous activities • Active failures Engineering Design Hardware WORKPLACE HAZARD MANAGEMENT Operations People

19. Policy Process Task Managing HSE Risk OU Contractor HSE-MS HSE-MS interfacedocuments Seismic specificHSE Case HSE Case contractualrequirementsHSE Plan Manageworkplacehazards Manageworkplacehazards

20. Documented systems e.g. for seismic operations industry guidance Company Contractor Common Policy and vision ? HSE-MS HSE-MS processes (high level) ContractHSERequirements Departmental MS HSE-Case forEquipment + Site Addendum HSE-CaseforCompany Operation processes (detailed) Interface Document Workplace hazard management system Workplace hazard management system task level

21. Harm to people and damage to assets or environment Events and Circumstances BARRIERS CONSEQUENCES Undesirable event with potential for harm or damage Engineering activities Maintenance activities Operations activities SIEP-led Audit Focus HAZARD 1 verification that structured risk assessment has been applied to the key (HSE) risk elements of the facility or activity 2 sample whether these risks have been appropriately assessed and the correct controls have been identified 3 Sample whether these controls are adequately implemented and complied with

22. HEMP • Have all hazards and effects been identified? • Have all risks and effects from from hazards been evaluated? • Have appropriate measures been defined and implemented to reduce tolerable risks to ALARP level? • Are the procedures and other measures and practices effective in containing hazards at ALARP level? • Have hazard controls been assigned to responsible parties • look in team activity and hazard sheets • are the responsible parties aware • are the controls being implemented

23. Planning and Procedures 1 • Is there an effective integrated planning process, including short, medium and venture life plans? • Do plans align with corporate objectives? • Do plans cover all activities necessary to protect asset integrity? • Is there an annual HSE plan? • Emergency response (ER) • Are adequate ER plans and procedures in place within a defined hierarchy? • Are ER plans and procedures available where required? • Are ER plans and procedures known and understood and used? • Are ER plans and procedures and plans systematically reviewed/updated?

24. Planning and Procedures 2 • Are adequate procedures in place within a defined hierarchy? • Are procedures appropriate to the operation and do they define mandatory aspects? • Are procedures available where required? • Are procedures known and understood and used? • Are procedures and plans systematically reviewed/updated?

25. Implementation & Monitoring • Is work implemented in line with plans and procedures? • Do supervisors regularly check the work of their subordinates and provide remedial advice as needed? • Are performance measurement and control systems established? • Are improvement targets set and achieved, are there regular reviews at all levels? • Is performance measured against SMART targets and are appropriate and timely reports generated? • Are control breakdowns investigated and remedied? • Is non-compliance adequately dealt with? • Is there an adequate system for incident investigation reporting?

26. Audit A structured programme in place • Is there an Internal Audit Committee? • Is there an integrated audit programme? • How is the audit programme managed? • Are audits truly independent? • Are the audit resources adequate and competent? • Are audit recommendations comprehensively followed-up? • Is the follow-up process adequately reported? • Is there a system for lateral application of audit recommendations?

27. Review Management retain overview and stimulate improvement • Is there a comprehensive HSE review (at least annually)? • Is there an effective management inspection visit programme? • Is asset integrity periodically assessed by management? • Are audit reports (singly and cumulatively) reviewed by management? • Are incident investigations (singly and cumulatively) reviewed by management? • Do managers of an appropriate level lead investigations of serious incidents? • What improvements have resulted from the management review process? Do management have their eyes on (the right) ball?

28. Team Briefing programme • Why do we audit? • Link Model HSE-MS auditing • Audit methodology • Eight HSE-MS Elements (questionnaire) • Site visits & interviews • Report writing • Audit rating • Audit completion

29. Interviewing - Preparation • Review collected documents & data • Team members select areas • Edit questionnaire for selected areas • Discuss finalised questionnaires • Identify site interviewees • Adjust areas selected to give full coverage • Ask Auditee to schedule interviews

30. Questionnaires • Define areas to be covered, and divide between the team members • Reduce gaps and oversights • Reduce overlap and repetition • Suggest subjects and detail for new auditors • Help structure interviews and research • Stimulate memory and imagination to add • Must be edited, tailored, NOT a check list

31. Generic QuestionsCompetence Aspects • Are job needs defined? • Are each individual’s skills recorded? • Is there a gap analysis? • Is supplementary training planned? • Has competence been verified? • By whom? - against what criteria? • Who checks your work? • What exactly is checked? - how often? • Is feedback provided? • What training has been received?(also on-the-job) • What further training is required?

32. Generic QuestionsProcedural Aspects • Are all safety-critical aspects covered by procedures? • Are mandatory aspects identified? • Is each procedure: • comprehensive, clear and concise? • available where required? • known and used? • authorised by an appropriate person? • a controlled document? • systematically reviewed? • Are staff encouraged to improve procedures? • Do procedures satisfy underlying objectives?

33. Interviewing - Pairing Each auditor paired: • to witness deficiencies • to confirm adequacy • to question the other’s assumptions • to minimise misunderstandings between interviewer and interviewee

34. Interviewing - Organisation • Make an appointment if possible • on interviewee's territory • Pick relevant areas, highlight key questions • Also those of others! • Decide on sequence and share of time • Agree timing and stick to it • Make notes • Keep quiet during other's time • Be on time and don’t overrun • Cover all key points or make another appointment • Compare overall impressions & key issues The better one is prepared for the interview , the more one gets from it !

35. Interviewing - Approach (1) • Minimise stress • establish relationship / do not intimidate • use interpreter if necessary / adapt language to level of interviewee • interview outside presence of boss • 2 interviewers only (max one hour) • take notes all the time or not at all • try to avoid visible checklist • Introduce interviewers • Outline aims of audit • Normal OU routine supported by Dept. • Audit of system - not individuals • Aim to improve future - not witch hunt past • Open report and presentation • Report is view of audit team - not of sources

36. Interviewing - Approach (2) • Ask interviewee’s background • Use open questions and listen to replies • No prompting or interrupting by audit team • Avoid judgments, but do not condone • Do not accuse, argue or attack • Keep calm yourself • If interviewee hostile or unhelpful, interview somebody else • Stick to key questions, diverge briefly if you detect (possible) deficiencies • Cover all your key questions • Thank interviewee

37. Audit process End of Team Briefing Session 1

38. Team Briefing programme • Why do we audit? • Link Model HSE-MS auditing • Audit methodology • Eight HSE-MS Elements (questionnaire) • Site visits & interviews • Report writing • Audit rating • Audit completion

39. Findings • Require Verification eg: • Interview confirming written procedure • Observation of activity confirming written procedure • MoM confirming interview • Observation of hardware confirming standard

40. Deficiencies Policy Deficiency? Control Deficiency? Control Lateral? Control Lateral? Detail Lateral? Detail Deficiency Detail Lateral? Detail Lateral?

41. Tabular Report Format

42. 4.2.5.2 b H P 4 Format of Findings in Ch. 4 Present in a tabular (landscape) format:Part 1 Reference Finding A number of significant PPE short comings and other safety violations were observed Section ref. Order of findings in section Severity of finding (S,H, M, L) risk category HSE MS element linked to the finding

43. Format of Findings in Ch. 4 Part 2 Significance Violation of Company PPE policy ref. xyz Site management’s commitment to HSE Recommendation Reinforce HSE responsibilities of site supervision

44. Team Briefing programme (3) Report Writing • Deadline individual contributions • See hints in handout • Focus on your area • Verify facts with documentation • Start with Operational findings, finish with management findings • Use questionnaires as a guide

45. Team Team Team Report - Text Handling Team Author Team Author Team Author 1st Draft Critic Critic 2nd Draft Auditee Team Discussion Auditee Report

46. Report - Style • Standard index and format • Team editor solely responsible for English • Minimise recommendations "to study" • Factual rather than opinion • IS/IS NOT rather than TEAM CONSIDER • if necessary verify further • No time for perfection • not "agreed" by auditee • not binding on auditee

47. Report - Text Drafting • If you consider an aspect is particularly well managed: • include it as a finding but omit the significance and recommendations. • These aspects will be discussed and may be included in the principal positive findings in the executive summary • Recommendation: “Improve....” Keep it short, punchy and to-the-point

48. Report - recommendations • Stand Alone, Clear & Concise • Definitive when read in isolation • Not longer than three lines • SMAR(T) • Specific - as specific as expertise allows and sufficiently specific to ensure that deficiency will indeed be remedied • Measurable - must be able to define completion • Achievable - must be possible • Realistic - should be fit-for-purpose • Time-based - timeframe not included in audit report - to be decided by Auditee • Motivational • Start with an active verb - verify, issue, revise, replace, remove, provide, install, define or appoint • Avoid - consider, coordinate, ensure, initiate, monitor, supervise

49. Tabular Report Format

50. Classification of Findings Each Finding is categorised as follows: 1. Category: • People (P); Assets (A); Environment (E); or Reputation (R) 2. Severity level (from Weakness Classification Matrix): • Serious (S); High (H); Medium (M); or Low (L) 3. Each Finding is assigned to one HSE MS element 4. A Finding is accompanied by the Significance and one or more recommendations to address the gap