Team Briefing programme

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Team Briefing programmeTeam Briefing programme

Why do we audit?Why do we audit?Link Model HSE-MS auditingLink Model HSE-MS auditingAudit methodologyAudit methodologyEight HSE-MS Elements (questionnaire)Eight HSE-MS Elements (questionnaire)Site visits & interviewsSite visits & interviewsReport writingReport writingAudit ratingAudit ratingAudit completionAudit completion


HSE PerformanceHSE Performance

““There must always be a gap There must always be a gap between ... aspirations and between ... aspirations and performance.... But a gap between performance.... But a gap between policy and performance is policy and performance is unacceptable”unacceptable” . .

Phil Watts - Shell EP HSE ConferencePhil Watts - Shell EP HSE Conference22 September 199722 September 1997


Team Briefing programmeTeam Briefing programme Why do we audit?Why do we audit? Audit methodologyAudit methodology Eight HSE-MS Elements (Eight HSE-MS Elements (questionnaire)questionnaire)

Site visits & interviewsSite visits & interviews Report writingReport writing Audit ratingAudit rating Audit completionAudit completion


SIEP-led Audit FocusSIEP-led Audit Focus

• verification that structured risk assessment verification that structured risk assessment has been applied to the key HSE risk elements has been applied to the key HSE risk elements of the facility or activity, of the facility or activity,

• sample whether these risks have been sample whether these risks have been

appropriately assessed and the correct appropriately assessed and the correct controls have been identified, and controls have been identified, and

• sample whether these controls are adequately sample whether these controls are adequately implemented and complied with.implemented and complied with.


SIEP HSE Audit method (1)SIEP HSE Audit method (1)

OU and Contractor Staff involvedOU and Contractor Staff involved

Based on National and OU/Contractor standards Based on National and OU/Contractor standards

HSE - Management System AuditsHSE - Management System Audits

Fully cover H, S and EFully cover H, S and E

Focus on system Focus on system

Focus on risk instead of compliance Focus on risk instead of compliance

Focus on controlsFocus on controls

Sampling ProcessSampling Process

Questionnaire based Questionnaire based


SIEP HSE Audit method (2)SIEP HSE Audit method (2)

Strategy and ProcessStrategy and Process Bottom up ApproachBottom up Approach

Look for unknown problemsLook for unknown problems

Focus on gaps between areas of responsibilityFocus on gaps between areas of responsibility

Overall impression usually negativeOverall impression usually negative

Attempt to balance but focus on improvementAttempt to balance but focus on improvement

Investigate identified deficiencies in depthInvestigate identified deficiencies in depth

- find underlying causes- find underlying causes

Record all areas investigated, noting any omissionsRecord all areas investigated, noting any omissions

Verification!Verification!

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Weakness Classification Matrix Weakness Classification Matrix

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.

Serious: Exposes OU to a major extent in terms of achievement of corporate HSE objectives or results.

Medium: Could result in perceptible and undesirable effect on achievement of HSE objectives.

People Assets Environ-ment

Repu-tation

Severity

0

1

2

3

4

5

No injuryor damageto health

Slight injuryor healtheffects

Minor injuryor health

effects

Major injuryor healtheffects

Single fatalityor permanenttotal disability

Multiple fatalities

Nodamage

Slightdamage

Minordamage

Localdamage

Majordamage

Extensivedamage

Noeffect

Noimpact

Slighteffect

Slightimpact

Minoreffect

Minorimpact

Localisedeffect

Consider-able

impact

Majoreffect

Nationalimpact

Inter-nationalimpact

Massiveeffect

Never heard of in EP industry

A

LowLow

MediumMedium

HighHigh

Has occurred in EP industry

B

Has occurred inthe audited OU

C DHappens several times a year in the audited OU

EHappens several times a year in

the audited facility

SeriousSerious

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Root Root CausesCauses

Businessobjectives?

Policy failing?

Organisationfailing?

Review & App.failing?

Proceduralfailing?

Supervisoryfailing?

Detailed findings/deficiencies/problemsProblem

Recommendation

Cause

HSEHSE ManagementManagement SystemSystem

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Team Briefing programmeTeam Briefing programme Why do we audit?Why do we audit? Link Model HSE-MS auditingLink Model HSE-MS auditing Audit methodologyAudit methodology Eight HSE-MS Elements (Eight HSE-MS Elements (questionnaire)questionnaire)


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Audit processAudit process

The HSE MS

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HSE Management SystemHSE Management SystemLeadership and Commitment

Policy and Strategic Objectives

Management Review

Corrective Action & Improvement

Audit

Organisation, ResponsibilitiesResources, Standards & Doc.

Corrective Action & Improvement

Monitoring

Planning & Procedures

Hazard and Effects Management

Implementation

Corrective Action

CORPORATE

PROCESS

TASK

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Leadership & Leadership & CommitmentCommitment

Do managers effectively balance any conflict in the Do managers effectively balance any conflict in the competing requirements to safeguard technical competing requirements to safeguard technical integrity and to optimise cashflow?integrity and to optimise cashflow?

Do staff believe that management and supervisors Do staff believe that management and supervisors are serious about the priority of HSE matters?are serious about the priority of HSE matters?

Do managers and supervisors periodically visit Do managers and supervisors periodically visit worksites and attend departmental safety meetings?worksites and attend departmental safety meetings?

Do managers and supervisors lead by example - do Do managers and supervisors lead by example - do they follow their own rules?they follow their own rules?

HSE an integral part of businessHSE an integral part of business

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Policy & Strategic ObjectivesPolicy & Strategic Objectives

Is there a Health, Safety and Environment policy?Is there a Health, Safety and Environment policy? Are strategic objectives defined (also for HSE aspects)?Are strategic objectives defined (also for HSE aspects)? Do the policy and objectives require continuous improvement, and set a Do the policy and objectives require continuous improvement, and set a

leadership goal?leadership goal? Are objectives cascaded to tasks and targets for all staff?Are objectives cascaded to tasks and targets for all staff? Does the policy contain an explicit statement that work should be Does the policy contain an explicit statement that work should be

stopped/not started if unsafe?stopped/not started if unsafe? Are the policy and objectives endorsed by the present chief executive?Are the policy and objectives endorsed by the present chief executive? Are they readily available to employees and contractors?Are they readily available to employees and contractors? Do employees and contractors understand policy and objectives?Do employees and contractors understand policy and objectives? Is Contractors' HSE management is consistent with Company's?Is Contractors' HSE management is consistent with Company's?

Challenging policy and objectives understood by allChallenging policy and objectives understood by all

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Organisation, Responsibilities,Organisation, Responsibilities,Resources, Contractor Management Resources, Contractor Management

Communications, HSE-MS Documentation Communications, HSE-MS Documentation Standards and Change Control Standards and Change Control

Is the organisation appropriate?Is the organisation appropriate? Are boundaries and interfaces adequately described?Are boundaries and interfaces adequately described? Are responsibilities defined to fully cover all activities?Are responsibilities defined to fully cover all activities? Is there an appropriate balance between line staff and Is there an appropriate balance between line staff and

advisers?advisers? Do all staff have job descriptions (also defining HSE Do all staff have job descriptions (also defining HSE

aspects)?aspects)? Do staff understand and accept their responsibilities Do staff understand and accept their responsibilities

and authorities?and authorities? Are resources adequate for effective HSE management?Are resources adequate for effective HSE management?

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Are job competence needs defined?Are job competence needs defined? Are individual competencies assessed against the job Are individual competencies assessed against the job

requirements?requirements? Are the mandatory competency requirements being Are the mandatory competency requirements being

complied with?complied with? Is there an structured HSE training system?Is there an structured HSE training system? Does the HSE training system meet line requirements?Does the HSE training system meet line requirements? Are there documented procedures for the separate Are there documented procedures for the separate

stages of the contracting process? stages of the contracting process? Are relevant HSE clauses in contracts adequate?Are relevant HSE clauses in contracts adequate? Are Contractors required to submit a description of how Are Contractors required to submit a description of how

risks will be systematically managed to ALARP prior to risks will be systematically managed to ALARP prior to being allowed to start workbeing allowed to start work


Communications, HSE-MS Documentation Communications, HSE-MS Documentation Standards and Change ControlStandards and Change Control

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Is there a structured system for HSE communication?Is there a structured system for HSE communication? Are HSE bulletin boards available carrying appropriate Are HSE bulletin boards available carrying appropriate

and current information?and current information? Are staff (at all levels) HSE motivated?Are staff (at all levels) HSE motivated? Is the Corporate HSE-MS substantially completeIs the Corporate HSE-MS substantially complete Is there a project / departmental HSE - MS Manual?Is there a project / departmental HSE - MS Manual? Are shortfalls in the HSE-MS identified and is an action Are shortfalls in the HSE-MS identified and is an action

plan for rectification in place?plan for rectification in place? Are standards clearly defined and appropriate?Are standards clearly defined and appropriate? Are hazards and effects documented in an HSE case?Are hazards and effects documented in an HSE case? Is there an effective document control system?Is there an effective document control system? Is there effective change and variance control?Is there effective change and variance control?


Communications, HSE-MS Documentation Communications, HSE-MS Documentation Standards and Change ControlStandards and Change Control

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Contractor HSE What is contracted?What is contracted?

equipment and personnelequipment and personnel specified product or servicespecified product or service

Contractor HSE management systemContractor HSE management system Pre-qualification: can contractor meet all HSE req’s?Pre-qualification: can contractor meet all HSE req’s? Role of contractholder/ single point responsibilityRole of contractholder/ single point responsibility Contract HSE planContract HSE plan

have all hazards been identifiedhave all hazards been identified are controls in place to eliminate/control hazardsare controls in place to eliminate/control hazards are systems in place to verify: audits and inspectionsare systems in place to verify: audits and inspections

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HSE Risk ManagementHSE Risk ManagementCONTRACTOR

WORKPLACE HAZARD MANAGEMENT

COMPANYSAFETY / HSE CASE

Demonstration (regulator, Demonstration (regulator, shareholdershareholder

Major hazards of installationMajor hazards of installation

Quantitative risk assessmentQuantitative risk assessment Safety-critical activitiesSafety-critical activities Latent failuresLatent failures

ExecutionExecution (Minor) hazards at (Minor) hazards at

the workplacethe workplace Qualitative risk assessmentQualitative risk assessment Hazardous activitiesHazardous activities Active failuresActive failures

EngineeringEngineeringDesignDesignHardwareHardware

OperationsOperationsPeoplePeople

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Managing HSE RiskManaging HSE Risk

PolicyPolicy

ProcessProcess

TaskTask

interfacedocuments

contractualrequirements

HSE Plan

OUOU ContractorContractor

HSE-MSHSE-MS

HSE CaseHSE Case

ManageManageworkplaceworkplacehazardshazards

HSE-MSHSE-MS

Seismic specificSeismic specificHSE CaseHSE Case

ManageManageworkplaceworkplacehazardshazards

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CompanyCompanyPolicy andPolicy and visionvision

processes processes (high level)(high level)

processesprocesses (detailed)(detailed)

task leveltask level

ContractorCommonCommon

HSE-MSHSE-MS

Departmental MSDepartmental MS

HSE-CaseHSE-Caseforfor

Company OperationCompany Operation

Documented systems e.g. for seismic operations

HSE-MSHSE-MS

Workplace hazard management system

HSE-CaseHSE-Caseforfor

EquipmentEquipment

?

ContractContractHSEHSE

RequirementsRequirements

InterfaceInterface Document Document

++Site AddendumSite Addendum

Workplace hazard management system

industry guidanceindustry guidance

HAZARD Undesirable event with

potential for harm or damage

Engineering activitiesMaintenance activitiesOperations activities

CO

NSEQUENCES

Harm to people and damage to assets

or environment

Events andCircumstances

BARRIERS

11 verification that structured risk assessment has been verification that structured risk assessment has been applied to the key (HSE) risk elements of the facility or applied to the key (HSE) risk elements of the facility or activityactivity

22 sample whether these risks have been appropriately sample whether these risks have been appropriately assessed and the correct controls have been identifiedassessed and the correct controls have been identified

33 Sample whether these controls are adequately Sample whether these controls are adequately implemented and complied withimplemented and complied with

SIEP-led Audit FocusSIEP-led Audit Focus

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HEMPHEMP Have all hazards and effects been identified?Have all hazards and effects been identified? Have all risks and effects from from hazards been evaluated?Have all risks and effects from from hazards been evaluated? Have appropriate measures been defined and implemented Have appropriate measures been defined and implemented

to reduce tolerable risks to ALARP level?to reduce tolerable risks to ALARP level? Are the procedures and other measures and practices Are the procedures and other measures and practices

effective in containing hazards at ALARP level?effective in containing hazards at ALARP level? Have hazard controls been assigned to responsible partiesHave hazard controls been assigned to responsible parties

look in team activity and hazard sheetslook in team activity and hazard sheets are the responsible parties aware are the responsible parties aware are the controls being implemented are the controls being implemented

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Planning and Procedures Planning and Procedures 11

Is there an effective integrated planning process, including short, Is there an effective integrated planning process, including short, medium and venture life plans?medium and venture life plans?

Do plans align with corporate objectives?Do plans align with corporate objectives? Do plans cover all activities necessary to protect asset integrity?Do plans cover all activities necessary to protect asset integrity? Is there an annual HSE plan?Is there an annual HSE plan? Emergency response (ER)Emergency response (ER)

Are adequate ER plans and procedures in place within a defined Are adequate ER plans and procedures in place within a defined hierarchy?hierarchy?

Are ER plans and procedures available where required?Are ER plans and procedures available where required? Are ER plans and procedures known and understood and used?Are ER plans and procedures known and understood and used? Are ER plans and procedures and plans systematically Are ER plans and procedures and plans systematically

reviewed/updated?reviewed/updated?

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Planning and Procedures Planning and Procedures 22

Are adequate procedures in place within a defined Are adequate procedures in place within a defined hierarchy?hierarchy?

Are procedures appropriate to the operation and do Are procedures appropriate to the operation and do they define mandatory aspects?they define mandatory aspects?

Are procedures available where required?Are procedures available where required? Are procedures known and understood and used?Are procedures known and understood and used? Are procedures and plans systematically Are procedures and plans systematically

reviewed/updated?reviewed/updated?

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Is work implemented in line with plans and procedures?Is work implemented in line with plans and procedures? Do supervisors regularly check the work of their subordinates Do supervisors regularly check the work of their subordinates

and provide remedial advice as needed?and provide remedial advice as needed? Are performance measurement and control systems Are performance measurement and control systems

established?established? Are improvement targets set and achieved, are there regular Are improvement targets set and achieved, are there regular

reviews at all levels?reviews at all levels? Is performance measured against SMART targets and are Is performance measured against SMART targets and are

appropriate and timely reports generated?appropriate and timely reports generated? Are control breakdowns investigated and remedied?Are control breakdowns investigated and remedied? Is non-compliance adequately dealt with?Is non-compliance adequately dealt with? Is there an adequate system for incident investigation Is there an adequate system for incident investigation

reporting?reporting?

Implementation & MonitoringImplementation & Monitoring

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AuditAudit

A structured programme in placeA structured programme in place

Is there an Internal Audit Committee?Is there an Internal Audit Committee? Is there an integrated audit programme?Is there an integrated audit programme? How is the audit programme managed?How is the audit programme managed? Are audits truly independent?Are audits truly independent? Are the audit resources adequate and competent?Are the audit resources adequate and competent? Are audit recommendations comprehensively followed-Are audit recommendations comprehensively followed-

up?up? Is the follow-up process adequately reported?Is the follow-up process adequately reported? Is there a system for lateral application of audit Is there a system for lateral application of audit

recommendations?recommendations?

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RevieRevieww

Is there a comprehensive HSE review (at least annually)?Is there a comprehensive HSE review (at least annually)? Is there an effective management inspection visit programme?Is there an effective management inspection visit programme? Is asset integrity periodically assessed by management?Is asset integrity periodically assessed by management? Are audit reports (singly and cumulatively) reviewed by Are audit reports (singly and cumulatively) reviewed by

management?management? Are incident investigations (singly and cumulatively) reviewed by Are incident investigations (singly and cumulatively) reviewed by

management?management? Do managers of an appropriate level lead investigations of Do managers of an appropriate level lead investigations of

serious incidents?serious incidents? What improvements have resulted from the management review What improvements have resulted from the management review

process?process?

Management retain overview and stimulate improvementManagement retain overview and stimulate improvement

Do management have their eyes on (the right) ball?Do management have their eyes on (the right) ball?

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Interviewing - PreparationInterviewing - Preparation

Review collected documents & dataReview collected documents & dataTeam members select areasTeam members select areas

Edit questionnaire for selected areasEdit questionnaire for selected areasDiscuss finalised questionnairesDiscuss finalised questionnaires Identify site intervieweesIdentify site interviewees

Adjust areas selected to give full Adjust areas selected to give full coveragecoverage

Ask Auditee to schedule interviewsAsk Auditee to schedule interviews

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QuestionnairesQuestionnaires

Define areas to be covered, and divide between Define areas to be covered, and divide between the team membersthe team members

Reduce gaps and oversightsReduce gaps and oversightsReduce overlap and repetitionReduce overlap and repetitionSuggest subjects and detail for new auditorsSuggest subjects and detail for new auditorsHelp structure interviews and researchHelp structure interviews and researchStimulate memory and imagination to addStimulate memory and imagination to addMust be edited, tailored, NOT a check listMust be edited, tailored, NOT a check list

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Are job needs defined?Are job needs defined? Are each individual’s skills recorded?Are each individual’s skills recorded? Is there a gap analysis?Is there a gap analysis? Is supplementary training planned?Is supplementary training planned? Has competence been verified?Has competence been verified? By whom? - against what criteria?By whom? - against what criteria? Who checks your work?Who checks your work? What exactly is checked? - how often?What exactly is checked? - how often? Is feedback provided?Is feedback provided? What training has been received?What training has been received?

(also on-the-job)(also on-the-job) What further training is required?What further training is required?

Generic QuestionsGeneric QuestionsCompetence Competence

AspectsAspects

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Generic QuestionsGeneric QuestionsProcedural Procedural

AspectsAspects Are all safety-critical aspects covered by procedures?Are all safety-critical aspects covered by procedures? Are mandatory aspects identified?Are mandatory aspects identified? Is each procedure:Is each procedure:

comprehensive, clear and concise?comprehensive, clear and concise? available where required?available where required? known and used?known and used? authorised by an appropriate person?authorised by an appropriate person? a controlled document?a controlled document? systematically reviewed?systematically reviewed?

Are staff encouraged to improve procedures?Are staff encouraged to improve procedures? Do procedures satisfy underlying objectives?Do procedures satisfy underlying objectives?

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Interviewing - PairingInterviewing - Pairing

Each auditor paired:Each auditor paired:to witness deficienciesto witness deficienciesto confirm adequacyto confirm adequacyto question the other’s assumptionsto question the other’s assumptionsto minimise misunderstandings between to minimise misunderstandings between

interviewer and intervieweeinterviewer and interviewee

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Interviewing - OrganisationInterviewing - Organisation Make an appointment if possibleMake an appointment if possible

on interviewee's territoryon interviewee's territory

Pick relevant areas, highlight key questionsPick relevant areas, highlight key questions Also those of others!Also those of others!

Decide on sequence and share of timeDecide on sequence and share of time Agree timing and stick to itAgree timing and stick to it Make notesMake notes Keep quiet during other's timeKeep quiet during other's time Be on time and don’t overrunBe on time and don’t overrun

Cover all key points or make another appointmentCover all key points or make another appointment

Compare overall impressions & key issuesCompare overall impressions & key issues

The better one is prepared for the interview , the The better one is prepared for the interview , the more one gets from it !more one gets from it !

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Interviewing - Approach (1)Interviewing - Approach (1) Minimise stressMinimise stress

establish relationship / do not intimidateestablish relationship / do not intimidate use interpreter if necessary / adapt language to use interpreter if necessary / adapt language to

level of intervieweelevel of interviewee interview outside presence of boss interview outside presence of boss 2 interviewers only (max one hour)2 interviewers only (max one hour) take notes all the time or not at alltake notes all the time or not at all try to avoid visible checklisttry to avoid visible checklist

Introduce interviewersIntroduce interviewers Outline aims of auditOutline aims of audit

Normal OU routine supported by Dept.Normal OU routine supported by Dept. Audit of system - not individualsAudit of system - not individuals Aim to improve future - not witch hunt pastAim to improve future - not witch hunt past Open report and presentationOpen report and presentation Report is view of audit team - not of sourcesReport is view of audit team - not of sources

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Interviewing - Approach (2)Interviewing - Approach (2) Ask interviewee’s backgroundAsk interviewee’s background Use open questions and listen to repliesUse open questions and listen to replies No prompting or interrupting by audit teamNo prompting or interrupting by audit team Avoid judgments, but do not condoneAvoid judgments, but do not condone Do not accuse, argue or attackDo not accuse, argue or attack Keep calm yourselfKeep calm yourself If interviewee hostile or unhelpful, interview If interviewee hostile or unhelpful, interview

somebody elsesomebody else Stick to key questions, diverge briefly if you Stick to key questions, diverge briefly if you

detect (possible) deficienciesdetect (possible) deficiencies Cover all your key questionsCover all your key questions Thank intervieweeThank interviewee

T-41 20/04/23SIEP - EP-HSE


End of Team Briefing Session 1

T-42 20/04/23SIEP - EP-HSE



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FindingsFindings

Require Verification eg:Require Verification eg:

Interview confirming written procedureInterview confirming written procedure

Observation of activity confirming written Observation of activity confirming written procedureprocedure

MoM confirming interviewMoM confirming interview

Observation of hardware confirming standardObservation of hardware confirming standard

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DeficienciesDeficiencies

Detail Lateral?

Detail Deficiency

Detail Lateral?

Detail Lateral?

Control Deficiency?

Control Lateral?

Control Lateral?

Policy Deficiency?

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Tabular Report Format Tabular Report Format Table 5.1: 4.2.5.1 - Land transport operations

4.2.5.1.2 Safety features and equipment (land)

Reference levl sev cat ele Finding Significance Recommendation

4.2.5.1.2 a S P 18 Seat belts were fitted in the vehicle cabssampled with the exception of one drill truck,one survey truck and the fuel supply truck.The following deficiencies were noted:

Drill truck 1775 had no seat belts fitted andthe seats were not secured to vehicle in cab;

Drill truck 6102 had seat belts fitted butevidence of belts not being worn;

Uphole recorder truck 6437 had seat beltsfitted but observed on road not being worn;

Survey truck 6431 had no seat belts fitted inthe rear passenger compartment;

Several persons were seen to be violatingthe mandatory requirement on wearing seatbelts.

Violation of contractualrequiremnts. Essential safetymeasures not enforced

1. All vehicles to be fitted with seatbelts in all cabs and passengercompartments.

2. Enforce the mandatory seat beltpolicy.

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Format of Findings in Ch. 4Format of Findings in Ch. 4Present in a tabular (landscape) format: Part 1

Reference

FindingA number of significant PPE short comings and other safety violations A number of significant PPE short comings and other safety violations

were observedwere observed

4.2.5.2 b4.2.5.2 b HH PP 44

Section ref.Section ref. Order of findings in sectionOrder of findings in section Severity of finding (S,H, M, L)Severity of finding (S,H, M, L) risk category risk category HSE MS element linked to the findingHSE MS element linked to the finding

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Format of Findings in Ch. 4Format of Findings in Ch. 4Part 2

SignificanceSignificanceViolation of Company PPE policy ref. xyzViolation of Company PPE policy ref. xyz

Site management’s commitment to HSESite management’s commitment to HSE

RecommendationRecommendation

Reinforce HSE responsibilities of site supervisionReinforce HSE responsibilities of site supervision

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Team Briefing programme (3)Team Briefing programme (3)

Deadline individual contributionsDeadline individual contributionsSee hints in handoutSee hints in handoutFocus on your areaFocus on your areaVerify facts with documentationVerify facts with documentationStart with Operational findings, finish Start with Operational findings, finish

with management findingswith management findingsUse questionnaires as a guideUse questionnaires as a guide

Report WritingReport Writing

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Team Author

Team Author

Team Author

1stDraft

2nd2ndDraftDraft

Team Discussion

Team Team Team Critic Critic

Auditee Auditee

Report

Report - Text HandlingReport - Text Handling

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Report - StyleReport - Style

Standard index and formatStandard index and formatTeam editor solely responsible for EnglishTeam editor solely responsible for EnglishMinimise recommendations "to study"Minimise recommendations "to study"Factual rather than opinionFactual rather than opinion

IS/IS NOTIS/IS NOT rather than rather than TEAM CONSIDERTEAM CONSIDER if necessary verify furtherif necessary verify further

No time for perfectionNo time for perfection not "agreed" by auditeenot "agreed" by auditee not binding on auditeenot binding on auditee

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Report - Text DraftingReport - Text Drafting

If you consider an aspect is particularly well If you consider an aspect is particularly well managed:managed: include it as a finding but omit the significance and include it as a finding but omit the significance and

recommendations. recommendations. These aspects will be discussed and may be included in These aspects will be discussed and may be included in

the principal positive findings in the executive summarythe principal positive findings in the executive summary

RecommendationRecommendation: “Improve....”: “Improve....”

Keep it short, punchy and to-the-pointKeep it short, punchy and to-the-point

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Report - Report - recommendationsrecommendations Stand Alone, Clear & ConciseStand Alone, Clear & Concise

Definitive when read in isolationDefinitive when read in isolation Not longer than three linesNot longer than three lines

SMAR(T)SMAR(T) SpecificSpecific -- as specific as expertise allows and as specific as expertise allows and

sufficiently specific to ensure that sufficiently specific to ensure that deficiency will indeed be remedied deficiency will indeed be remedied

MeasurableMeasurable -- must be able to define completionmust be able to define completion AchievableAchievable - - must be possiblemust be possible RealisticRealistic -- should be fit-for-purposeshould be fit-for-purpose Time-basedTime-based - - timeframe not included in audit timeframe not included in audit

report - to be decided by Auditeereport - to be decided by Auditee MotivationalMotivational

Start with an active verb - verify, issue, revise, replace, Start with an active verb - verify, issue, revise, replace, remove, provide, install, define or appointremove, provide, install, define or appoint

Avoid - consider, coordinate, ensure, initiate, monitor, Avoid - consider, coordinate, ensure, initiate, monitor, supervisesupervise

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Tabular Report Format Tabular Report Format Table 5.1: 4.2.5.1 - Land transport operations

4.2.5.1.2 Safety features and equipment (land)

Reference levl sev cat ele Finding Significance Recommendation

4.2.5.1.2 a 2 S P 18 Seat belts were fitted in the vehicle cabssampled with the exception of one drill truck,one survey truck and the fuel supply truck.The following deficiencies were noted:

Drill truck 1775 had no seat belts fitted andthe seats were not secured to vehicle in cab;

Drill truck 6102 had seat belts fitted butevidence of belts not being worn;

Uphole recorder truck 6437 had seat beltsfitted but observed on road not being worn;

Survey truck 6431 had no seat belts fitted inthe rear passenger compartment;

Several persons were seen to be violatingthe mandatory requirement on wearing seatbelts.

Violation of contractualrequiremnts. Essential safetymeasures not enforced

1. All vehicles to be fitted with seatbelts in all cabs and passengercompartments.

2. Enforce the mandatory seat beltpolicy.

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Classification of FindingsClassification of FindingsEach Finding is categorised as follows:Each Finding is categorised as follows:

1.1. Category:Category: People (P); Assets (A); Environment (E); or Reputation (R)People (P); Assets (A); Environment (E); or Reputation (R)

2. Severity level (from Weakness Classification Matrix):2. Severity level (from Weakness Classification Matrix): Serious (S); High (H); Medium (M); or Low (L) Serious (S); High (H); Medium (M); or Low (L)

3. Each Finding is assigned to one HSE MS element3. Each Finding is assigned to one HSE MS element

4. A Finding is accompanied by the Significance and one or more 4. A Finding is accompanied by the Significance and one or more recommendations to address the gaprecommendations to address the gap

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Weakness Classification Matrix Weakness Classification Matrix

People Assets Environ-ment

Repu-tation

Severity

0

1

2

3

4

5

No injuryor damageto health

Slight injuryor healtheffects

Minor injuryor health

effects

Major injuryor healtheffects

Single fatalityor permanenttotal disability

Multiple fatalities

Nodamage

Slightdamage

Minordamage

Localdamage

Majordamage

Extensivedamage

Noeffect

Noimpact

Slighteffect

Slightimpact

Minoreffect

Minorimpact

Localisedeffect

Consider-able

impact

Majoreffect

Nationalimpact

Inter-nationalimpact

Massiveeffect

Never heard of in EP industry

A

LowLow

MediumMedium

HighHigh

Has occurred in EP industry

B

Has occurred inthe audited OU

C DHappens several times a year in the audited OU

EHappens several times a year in

the audited facility

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.

Serious: Exposes OU to a major extent in terms of achievement of corporate HSE objectives or results.

Medium: Could result in perceptible and undesirable effect on achievement of HSE objectives.

SeriousSerious

T-56 20/04/23SIEP - EP-HSE

Classification Classification findings/recommendationsfindings/recommendations

Weakness Weakness DefinitionDefinition

SeriousSerious Exposes company to a major extent in terms of Exposes company to a major extent in terms of achievement of corporate HSE objectives or results achievement of corporate HSE objectives or results

HighHigh Though not serious, is essential to be brought to Though not serious, is essential to be brought to attention of senior management team. Includes attention of senior management team. Includes

any any medium weakness which is repeat finding medium weakness which is repeat finding from from previous report.previous report.

MediumMedium Could result in perceptible and undesirable effect on Could result in perceptible and undesirable effect on achievement of HSE objectives.achievement of HSE objectives.

Low Low No major HSE impact at process level, correction will No major HSE impact at process level, correction will assure greater effectiveness/efficiency. assure greater effectiveness/efficiency.

T-57 20/04/23SIEP - EP-HSE

ConsequenceConsequenceconsequence of scenarios that can develop from the consequence of scenarios that can develop from the release of a hazard given the available barriers and release of a hazard given the available barriers and defencesdefences (in incidents or near misses the hazard has been released (in incidents or near misses the hazard has been released already whereas in all other cases the hazard has not yet been already whereas in all other cases the hazard has not yet been released)released)

ProbabilityProbabilityprobability is estimated on the basis of historical evidence probability is estimated on the basis of historical evidence that the assessed consequence has materialised (i.e. not that the assessed consequence has materialised (i.e. not the probability of the release of the hazard)the probability of the release of the hazard)

Risk Assessment MatrixRisk Assessment Matrix

DefinitionsDefinitions

T-58 20/04/23SIEP - EP-HSE

Risk to PeopleRisk to People

Severity Description

0 No injury or damage to health

1 Slight injury or health effects (including first aid case and medical treatment case) - Not affecting work performance or causing disability.

2 Minor injury or health effects (Lost Time Injury) - Affecting work performance, such as restriction to activities (Restricted Work Case) or a need to take a few days to fully recover (Lost Work Case). Limited health effects which are reversible, eg skin irritation, food poisoning.

3 Major injury or health effects (including Permanent Disability) - Affecting work performance in the longer term, such as a prolonged absence from work. Irreversible health damage without loss of life, eg noise induced hearing loss, chronic back injuries.

4 Single fatality or permanent total disability. From an accident or occupational illness (poisoning, cancer).

5 Multiple fatalities - From an accident or occupational illness (poisoning, cancer).

T-59 20/04/23SIEP - EP-HSE

Risk to AssetsRisk to Assets

Severity Description

0 Zero damage.

1 Slight damage - No disruption to operation (costs less than US$10,000).

2 Minor damage - Brief disruption (costs less than US$100,000).

3 Local damage - Partial shutdown (can be restarted but costs up to US$500,000).

4 Major damage - Partial operation loss (2 weeks shutdown, costs up to US$10,000,000.

5 Extensive damage - Substantial or total loss of operation (costs in excess of US$10,000,000)

T-60 20/04/23SIEP - EP-HSE

Risk to EnvironmentRisk to EnvironmentSeverity Description

0 Zero effect - No environmental damage. No change in the environment. No financial consequences.

1 Slight effect - Local environmental damage. Within the fence and within systems. Negligible financial consequences.

2 Minor effect - Contamination. Damage sufficiently large to attack the environment. Single exceedance of statutory or prescribed criterion. Single complaint. No permanent effect on the environment.

3 Localised effect - Limited loss of discharges known toxicity. Repeated exceedance of statutory or prescribed limit. Affecting neighbourhood.

4 Major effect - Severe environmental damage. The company is required to take extensive measures to restore contaminated environment to its original state. Extended exceedance of statutory or prescribed limits.

5 Massive effect - Persistent severe environmental damage or severe nuisance xtending over a large area. In terms of commercial or recreational use or nature conservancy, a major economic loss for the company. Constant, high exceedance of statutory or prescribed limits.

T-61 20/04/23SIEP - EP-HSE

Risk to ReputationRisk to ReputationSeverity Description

0 No impact - No public awareness.

1 Slight impact - Public awareness may exist, but there is no public concern.

2 Limited impact - Some local public concern. Some local media and/or political attention with potentially adverse aspects for company operations.

3 Considerable impact - Regional public concern. Extensive adverse attention in local media. Slight national media and/or local/regional political attention. Adverse stance of local government and/or action groups.

4 National impact - National public concern. Extensive adverse attention in the national media. Regional/national policies with potentially restrictive measures and/or impact on grant of licences. Mobilisation of action group.

5 International impact - International public attention. Extensive adverse attention in international media. National/international policies with potentially severe impact on access to new areas, grants of licences and/or tax

legislation.

T-62 20/04/23SIEP - EP-HSE

“If engineers and users require MC If engineers and users require MC information, they should access the CAIRS information, they should access the CAIRS system. However if a hard copy needs to be system. However if a hard copy needs to be sighted, usually a copy is available at either sighted, usually a copy is available at either the Plant or Warehouse. Only as a last resort the Plant or Warehouse. Only as a last resort should copies be requested from Information should copies be requested from Information Services”.Services”.

Identify potential users and train them in the Identify potential users and train them in the use of CAIRS.use of CAIRS.

Bad RecommendationBad Recommendation

T-63 20/04/23SIEP - EP-HSE

Write your findings in style “tablebody” Write your findings in style “tablebody” Don’t attempt to format your text i.e. do not put Don’t attempt to format your text i.e. do not put

TABS and CRs in an attempt to “make it look TABS and CRs in an attempt to “make it look nice”.nice”.

Make a separate file for each section have to Make a separate file for each section have to write. Omit the section heading line in the file.write. Omit the section heading line in the file.

name the file as the section heading number, name the file as the section heading number, followed by your initials e.g. 4.1.1sd.docfollowed by your initials e.g. 4.1.1sd.doc

Report - Text DraftingReport - Text DraftingTips and hints:Tips and hints:

T-64 20/04/23SIEP - EP-HSE

Team Editing - Team Editing - Objectives

ii Agree & confirm documentation of facts

iiii Build consensus and common view(total report supported by all team members)

iiiiii Obtain ownership by all team members

iviv Ensure clarity and conciseness

vv Eliminate irrelevant detail and repetition

vivi Unify style and correct grammar(also define audit-specific global checks)

T-65 20/04/23SIEP - EP-HSE

Team Editing - ProcessTeam Editing - Process One sub-section at a time:

ii Is text understandable - can it be clarified?

iiii Does it demonstrate sampling of the subject area?

iiiiii Are findings factually correct?

iviv Are there any sensitivities?

vv Do all findings have related recommendations?

vivi Are all recommendations linked to a finding?

viivii Are recommendations SMAR(T)?

viiiviii Minimise additional sub-headings

ixix Ungroup recommendations

xx Unify style and correct grammar

60 -90 minute sessions Anyone may call for time-out

T-66 20/04/23SIEP - EP-HSE



T-67 20/04/23SIEP - EP-HSE


Why do we audit?Why do we audit? Link Model HSE-MS auditingLink Model HSE-MS auditing Audit methodologyAudit methodology Eight HSE-MS Elements (Eight HSE-MS Elements (questionnaire)questionnaire)


T-68 20/04/23SIEP - EP-HSE

Audit AssessmentAudit Assessment

Level of concernLevel of concern: Specific: SpecificNo follow-up required by auditee’s function No follow-up required by auditee’s function head (IAC member)head (IAC member)

Level of concernLevel of concern: Overall scope for : Overall scope for enhancementenhancementIn addition to following up correction of any In addition to following up correction of any High or Medium weaknesses the function head High or Medium weaknesses the function head should encourage general improvement in should encourage general improvement in controls awarenesscontrols awareness

GoodGood

FairFair

T-69 20/04/23SIEP - EP-HSE

Audit AssessmentAudit Assessment

Level of concernLevel of concern: : Overall cause for concernOverall cause for concernIn addition to following up correction of any In addition to following up correction of any Serious, High or Medium weaknesses the Serious, High or Medium weaknesses the function head should take affirmative action function head should take affirmative action to ensure that control standards in this area to ensure that control standards in this area are raisedare raised

Level of concernLevel of concern: : Overall cause for grave concernOverall cause for grave concernIn addition to following up correction of any In addition to following up correction of any Serious, High or Medium weaknesses the Serious, High or Medium weaknesses the function head should satisfy the senior function head should satisfy the senior management team concerning affirmative management team concerning affirmative action to raise control standards in this areaaction to raise control standards in this area

UnsatisfactoryUnsatisfactoryPoorPoor

Unacceptable Unacceptable

T-70 20/04/23SIEP - EP-HSE

Revised Audit OpinionRevised Audit Opinion

0 0 0/F - 0 0 My - 0 F F - 0 F F/My My 1-2 - - - 0 My - - >2 - - -

Key: F = few <20 My = many >40 Findings Most Favourable OpinionS H M H+M Unacc. Unsat. Fair Good

/ Poor

T-71 20/04/23SIEP - EP-HSE

Audit opinion derivationAudit opinion derivationBased upon an assessment of severity and Based upon an assessment of severity and

breadth of Findingsbreadth of Findings Independent from RecommendationsIndependent from Recommendations Findings rated ‘Low’ excludedFindings rated ‘Low’ excluded

Definition of Few and Many:Definition of Few and Many: ‘‘Few’ and ‘Many’ terms from IAGFew’ and ‘Many’ terms from IAG Based on review of past SIEP HSE audits:Based on review of past SIEP HSE audits:

Few < 20Few < 20

Many > 40 Many > 40 Provides differentiation Provides differentiation Team decision required to deviateTeam decision required to deviate

T-72 20/04/23SIEP - EP-HSE

HSE MS Self Assessment QuestionnaireHSE MS Self Assessment Questionnaire

T-73 20/04/23SIEP - EP-HSE

HSE-MS Sub Element HSE-MS Sub Element AssessmentAssessment

System sustained and supported by an ongoing System sustained and supported by an ongoing improvement process and essentially all elements improvement process and essentially all elements satisfied.satisfied.

System functioning and being verified, results System functioning and being verified, results being measured, key system procedures being measured, key system procedures documented.documented.

System is documented, approved, resourced and System is documented, approved, resourced and being implemented with priority objectives being implemented with priority objectives satisfied and the majority of objectives being met.satisfied and the majority of objectives being met.

System is under development and partially System is under development and partially implemented.implemented.

44

33

22

11

T-74 20/04/23SIEP - EP-HSE


Why do we audit?Why do we audit? Link Model HSE-MS auditingLink Model HSE-MS auditing Audit methodologyAudit methodology Eight HSE-MS Elements (Eight HSE-MS Elements (questionnaire)questionnaire)


T-75 20/04/23SIEP - EP-HSE

Finalisation of ReportFinalisation of ReportPlug gapsPlug gapsGather all outstanding dataGather all outstanding dataCheck classified actionsCheck classified actionsCollate appendices:Collate appendices:

Summary sheetSummary sheet Glossary of abbreviationsGlossary of abbreviations Classified action listClassified action list Correspondence on TORCorrespondence on TOR

Global checksGlobal checks spelling, references, etc.spelling, references, etc.

T-76 20/04/23SIEP - EP-HSE

Completion of AuditCompletion of AuditGive team-edited draft report to AuditeeGive team-edited draft report to AuditeeAssessment and audit opinionAssessment and audit opinionDraft Main FindingsDraft Main FindingsAgree wording of Main Findings with AuditeeAgree wording of Main Findings with AuditeeIncorporate feedback agreed with AuditeeIncorporate feedback agreed with AuditeeDry-run presentation within teamDry-run presentation within teamMake final presentation to managementMake final presentation to managementFinalise report editingFinalise report editingPresent Present final draftfinal draft report to Auditee report to Auditee

(formal report to be issued within one month)(formal report to be issued within one month)

T-77 20/04/23SIEP - EP-HSE



Documents

Team Briefing programme