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1. Leadership and Commitment 2. Policy and Strategic Objectives 3.

Organisation, Responsibilities, Resources, Standards and Documents


1.1 Visibility 1.2 Proactive in target setting 1.3 Informed involvement 2.1 Content 2.2 Dissemination 2.3 Strategic Objectives 3.1 Roles & Responsibilities 3.2 HSE Advisors & Management 3.3 Resources 3.4 Competence 3.5 Contractors
Sub elements
Representatives *
Assessment Criteria 1 2 3 4 5 6 7 8 9 10 11

LEVEL 4 Leaders drive the process for HSE Leaders ensure that all staff have Leaders are personally involved in the The HSE Policy is reviewed as part of Employees and contractors can Senior managers are measured on Individual HSE responsibilities are HSE advisors can demonstrate that Changes to resourcing levels and The competency requirements of all The HSE MS of contractors are
excellence. All levels 'own' the HSE HSE 'results' and 'activity' targets in improvement efforts arising from the the formal HSE management system explain what they must do in their performance in setting challenging known and understood by all they are regularly supporting the competencies and associated risk are positions involving HSE critical subject to continuous improvement
System sustained and management process. Documented their appraisal and are rewarded formal senior management 'Review' Review. Comments are sought from work so that their company can fulfil targets for continuous improvement employees (company and contractor) drive for continuous improvement in assessed as part of change control activities are periodically reviewed during the course of projects and
supported by an ongoing surveys of employee perceptions accordingly. (see 8) of the HSE MS. all stakeholders on the content of the the requirements of its HSE Policy. and personnel at all levels in the and are maintained by updating and HSE MS(s) across the operation by procedure. Supervisors trained to and improved and the competency of contracts in consultation with the OU.
improvement process and recognise symptoms of under staff reassessed and gaps addressed.
confirm that employees believe the company HSE Policy during the The HSE Policy is readily available to company are assessed on perfor- revision in conjunction with the proactive challenge, comparison and
essentially all elements
company is committed to HSE. revision process. neighbouring communities in an mance in achieving these targets employees. promotion of best practice. resourcing: - (stress, incident
satisfied.
understandable format. which are included in the HSE Plan. causation, overtime levels etc.)

LEVEL 3 Leaders actively participate in HSE Leaders jointly develop and discuss Leaders are fully aware of the high All contractors have HSE Policies and The personal relevance of the HSE Audits confirm that the HSE Plan is All HSE Critical activities are defined HSE is fully understood and The actual resourcing meets the A competency assurance process as Compliance with the contractors own
activities such as training, reward both HSE 'result' and 'activity' priority areas for improvement daughter policies consistent with Policy to all new employees functioning and there is a process in and known by contractors and implemented in the line and only requirements described in the HSE described in Level 2 is also in place HSE MS is audited within an audit
System functioning and and recognition schemes, improvement targets with the identified in the HSE MS and the those of the company as described in (company & contractor) is explained place to effectively monitor progress employees responsible for their specialist advice is required from HSE MS or HSE Case in number and for the employees of contractors in programme defined in the contract.
being verified, key system industry/contractor workshops, employees and contractors. status of the follow up remedial Level 2. The policies are endorsed by to them by their immediate against the HSE Plan and verify the implementation together with the advisors. This advice is sought and competency. positions with responsibility for HSE Actions to be taken in the event of
procedures documented and critical activities. different levels of non compliance are
conferences and audits. programme. the CEO. A statement on Joint supervisor. Supervisors discuss HSE results. inputs, outputs, performance acted upon.
results being measured.
ventures is available. revised HSE policies with employees. standards, verification and defined in the contract.
competency requirements.

LEVEL 2 Leaders discuss and review with Leaders participate in the Leaders review the progress both in The company HSE Policy complies The current HSE Policy is prominently The HSE targets described in the HSE The HSE MS includes a description of The role and reporting relationship of The establishment in terms of A competency assurance process is in Contractor mobilisation is conditional
employees and contractors progress development of objectives and target the development AND the content of with the Shell Group HSE Policy as a displayed in a language understood Plan are consistent with EP Minimum all HSE critical activities and the HSE the HSE Advisor(s) is fully defined in numbers and function of personnel is place for company personnel with upon receiving a description of how
System is documented against meeting specific 'results' and setting for H, S & E management HSE MS and HSE Cases and make minimum and reflects specific OU by all employees and contractors. Health, Safety and Environment responsibilities of employees and the HSE MS. This also includes for described or referred to in the HSE responsibility for HSE critical HSE risks will be systematically
approved resourced, and 'activity' HSE targets. This usually 'activities', (proactive indicators) as available the resources and expertise circumstances. Specific and clear Each employee has a personal copy expectations and there is a contractors in undertaking these direct access to the chief executive of MS or HSE Case. ® activities. Required and actual managed to ALARP and interfaces
being implemented with competencies of incumbents are managed on that particular contract
takes place at staff appraisal and well as 'result' indicators. to meet the targets. daughter policies are available for all of the HSE Policy. transparent cascade between OU activities. Supervisors, employees and the company.
priority objectives satisfied
pre-contract award. areas relevant to the OU, including corporate targets and unit targets. ® contractors know these. documented. or project. ®
and the majority of others
being addressed. Biodiversity. ®

LEVEL 1 Leaders communicate HSE Leaders participate in the review of Leaders are unconvinced that the There is a company HSE Policy dated Employees and contractors know There is an HSE MS under There is a description of the current Quality specialist advice is readily Risks inherent in the operation or All staff and employees are made Contractor HSE competence is
expectations to employees reporting reactive indicators i.e. 'results' such systematic management of HSE and and endorsed by the current CEO. where to find a copy of the HSE development which includes an HSE organisational structure and a available to line personnel on all facility, the emergency procedures, aware of their HSE responsibilities assessed in the light of the risks to be
System is under development to them but are not involved in the as LTIs, spills, emission. measurement of the effectiveness of Policy of their company. Plan to meet the OU strategic description of the relationships of all H, S & E issues and HSE advisors shifts, leave and competency levels when joining the company. managed during the contract prior to
and primary issues are being HSE Management System (HSE MS) such a system are as important as the objectives. parties involved in the operation meet relevant regulatory professional are taken into account in determining the invitation to tender and award of
met. Each HSE Case including the resourcing levels. contract.
process and do not refer to it. reactive measurements such as LTIs. including partners, contractors and requirements.
those of contractors and the
interface documents are up to
regulators.
date and reflect.

3. Organisation, Responsibilities, Resources, Standards and Documents (cont.) 4. Hazard and Effects Management 5. Planning and Procedures
3.6 Communication 3.7 Documentation & Control – 3.8 Documentation & Control – 4.1 Identification of Hazards & 4.2 Assessment 4.3 Recording of Hazards & Effects * 4.4 Performance Criteria 4.5 Risk Reduction Measures – 4.6 Risk Reduction Measures – 5.1 HSE Plan 5.2 Asset Integrity
Sub elements
HSE MS * HSE Cases * Effects * for Maintaining Controls Controls & Ownership Recovery
Assessment Criteria 12 13 14 15 16 17 18 19 20 21 22

LEVEL 4 Consultation programmes are in The HSE MS Manual is complete, Each HSE Case including those of There is a process for updating the The hazards and effects assessments HEMP documentation is updated to Performance against activity Controls have been revised as a The control and recovery procedures Strategies to improve company HSE All recommendations arising from
place to identify and act upon HSE maintained up-to-date and subjected contractors and the interface hazards and effects listing as a result are kept up to date and modified reflect the actual situation. All indicators is used in staff appraisal result of changes, improvements and are updated and their implemen- performance in the longer term form hazard analyses and reviews have
System sustained and concerns of communities and other to continuous improvement and documents are up to date and reflect of changes to the operation or when circumstances change as part controls described in the analysis and is rewarded accordingly. more demanding targets e.g. in terms tation improved as a result of drills part of the overall business plan. been resolved and employees are
supported by an ongoing stakeholders. The HSE Policy, targets upgrade. current practice on the location or findings e.g. job hazard analyses, of the change control procedure. ® reflect existing practice and any of waste, discharges, emissions, and practical experience from both Targets are published annually. involved in a process of ongoing
improvement process and and verified performance of the activity. HSE Cases are reviewed as inspections or incident analyses. identified shortfalls. conservation and as appropriate, inside and outside the company. review and improvement of asset
essentially all elements
company are provided in a clear per cycle specified in the Case. ® establishment of community integrity.
satisfied.
format with a process for feedback. development projects.

LEVEL 3 There is a formal process to address The HSE MS is substantially complete Contractors document how all A comprehensive inventory of HSE The assessments include health, safety Documents exist which describe all Actual performance in undertaking All controls with respect to risk are All personnel are familiar with their HSE improvement plans have been Structured review hazard analyses
HSE matters raised by employees, and the environmental part of the hazards and effects on their contract hazards and effects has been and the environment including impact those activities, which must be HSE-critical activities is documented assigned to responsible parties and roles in control and recovery developed in the different units with are complete for all processes and
System functioning and contractors, customers, government HSE MS meets the requirements of are managed to ALARP. Interfaces documented for all units within the on third parties. The assessment for discontinued or restricted in given and trended against the performance performance measurements for the procedures. Procedures are regularly resources, accountable parties and operations personnel have
being verified, key system agencies and the public. ISO 14001. There is also a system between company and contractor company. environmental effects satisfy ISO circumstances (MOPO). These activity indicators set. maintenance of the controls defined. tested. Records are available to target dates. These align with the participated in the development of
procedures documented and for tracking, anticipating and dis- systems are defined. 14001 requirements. documents based on HSE risk are demonstrate that these procedures overall documented HSE Plan and worst case incident scenarios for
results being measured.
seminating and ensuring compliance understood by all supervisors are in place and performing Business Plan which reflects the emergency planning purposes.
with relevant H&S legislation. ® responsible for operational decisions. satisfactorily under test. resources required.

LEVEL 2 There is an effective system in place An HSE MS Manual is available for HSE Cases are complete for all Appropriate techniques such as Hazards and effects assessments All hazards and effects analyses are Performance indicators are available Each 'significant' risk (including those Procedures in Level 1 are referenced An overall company HSE Plan has Operations personnel are involved in
for the timely transfer of HSE the company as a whole and for required locations and activities. Health Risk Assessment, have been carried out for all opera- described or referenced in the HSE for all HSE-critical activities (e.g. for in the workplace) can be in the HSE MS and or HSE Case(s) been developed to meet continuous hazard reviews in accordance with
System is documented information and feedback across all organisational units within the OU. These demonstrate how all risks are Environmental Assessment and tions and assets, (includes workplace Case demonstrating that the selected testing systems, emergency response demonstrably linked to a set of together with those responsible for improvement targets and a strategy company guidelines. P& ID and haz.
approved resourced, and levels in the company and Legislative requirements are known but managed to ALARP. HSE Cases are HAZOP are used on all facilities and hazards). The risk or significance of option is ALARP and that the controls times, procedures, training controls either preventative and/or updating, implementing and checking has been developed to close the gaps area drawings are held current.
being implemented with contractors. All employees are aware compliance cannot be demon-strated. endorsed by those managing the operations and the results these has been classified using the are in place to reduce risks to ALARP. effectiveness). These are included or recovery. The quality of the controls is implementation of the procedures. in the HSE MS. A change management process is
priority objectives satisfied
of key HSE information and Shortfalls in the HSE MS are identified asset or operation and snr. documented in the inventory of risk matrix or equivalent and All shortfalls are identified in the referenced in the HSE Case and commensurate with the risks. adhered to.
and the majority of others
being addressed.
expectations. and a rectification plan is in place. ® management. hazards and effects. endorsed by management. remedial action plan. assigned to individuals.

LEVEL 1 An effective hierarchy of HSE There are HSE procedures available All sites and operations requiring Techniques for hazard & effects Hazards and effects assessment has The HSE MS describes the procedures The means of measuring Controls and persons responsible for Recovery procedures are available in There is a company HSE Plan which Operations Ref Plans are under
meetings within the company is in the company and the HSE Cases have been identified and identification adopted by the been carried out as part of new used in the analyses of hazard and performance in the maintenance of managing the controls have been the company for general emergency includes one and five year development for some or all assets.
System is under development described. organisational units within the there is a resourced plan in place for company are documented and projects, acquisitions, divestments effects in the company. critical HSE controls are defined and identified for known risks. and contingency planning and for performance targets. Structured hazard review techniques
and primary issues are being company. ® their development. known by those employees and major modifications. documented. managing the consequences of any are performed for new processes only.
met. Each HSE Case including responsible for their use. failure to control hazards and effects. Risk management focuses on mitiga-
those of contractors and the
tion. P & IDs and equipment registers
interface documents are up to
date and reflect.
are being developed or updated.

5. Planning and Procedures (cont.) 6. Implementation and Monitoring 7. Audit 8. Management Review
5.3 Procedures & work instructions 5.4 Management of Change * 5.5 Contingency & 6.1 Performance Monitoring 6.2 Records 6.3 Non compliance & corrective 6.4 Incident Reporting & follow up 7.1 Audit plan 7.2 Auditor Competency * 7.3 Contractor Audits * 8.1 Review *
Sub elements
Emergency Planning * Action
Assessment Criteria 23 24 25 26 27 28 29 30 31 32 33

LEVEL 4 There is evidence that in addition to Comparative analysis and Drills are conducted with third parties Numerical performance indicators Records for health*, environmental Employees anticipate any potential Investigation findings are Audit programme fully implemented. Company has access to, and only All contractors have an HSE audit Snr mngt review the effectiveness of
3) outside the formal review cycle, documentation of the HSE impact of and agencies according to a plan. and targets are used to measure the and safety measurements are need to deviate from standards and documented and addressed in a Skilled auditor base includes HSE uses, qualified, experienced process and audit schedule which is the HSE MS following a defined
System sustained and modifications to standards and IMPLEMENTING the change as well Improvements are incorporated and implementation of the elements and available on locations and trends are procedures allowing sufficient time to timely manner, accountabilities personnel, supervisors and personnel with high credibility to implemented irrespective of process and implement the
supported by an ongoing procedures have been initiated by as the HSE impact of the checked. External agencies and procedures of the HSE MS and are openly discussed as part of consider alternatives and, if assigned and tracked to closure. All employees. Conformance with ISO perform HSE audits. contractual requirements. The audit conclusions. Taken into account are
improvement process and operations personnel. IMPLEMENTED change are an communities are familiar with site included in employee appraisal. improvement plans. necessary obtain the appropriate information is stored and retrievable. 14001 externally certified. All past schedule includes audits carried out changes in risk exposure, stake-
essentially all elements
integral part of all change control hazards and emergency response * confidentiality requirements authorisations for the variance. Employees suggest improvements to audit recommendations arising from by independent auditors. holders, the business environment
satisfied.
procedures. plans. permitting the process. ‘serious’ findings have been resolved. and performance.

LEVEL 3 A defined process exists for the There are several change control There is a comprehensive tiered Locations are beginning to develop Records for most health, environ- There is a documented system for Reporting and investigation process is Audit process is defined and Personnel in other parts of the Regular contractors have an HSE There is a defined process for formal
development and review of HSE procedures (corporate, BU/asset, emergency response plan which is performance indicators to measure mental and safety measurements are variance control of HSE critical well understood and also applied to implemented. Supervisors take organisation as well as the HSE or audit process and audit schedule and regular review of the HSE MS.
System functioning and standards and procedures and projects) with clearly defined scope. integrated with individual site plans the elements and procedures of the available in the company. procedures and standards known by high potential near misses. ownership of audit process which audit department undergo HSE audit which is implemented irrespective of
being verified, key system includes employee involvement. The procedures document evaluation, as appropriate. Competencies are HSE MS. those responsible for following Supervisors are trained in incident involves employees and independent training and competency contractual requirements. The audit
procedures documented and Shell/OU DEPs are consistently approval and the responsibilities and defined in the plan and assured. procedures and standards. There are investigation and direct investigations parties. Audit recommendations development. schedule includes audits carried out
results being measured.
applied and variances subject to a competencies of those involved. Drills include for testing the records for variances at all locations which include employee participa- documented and tracked to closure. by independent auditors.
control procedure. co-ordination between sites. and projects. tion. Lessons are disseminated.

LEVEL 2 HSE standards and procedures are There is a change control procedure, The incident command structure is Performance measurements relating Tasks have been identified where Few variances are recorded and the There are procedures for reporting Audit plan and process under HSE personnel involved in audits first Regular contractors provide senior Management reviews of the HSE
consistently applied. HSE or but its scope is not clearly described identified. Regulatory emergency to 'results' (LTIs, emissions etc.) are exposure assessments should be procedure for approving variance is and investigating incidents. HSE development. Audit tracking system undergo formal HSE audit training. personnel to participate in company MS(s) have taken place but these are
System is documented consultant personnel develop these and application is not consistent. response requirements are met. A collected but not for HSE MS made. Significant effects have been ill defined or impractical. personnel and supervisors undertake not functioning effectively. Some There is a process describing the led integrated HSE audits of the not undertaken in accordance with a
approved resourced, and with employee input. Shell/OU DEPs comprehensive emergency response activities. Locations have completed identified where environmental investigations with limited employee checklist and compliance auditing required competency for auditors. operations contracted to them. predefined schedule and are not
being implemented with are not critically applied and there is plan is under development. External the first review assessment of the measurements should be taken. involvement. A process is docu- being performed. Some involvement documented.
priority objectives satisfied
not a documented process for emergency agencies are familiar with implementation of their HSE MS. mented for tracking recommendations of supervisors in auditing.
and the majority of others
being addressed.
updating these. operational hazards in the company. but many are outstanding.

LEVEL 1 HSE standards and procedures exist Changes to approved plans (cost Relevant external emergency The HSE MS is being introduced but The monitoring system for health, Procedures which describe what must Only significant high profile incidents Auditing plan or process is not Company uses mainly unqualified Regular contractors undertake HSE Modifications to the HSE MS are
and are known to supervisors. These time, resources) are approved 'one organisations are unfamiliar with the measurements which show that environmental and safety be done in the event of non are investigated. These investigations documented, follow up system not in and/or inexperienced resources for inspections of their operations but not instigated and followed up by senior
System is under development are inconsistently applied and level up', and only formally operational hazards in the company. activities are being performed performance is not fully described compliance with legislation, are undertaken directly by HSE place. Audits are focused on HSE audits. formal and planned internal HSE management when shortcomings have
and primary issues are being enforced. The documents are written documented and approved when The company emergency plan does satisfactorily are not yet available. and is driven by legislation. Health procedures and standards are known personnel. Investigation findings are hardware and housekeeping and audits on their operations. ® been highlighted as a result of incidents
met. Each HSE Case including primarily by HSE personnel or required by financial controls. not define the incident command programs are developing. but not documented. only disseminated locally and conducted mostly by HSE personnel. or failure to meet targets or regu-latory
those of contractors and the
consultants with little or no employee structure and the relationship with remedial action poorly tracked. Some regulatory audits are requirements. There are no sche-duled
interface documents are up to
date and reflect.
involvement. these external agencies. conducted. formal reviews of the system.