SIEP HSE - MS Self Assessment Questionnaire

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

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

Level
HSE in the heart System sustained and supported by an ongoing improvement process and
4 essentially all elements satisified

HSE in the head System functioning and being verified, results being measured key system
3 procedures documented.
System is documented approved resourced, and being implemented with
priority objectives satisfied and the majority of others being addressed.
2
HSE on paper
System is under development and primary issues are being met.
1

How to complete the chart?

Step one -.
Define exactly which area or organisational unit is under consideration
Step two -
Assessment team* carries out the review.
*Assessment team should also include experienced parties uninvolved in the unit.
Take each sub element one at a time. Start with level one and tick or shade the box when all aspects
of the description are met everywhere in the area under consideration.** Move up to the next level
and do the same until a level is reached where the description does not represent what is happening
then stop leaving the box clear.
** 'All' means for practical purposes the significant majority. The basis of the ratings should be demonstrable
therefore notes should be retained justifying the decisions. Any recent audits should be used to substantiate the
rating.
Before accepting that an assessment level has been fulfilled, confirm that:-
 Health, safety and environment aspects have been covered.
Where, for example, one of the elements of health, safety and environment management is weaker than
others then the level representing the less advanced element e.g. health should be ticked, but notes should
highlight that this is the case.
 The assessment is true for everywhere in the area under consideration.
Highlight in notes any particular area dragging the score down.
Step three -
Plot the results on a chart or mark up the chart overleaf. Of particular interest are trends, so the chart
should be retained and displayed until the next assessment.

Results
Plot the results.
Plotting the results on the chart may look something like below:-

Level Informed
Involvement Content
4 'HSE MS in place'

3 at least 50% of sub elements meet Level3

2 All sub elements meet Level 1&2+

Sub element

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

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

What to do with the results?

To focus effort where improvement is most required, select the lowest unshaded box in each sub element
i.e. where all the requirements are not fulfilled.
Determine the reason for this
- is it in one particular area or activity?
- is it one particular aspect, i.e. health, environment or safety?

The statements in the self assessment are based on a detailed knowledge of how things are really working.
The actions required to meet the requirements of the next level must therefore be directed at specific
deficiencies.
Document these actions together with responsibilities in a plan for review at the next self assessment
including any more detailed questions and responses specific to the business or asset which have been
developed to underpin the assessment.

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

Dissemination
Self assessment is an integral part of the plan-do-check-review loop and to be effective it must be honest
and aimed at improvement. The results of the assessment and the actions agreed should therefore be
available to all in the unit using whichever medium suits the situation or circumstances. e.g. poster/ web
site / video.
1. LEADERSHIP AND COMMITMENT

1 Leaders communicate HSE expectations to employees reporting to them but are not involved in the HSE
Management System (HSE-MS) process and do not refer to it.
2 Leaders discuss and review with employees and contractors progress against meeting specific 'results' and
'activity' HSE targets. This usually takes place at staff appraisal and pre contract award.

3 Leaders actively participate in HSE activities such as training, reward and recognition schemes, industry/contractor
workshops, conferences and audits.
4 Leaders drive the process for HSE excellence. All levels 'own' the HSE management process Documented surveys
of employee perceptions confirm that employees believe the company is committed to HSE.

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

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

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

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

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

2 Leaders review the progress both in the development AND the content of HSE - management systems and HSE
Cases and make available the resources and expertise to meet the targets..

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

4 Leaders are personally involved in the improvement efforts arising from the formal senior management 'Review'
(see 8) of the HSE management system(s).
2. POLICY AND STRATEGIC OBJECTIVES

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

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

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

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

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

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

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

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

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

2 The HSE targets described in the HSE Plan are consistent with those of the Shell Group (EP95-0140) and there is a
transparent cascade between OU corporate targets and unit targets.

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

4 Senior managers are measured on performance in setting challenging targets for continuous improvement and
personnel at all levels in the company are assessed on performance in achieving these targets which are included
in the HSE Plan.
3. ORGANISATION, RESPONSIBILITIES, RESOURCES,
STANDARDS AND DOCUMENTS

1 There is a description of the current organisational structure and a description of the relationships of all parties
involved in the operation including partners, contractors and regulators.

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

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

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

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

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

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

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

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

2 The establishment is described or referred to in the HSE management system or HSE Case.

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

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

1 All staff and employees are made aware of their HSE responsibilities when joining the company.
 2 A competency assurance process is in place for company personnel with responsibility for HSE critical
activities.Required and actual competencies of incumbants are documented.

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

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

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

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

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

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

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

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

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

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

1 There are HSE procedures available in the company and the organistional units within the company.

2 An HSE MS Manual is available for the company as a whole and for organisational units within the OU. Shortfalls
in the HSE MS are identified in the Manual and a plan for rectification is in place.
3 The HSE MS Manual is substantially complete and the environmental part of the HSE-MS it describes has been
certified to conform with ISO 14001..

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

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

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

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

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

1 Techniques for hazard & effects identification adopted by the company are documented and known by those
employees responsible for their use.

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

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

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

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

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

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

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

c) Controls - and ownership.

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

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

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

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

1 The means of measuring performance in the maintenance of critical HSE controls are defined and documented.
 2 Performance indicators are available for all HSE-critical activities (e.g. for testing systems, emergency response
times, procedures, training effectiveness). These are included or referenced in the HSE Case and assigned to
individuals.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

1 Operations ref. plans are under development for some or all assets. Structured hazard review techniques are
performed for new processes only. Risk management focuses on mitigation. P & IDs and equip.t registers are being
developed or updated.

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

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

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

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

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

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

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

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

2 The incident command structure is identified. Regulatory emergency response requirements are met. A
comprehensive emergency response plan is under development. External emergency agencies are familiar with
operational hazards in the company.
3 There is a comprehensive tiered emergency response plan which is integrated with individual site plans as
appropriate. Competencies are defined in the plan and assured .Drills include for testing the co-ordination between
sites.

4 Drills are conducted with third parties and agencies according to a plan. Improvements are incorporated and
checked. External agencies and communities are familiar with site hazards and emergency response plans.
6. IMPLEMENTATION AND MONITORING

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

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

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

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

b) Records
1 The monitoring system for health, environmental and safety performance is not fully described and is driven by
legislation. Health programs are developing.
2 Tasks have been identified where exposure assessments should be made. Significant effects have been identified
where environmental measurements should be taken.

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

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

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

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

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

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

1 Only significant high profile incidents are investigated. These investigations are undertaken directly by HSE
personnel. Investigation findings are only disseminated locally and remedial action poorly tracked.
2 There are procedures for reporting and investigating incidents. HSE personnel and supervisors undertake
investigations with limited employee involvement. A process is documented for tracking recommendations but many
are outstanding.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

1 Regular contractors have formal internal HSE audits on their operations.

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

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

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

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

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

3 There is a defined process for formal and regular review of the HSE management system.

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

before entering 1,2,3 or 4 in the boxes below see

'Instructions for completion
of the questionnaire' on the front.

1. Leadership & Commitment

a) Visibility
b) Proactive in target setting
c) Informed involvement
2. Policy & Strategic Objectives
a) Content
b) Dissemination
c) Strategic Objectives
3. Organisation and Responsibilities
a) Roles & responsibilities
b) HSE Advisors
c) Resourcing
d) Competency Assurance
e) Contractors
f) Communication
g) Documentation - HSE MS Manual
h) Documentation - HSE Case
4. Hazard & Effects Management
a) Identification
b) Assessment
c) Control
 d) Performance in maintaining controls.
e) Recovery
f) Recording
5. Planning & Procedures
a) HSE Plan
b) Asset Integrity
c) Procedures & work instructions
d) Contingency planning
6. Implementation & Monitoring
a) Performance Monitoring
b) Records
c) Non compliance & corrective Action
d) Incident Reporting & follow up.
e) Change Controls.
7. Audit
a) Audit plan
b) Competency
c) Contractor
8. Review
a) General