Geophysical Contractor Management Self-Assessment (GCMSA)

This Geophysical Contractor Management Self-Assessment (GMCSA) tool promotes a consistent approach for both self-
assessments and external assessments conducted within the Geophysical and site survey industry.

Report 538, Guidance for the use of the Geophysical Contractor Management Self-Assessment (GCMSA) can be downloa
from http://www.iogp.org/pubs/538.zip

IOGP 538 and this tool were developed to align with IOGP 432, Managing HSE in a geophysical contract which is based o
IOGP 210, Guidelines for the development of HSE management systems. With the release of IOGP 510, Operating
management system framework, which replaces IOGP 210, IOGP 432 will be updated to align with 510. IOGP 423, HSE
management guideline for working together in a contract environment is being updated. Once IOGP 423 and IOPG 432 a
updated, this tool will be revised to align with IOGP 423, 432 and IOGP 510.

Disclaimer

Whilst every effort has been made to ensure the accuracy of the information contained in this publication, neither IOGP
any of its Members past present or future warrants its accuracy or will, regardless of its or their negligence, assume liabi
for any foreseeable or unforeseeable use made thereof, which liability is hereby excluded. Consequently, such use is at t
recipient's own risk on the basis that any use by the recipient constitutes agreement to the terms of this disclaimer. The
recipient is obliged to inform any subsequent recipient of such terms.
This publication is made available for information purposes and solely for the private use of the user. IOGP will not direct
or indirectly endorse, approve or accredit the content of any course, event or otherwise where this publication will be
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approach for both self-
y.

GCMSA) can be downloaded

ontract which is based on

P 510, Operating
th 510. IOGP 423, HSE
OGP 423 and IOPG 432 are

ublication, neither IOGP nor

negligence, assume liability
quently, such use is at the
s of this disclaimer. The

user. IOGP will not directly

his publication will be

s given to reproduce this

edged. All other rights are

England and Wales.

and Wales.
 Percentage Percentage
expectations expectations Comments by Client
met for the met for the (Comments should be brief,
Element. level Comments by Contractor level where a level has not been
Level Expectations Best Practice and Targets Suggested Objective Evidence References
No. (0 - 100%) (Comments should be brief) (0 - 100%) fully met, it is preferred that
(to be (to be the gap is identified in the
completed by completed by comments)
Contractor) Client)

Element 1 - Leadership and Commitment

Focus Area #1: Visible expressions of commitment by Upper management and involvement in HSSE matters
1.1 1 Upper management demonstrate visible
commitment. Upper management are actively
involved in Health, Safety, Security &
Environmental (HSSE). They are involved in
HSSE goals and objective settings.
Upper management take active roles in setting HSSE Upper management understanding of HSSE OGP 432 Table 1,
objectives and targets appropriate for their job function and goals and objectives on a personal and Section 1.1.1
area of influence. departmental level.
1. HSSE matters placed high on personal and collective Evidence that HSSE is included in the job
agenda. description.
2. All Upper management set a personal example to others.
3. Communicate the importance of HSSE in business Evidence of Upper management reviews that set
decisions. Contractor Goals & Objectives
4. Allocating the necessary resources, such as time and
money, to HSSE matters. Upper management have responsibility of
5. Management commitment is clearly defined in procedures within their influence.
documentation that includes mission and vision statements,
policies and procedures.
6. Upper management demonstrates a clear commitment to
implementing the safety management system.
7. Management ensures that policies cover all the activities
undertaken by the Contractor.
8. Policies are reviewed through processes described in
formal procedures and instructions.

2 Upper management are actively involved in follow Personal involvement in follow up HSSE auditing and Crew HSSE targets and objectives are discussed, OGP 432 Table 1,
up to Crew audits and performance reviews performance reviews. at least quarterly, at management meetings. Section 1.1.5
Follow up on action items from management
reviews

Evidence that findings from audits and crew

performance are part of Upper management
meetings.

3 Pro-active visits and participation by Upper There is a plan in place for Upper management visits and Evidence may include meeting minutes or notes OGP 432 Table 1,
management at crew level including participations participation on crew start up meetings, audits, etc. from the visit which include discussions of audits, Section 1.1.3
in crew start up meetings, crew visits and audits incidents, leading indicators.
Participation Contractors /Sub-contractor audits
or reviews

4 Upper management active involvement in HSSE
culture building
Management leads by example in matters related to HSSE
including active involvement in review and follow up of
incident investigations, audits, appraisals, promoting HSSE
culture, MOC, Stop the job, reward and recognitions
programs, influencing sub-contractors, etc.
Involvement on Upper management in incident OGP 432 Table 1,
investigations, audit feedback, visible Section 1.1.1
demonstration of leadership, setting goals and
objective, etc.
Evidence of meetings between Upper
management discussing and actioning the above

FOCUS AREA #2: Line management responsibility – empowerment of individuals (duty and right to stop work and intervention)
1.2 1 HSSE is a line management responsibility and There is an organizational chart demonstrating line Organizational chart OGP 432 Table 1,
shall be defined in the job description management structures at office and field units. Job descriptions for line management (office and Section 1.1.2 & Section
field units) 1.2.3
Job descriptions are available for line management positions
which include HSSE responsibilities.

2 Management should empower all individuals of Right to stop work shall be defined in the Safety Management Right to stop work documentation OGP 432 Appendix 2 &
their duty and individual right to stop or intervene System ( in policies, procedures, joining instructions, etc.) Evidence of understanding by all personnel Table 1, Section 1.1.2 &
in any activity that could potentially harm people, Right to stop work is communicated and understood across all through interviews 1.2.1
the environment or assets, i.e. duty to stop work if levels of the organization.
you feel it’s at risk.
 3 Line management to ensure stop work
interventiions are part of the site/crew HSE
promotion, awareness and behavioural
reinforcement processes.
Stop work interventions are actively promoted at the Evidence of Stop Work promotions (posters, OGP 432 Appendix 2 &
site/crew.People are recognized positively for stopping work in safety talks, training) and personal recognition. Table 1, Section 1.1.2,
the approved manner. 1.2.1, 1.3.6 & 1.3.16
Stop Work Interventions form part of the site/crew
Stop work interventions are reported as a meaningful leading HSE statistics.
indicator.

4 Commitment and demonstration of stop work
authority at all levels of intervention through all
levels of management
There is a process in place that empowers personnel to
exercise the right to stop work.
There is visible demonstration on of the program being
implemented and driven by Upper management
Incident reports are reviewed to see if stop work authority was
exercised.
Evidence of stop work being conducted by OGP 432 Appendix 2 &
various levels in the organization (including Table 1, Section 1.1.2
management on site/crew visits).
Incident reports demonstrate that stop the job
was exercised, and each incidence was
investigated to identify lessons to be learned.

Learnings from not having stopped the job are

included in lessons learnt.

FOCUS AREA #3: Crew visits

1.3 1 Project management visit to crew Project Management (office based) visit crew and discuss Agenda is documented and should include a OGP 432 Table 1
HSSE matters. HSSE component. Section 1.1.3
Visit report documented and action items closed

2 Scheduled visits by Project management
There is a schedule of Project management visit, there is a Schedule of visit. OGP 432 Table 1
guideline for management visit and should include HSSE Guidelines for visit i.e. agenda, checklist, aid Section 1.1.3
matters. There is documented evidence. memoire, etc.
Documented evidence with feedback and follow
up ( emails, checklist, etc.)

3 Evidence of visit by operations management
There is a schedule of operations management visit, there is a Schedule of visit. OGP 432 Table 1
guideline for management visit and should include HSSE Guidelines for visit i.e. agenda, checklist, aid Section 1.1.3
matters. There is documented evidence. Management should memoire, etc.
review risk register prior to the viist so that they adequately Documented evidence with feedback and follow
prepared to discuss / querry the crew on the risks assocaited up ( emails, checklist, etc.)
with the project

4 Evidence that crew visits are promoted by Upper There is a schedule for crew visits that is originated by Upper Schedule of visits. Managers' objectives and OGP 432 Table 1
Management Management. Crew visits form part of each manager's HSE targets. Guidelines for visit i.e. agenda, checklist, Section 1.1.1, 1.1.3,
objectives. There are specific HSE activities required - such aid memoire, etc. 1.1.5 & 1.6.1
as risk assessment workshops, audits, start-up meetings, Documented evidence with feedback and follow
inspections or specific training. up ( emails, checklist, etc.)
 Percentage
expectations
met for the
Element. level Comments by Contractor
Level Expectations Best Practice and Targets Suggested Objective Evidence References
No. (0 - 100%) (Comments should be brief)
( to be
completed by
Contractor)

Element 2 - HSSE policies and strategic objectives

Focus Area #1: Content, dissemination and effectiveness of HSSE governing documents (policy statements, standards, etc.)
2.1 1 Company has HSSE policies, standards and Company has adequate documentation consistent with Review and confirm that key statements and OGP 432 Table 1,
other governing documents that ensures business needs, regulatory requirements and Industry best policies (applicable documentation) are: Section 1.2
company HSSE intentions are adequately practice standards. Documents might include: - signed and dated by CEO
communicated, regulatory requirements are • Mission and vision statements, - displayed at prominent location in office and OGP 517
addressed, there is effective HSSE MS • Strategic objectives, field units
governance and the corporate HSSE strategic • HSSE Management System, - freely available to all impacted personnel
objecives are understood. • Policies:
(a) Health, Safety and Environment,
(b) Substance Abuse,
(c) Security,
(d) Smoking,
(e) Driving,
(f) Transportation
(g) Right / Duty to Stop Work if at risk,
(h) Lone Worker
(i) Code of Conduct
(j) Harassment in workplace
(k) Social Responsibility and Communities
• Standards
• Procedures

Mission statement/Policies displayed/freely available.

Key statements and policies are signed and dated by the

current CEO.

Policies displayed in prominent locations.

2 Key policies (standards and governing
documents) are reviewed annually. Policies are
disseminated to all personnel in a language
understood by workforce
• Mission statement or appropriate documents includes safety Translated policies and project presentations, OGP 432 Table 1 ,
and environmental elements (such as Zero spills and Zero HSSE inductions, community handouts and Section 1.2. & 1.3.12
incidents). programs.
- Policies are reviewed and signed off annually
- Policies are in a language understood by workforce

3 The effectiveness of implementation of policies Effectiveness is monitored through: Records include: OGP 432 Table 1 ,
(standards and governing documents) are - Observations programs - New hire package with orientations Section 1.2. & 1.3.12
monitored across the scope of operations. - process auditing including understanding by workforce - results from employee surveys
- employee surveys - incident reports
- incident reviews and root cause analysis - updates to bridging documents
- bridging documents - audits
 4 Upper Management reviews include policy
effectiveness and relevance based on changing
circumstances e.g. business needs, laws,
security situations, etc.
Focus Area #2: SMART HSSE Objectives are set at Corporate, country/ location and project level (includes crew HSE plan), data maintained and stewarded
2.2 1 Corporate Health, Safety, Security and
Environment (HSSE) objectives and Key
Performance Indicators (KPI) are defined.
There shall be a process in place for setting
Contractor HSSE goals and objectives.
Contractor has a crew/project HSSE plan in place the organization and a process in place to steward and
covering scope of operations.
2 Contractor has a crew/project HSSE plan in place There is a documented process established to achieve the set
covering scope of operations. All Personnel
involved have knowledge of plan and the
implementation & effectiveness of it.
Input to Upper Management reviews include results of: Management reviews OGP 432 Table 1 ,
- Observations programs Section 1.2.3 &1.7.7,
- process auditing including understanding by workforce
- employee surveys
- incident reviews and root cause analysis
- bridging documents.
Output of Upper Management reviews are disseminated to
workforce
Corporate HSSE objectives and associated KPIs should be Procedure for setting and defining objectives OPG 432, Table 1,
set consistent with organization and business needs. They Sections 1.1.4, 1.1.5,
should be realistic, challenging and value added. The Company HSSE objectives and KPIs are 1.6.1, 1.6.2, 1.6.4 &
Leading and lagging indicators are required to be set, with available and endorsed by Upper Management 1.6.5
focus on leading indicators. They must be approved by the (emails, minutes of meetings, etc.). OGP 432 Table 1, 1.5.2
most senior officer in the organization, communicated across & Chapter 4: Crew HSE
Evidence of template for crew HSSE plan. Plan & Chapter 5:
provide feedback to the executive team. Project HSE Plan
Procedure or Template for HSSE Plans covering but not
limited to e.g.:
Leadership &
Communication, KPI, Training, Resources,
Audit schedule & reviews, Risk management, security,
health, environment, close passes, emergency response, etc.
Plan on how objectives are being achieved. OGP 432, Table 1,
objectives. Objectives and KPIs for various departments in Sections 1.1.4, 1.1.5,
office and field units. 1.6.1, 1.6.2, 1.6.4 &
Documented HSSE objectives and KPIs are established and Communication across the organizations 1.6.5
are consistent with Corporate objectives for various The Company KPIs can be seen posted, are OGP 432 Table 1,
departments, locations and field unit consistent with business referred to in regular HSSE meeting reports section 1.5.2 & Chapter
needs and risks. This could include variation seen in the area 4: Crew HSE Plan &
of operations, e.g. terrain of work, working environment; Key personnel are aware of corporate and Chapter 5: Project HSE
security and environmental requirements can vary relevant project objectives when interviewed. Plan
considerably across countries.
HSSE objectives and associated KPIs shall be set in Project HSSE targets are documented, evidence
consultation with all stake-holders including those directly in SMS regarding communicating goals and
involved in their execution. objectives as appropriate.
Office and field management are aware of objectives and Evidence to demonstrate to alignment from
work towards achieving them. Contractor through crew including implementation
in the field.
Targets are set for projects
3 Objectives and KPIs are measured across all
levels of the organization (office, departments
and field units) on a periodic basis and linked to
HSSE Strategy. Field HSSE plan is reviewed
periodically.
Office and Crew Supervisors (line management)
have personnel HSSE Goals and objective in
alignment with Contractor and Crew goals and
objectives.
4 Company conducts trend analysis of HSSE
performance against Corporate strategy,
objectives and KPIs to measure performance.
Such analysis is included in Upper Management
reviews.
There is a documented HSSE Strategy. HSSE Strategy. OGP 432, Table 1,
There is a process for setting truly Specific Measurable Procedures for setting SMART objectives and if Sections 1.1.4, 1.1.5,
Achievable Realistic Timely (SMART) objectives, including they are truly SMART and value added examples 1.6.1, 1.6.2, 1.6.4 &
how to achieve them. of SMART objectives 1.6.5
All levels in the organization (office, department, field units) Objective evidence of measurement of OGP 432 Table 1,
measure performance of set objectives and KPIs performance and communication. section 1.5.2 & Chapter
implementation on a periodic basis. Results are 4: Crew HSE Plan &
communicated upwards in the organization. Evidence of goals and objectives of Office and Chapter 5: Project HSE
Crew Supervisors. Plan
Office and Crew Supervisors (line management) have
individually owned HSSE goals and objectives. Periodic review of crew HSSE plan.
On a project basis, discussion must be held with sub-
contractors to get alignment on KPIs.
Corporate strategy includes HSSE strategy. Corporate citizenship report, annual reports, OGP 432, Table 1,
investor related communication and share holder Sections 1.1.5, 1.6.1, &
There is a documented process in place to trend and analyze communication reflects HSSE as an integral part 1.7.7
KPIs to provide meaningful data from which action items can of the Company's reports.
be developed to ensure continuous improvement. Corrective Trend analysis of KPIs and actions thereof.
actions are developed for under performance. There is an
overview of Subcontractor KPI performance.
Corporate (Upper Management) reviews KPIs and
performance on a periodic basis.
 Percentage Percentage
expectations expectations Comments by Client
met for the met for the (Comments should be brief,
Element. level Comments by Contractor level where a level has not been
Level Expectations Best Practice and Targets Suggested Objective Evidence References
No. (0 - 100%) (Comments should be brief) (0 - 100%) fully met, it is preferred that
( to be ( to be the gap is identified in the
completed by completed by comments)
Contractor) Client)

Element 3 - Organization, Resources and Documentation

Focus Area #1: Corporate Structure, responsibilities and manning
3.1 1 The Contractor has a basic org chart. All
positions are identified with supporting
documentation for key positions i.e. job
descriptions with roles and responsibilities.
A organization chart is in place with appropriate lines of *Org chart for Contractor structure (Office, field OGP 432, Appendix 2 &
reporting. and support) Table 1, Sections 1.3.1
Job description, roles, and responsibilities (R/R) for key Job descriptions, roles and responsibility.
positions on the Contractor Office and field are documented.

2 The Contractor has a well defined org chart
identifying all positions with documented job
descriptions stating roles and responsibilities. All Job descriptions shall be available for all positions clearly
Managers and Supervisors have Line
responsibility for HSSE clearly stated in Job
description.
The Contractor has a process to identify
appropriate manning levels for field operations
consistent with the scope of the work.
There should be a comprehensive organization chart(s) for all Comprehensive organization chart. Job OGP 432, Appendix 2 &
departments within the Contractor. description with roles and responsibilities. Table 1, Sections 1.3.1
HSSE for line management identified in job & 1.3.3
stating roles and responsibilities. description
Line management HSSE responsibilities are identified in the Process for defining manning levels in place and
job description. being complied with.
Manning level is formally defined appropriately so as to not
compromise safe execution of operations.

3 Availability of an organizational chart to display Interface document available defining reporting and Interface document. OGP 432, Chapter 5,
the relationships between internal ( Office, field communication lines between stakeholder. Org chart with HSSE position that reports to the section 5.4; Appendix 1,
and support) and external ( Clients, contractor) HSSE representation at executive level reporting directly to CEO section 1.3 & Table 1,
including all HSSE functions the CEO Audit reports on manning levels section 1.3.3
OGP 245 Audit Process
The Contractor audit includes adequacy of Adequacy of manning levels in included in the audit process
manning levels (Office and field audits)

4 Org chart reviewed periodically with Upper Organization chart is reviewed periodically with Upper Review of organization chart by Upper OGP 432, Appendix 2 &
Management reviewing adequate manning levels Management. Management. Table 1, Sections 1.3.1,
and competencies. Minutes of manning review meeting. 1.3.3 & 1.7.7
R/R and job descriptions are reviewed on a Manning form part of the management review.
periodic basis.
Current /future manning needs part of
Contractor's annual review

FOCUS AREA #2: HR management and recruitment ( office and field personnel) , technical and HSSE training
3.2 1 The human resources processes address HSSE There are processes for management and recruitment of HR policies and procedures. OGP 432, Appendix 2 &
matters i.e. recruitment, training requirements, personnel. Training matrix includes all roles Table 1, section 1.3.4,
appraisals, manning levels, disciplinary, code of Training matrix available covering all positions. 1.3.5, 1.3.7, 1.3.14
conduct, work and rest hours, etc. HSSE training includes due consideration to the expected
The Contractor shall have training program risks.
which includes Minimum HSSE training required
for all positions - including job specific HSSE
training
 2 The Contractor has HR processes for:
- recruitment with appropriate levels of approvals
- appraisal process with performance feedback
and skill set gap analysis
- personal development plans
- drug and alcohol testing
- disciplinary procedures
HSSE training course content is in line with
industry standards i.e. OGP, IAGC, ISM Code,
SOLAS, STCW, MLC 2006 etc.
HSSE training is provided at set levels (i.e.
awareness, operator, Management,
Expert/Trainer)
There is a documented process for: - Selection criteria OGP 432, Appendix 2 &
- selection process which shall include but not limited to - Job descriptions Table 1, section 1.3.4,
needs, qualifications, competence, training, fitness to work, - training, fitness to work competence, etc. 1.3.5, 1.3.7, 1.3.14
background checks, document authenticity checks, interviews, - information pack for new hires OGP 292, Annexes 1, 2
etc. - appraisal Process &3
- for obtaining approvals at the appropriate levels of - drug and alcohol policy
organization during the recruitment process - disciplinary procedures
- personnel should be made aware of the Contractor
standards Content of material and if it meets Industry
- where applicable skill tests are conducted standards.
If manning agents are used, there should be standards set Level of training required for various positions
and compliance monitored
There is an appraisal process for personnel
The Contractor has drug and alcohol policy consistent with
local laws and industry best practices
Each HSSE course must have suitable and sufficient content,
adequate duration, multi-layered depending on the position.

3 The Contractor has a process to encourage Contractor has programs: - higher education program
further personnel development above and - higher education - simulator training
beyond standard industry practices i.e. higher - simulator training - health improvement Retention rate of key
education, simulator training, physical tests, - additional physical and health improvement programs personnel
health improvement programs.
There is a program to retain and develop key Management in the office is involved in interviews and Retention rate of key personnel
personnel consistent with business needs. approval process during the recruitment of Senior Field
There is a process to identify when new HSSE personnel
training is required. Retention rate of key personnel is monitored

4 The Contractor audits HR process related to
HSSE on a periodic basis.
Top level management receive feedback on
auditing recruitment process during management
review.
The HSSE training management system is all
inclusive, records all training provided, ease of
access and user friendly.
HSSE training includes sub-contractors.
Records of HSSE sub-contractor trainings are
kept in the Contractor data base.
HSSE training is consistent globally and verified
during internal audit process
Audit report and evidence of Upper Management OGP 292
HR processes are audited on a periodic basis to verify reviews. OGP 423, section 2
compliance with the recruitment process, results are fed back Training management system and the ease of OGP 432, Table 1,
to Upper Management. finding records. Standards of Sub-Contractor section 1.7
Training program is user friendly training and gap analysis if any. Dedicated
Training includes include evaluation of the individual taking training center, if applicable.
the course through an examination or similar.
Sub-contractors training program is comparable to Contractor
training program.
The Contractor has a dedicated training center with practical
training including simulator available.

FOCUS AREA #3: HSSE competence and verification, HSSE professionals + HSSE Advisor
3.3 1 There is a documented process for HSSE HSSE competence and verification requirements should be HSSE competence documentation. OGP 292,
competence within the Contractor ( office and covered in documented records including: Job description in place with HSSE competency OGP 432 Table 1 -
field personnel). • Job description being met 1.3.2, 1.3.4, 1.3.7, &
• Job specific competencies 1.3.8
The Contractor has access to competent HSSE • A process for periodic review of defined competencies Competency and support provided by HSSE
professionals should be in place. professionals

HSSE professionals should be knowledgeable on the scope of

operations and be adequately qualified.

2 Competency is kept up to date by Contractor to industry Review of training program to verify compliance OGP 292,
There is a documented process for HSSE standards i.e. OGP, IAGC, in: with Industry standards i.e. OGP OGP 432 Table 1 -
competence within the Contractor ( office and • Crew HSSE training; 1.3.2, 1.3.4, 1.3.7 &
field personnel) which is based Industry • HSSE inspections and audits; Qualifications and experience of HSSE 1.3.8
recognized standards and/or meets local laws • Risk assessments; professionals.
• Maintenance and monitoring of policies, procedures,
guidelines
The Contractor has access to dedicated HSSE and HSSE plans;
professionals who are within the Contractor and
on field operations Dedicated HSSE professional hold formal qualifications
 3 HSSE competence is refreshed periodically.
There is a program in place for line management Training matrix identifies formal HSSE training for line
to receive formal Industry recognized HSSE
training.
The Contractor has global standards and
practices to maintain competence in non
regulated countries to Industry standards.
HSSE competency is refreshed on a periodic basis. Evidence of refresher training. OGP 292,
OGP 432 Table 1 -
Evidence of formal training for line management 1.3.2, 1.3.4, 1.3.7 &
management 1.3.8
Evidence that SME are utilized as appropriate.
Contractor should have access to industry HSSE experts who
can assist line management in:
• Subcontractor HSSE assessment;
• HSSE review/performance monitoring;
• Incident investigations;
• Emergency plans;
• Health management;
• Environmental management.

4 The Contractor supports professional education Formal HSSE training programs in place for management e.g. Evidence of formal training for line management
on HSSE for their personnel including first line NEBOSH, IOSH, etc. and first line Supervisors
field Supervisors.
SMEs are periodically involved in assessing Contractor's SMS Evidence of reviews by SME
Subject Matter experts (SME) available for all
aspects of HSSE
Management review of the effectiveness of
Competency evaluation process

FOCUS AREA # 4 Crew orientation and induction

3.4 1 The Contractor has a formal location All personnel on site including visitors shall receive Orientation records OGP 432, Table 1
orientation/induction program that is conducted in appropriate site orientation within 24 hours of arrival and sections 1.3.5, 1.3.6 &
a set time period (preferably 24 hour) before starting hazardous work on the crew. Quality and content of orientation 1.3.12
The orientation is delivered in the language This should include but not limited to information on: IAGC Land & Marine
understood by all. • HSSE policies; Safety Manuals
• Obligation to observe, intervene and stop;
• HSSE awareness;
• Job descriptions and responsibilities;
• Behavioral hazards;
• Work instructions;
• Basic survival;
• Emergency procedures;
• Incident/hazard reporting.
Individual orientation records should be maintained.

2 The Contractor has a formal departmental (job Departmental induction shall identify: Evidence of Department specific induction with a OGP 432, Table 1
specific) induction program - work process formal guidance in place sections 1.3.5 & 1.3.6
The Contractor operates a formal induction - hazards related to task IAGC Land & Marine
program for all new staff (Short services - correct use of machinery Safety Manuals
Workers). - department procedures
- work instructions
- reporting requirements
- PTW
- etc.

Department induction should happen on the 1st trip

3 The orientation and induction program is
reviewed regularly.
The Contractor operates a formal mentoring
program for all new staff (Short services
Workers).
Orientation program is reviewed regularly and updated as Evidence of in-depth SSW program and records OGP 432 Table 1 -
required. of implementation 1.3.5, 1.3.6 & 1.3.7
Short service workers receive more in-depth training with
mentoring over a period of time Regular review of orientation

4 Crew orientation is fully implemented, is of good Audit process includes review of the orientation and mentoring Audit reports and management reviews. OGP 432 Table 1 - 1.3.7
quality, in a language understood by crew, with programs, results are fed back to Upper Management and & 1.3.14
records maintained. discussed during management reviews. OGP 292
The program content and training records are OGP 432, Table 1,
verified by management to ensure compliance section 1.7.7

FOCUS AREA #5: Workforce Suggestions and improvement

 3.5 1 A system should be in place to allow the
workforce and others to make suggestions
including HSSE matters
2 A system should be in place to allow the
workforce and others to make and receive
feedback to suggestions including HSSE matters
There is a recognition program based on pro-
active HSSE involvement
3 The Contractor has a system to audit the process
of suggestions and improvements.
The Contractor has a recognition program in
place for significant suggestion.
Contractor conducts employee surveys to gauge
health of safety management systems.
There is a means of analyzing the data from
improvements
4 Upper Management promote the use of reward
and recognition program.
Results from audits, surveys and Analysis of
improvement data are discussed at Upper
Management reviews and findings used to
promote continuous improvement
FOCUS AREA #6: HSSE legislation and standards
3.6 1 There is a process for Identification of legislations
and law, and compliance with laws. There is a
process to obtain permits and communicate it to
stakeholders and field crews.
There is a process to comply with Industry and
contractual standards
2 The Contractor has a process to monitor
compliance at all stages of planning and
operations.
3 Upper Management review findings of regulatory There is a process in place to include regulatory compliance
compliance in their management review
meetings.
A system should be in place to allow the workforce and others Evidence of meetings IAGC Land & Marine
to make suggestions for improvements on various matters List of suggestions and improvements Safety Manuals
including HSSE. Follow up to suggestions and improvements OGP 432, Table 1,
Sections 1.3.13, 1.13.15
The should periodic meetings to allow employees to make & 1.3.16
suggestions from improvements.
- Successes and failures are openly communicated to all
employees;
- Suggestions are recognized and acted on in a timely
manner;
The Contractor has a formal program in place for recording Job description of person managing the program OGP 432, Table 1,
suggestions and improvements. There is person in the for suggestions and improvements. Sections 1.1.1, 1.3.13 &
Contractor that is responsible for managing the program. A formal written process 1.3.16
Evidence of life cycle of proposed improvements
Feedback should be provided to personnel making and suggestions.
suggestions in a timely manner. Suggestions can be
anonymous.
The Contractor audits the suggestions and improvement Auditing process with follow up OGP 432, Table 1,
systems to ensure timely response, participation levels, Evidence of surveys Sections 1.1.1, 1.3.13 &
management involvement including feedback, close out and Rewards and recognition programs 1.3.16
follow up.
- Systems are in place to recognize, reward and encourage
suggestions and improvements.
The Contractor shall have an audit process to measure the Minutes of Upper Management reviews OGP 432, Table 1,
effectiveness of the program. Evidence of surveys and results of audits. Sections 1.1.1, 1.3.13,
Process in place for management reviews on findings from Evidence of Upper Management involvement in 1.3.16, 1.5.1 & 1.7.7
audits and surveys. the recognition and rewards programs.
The Contractor should have a robust process to identify - Process of identify legal compliance OGP 432, Table 1
legislations, laws, standards applicable to the area of - Process to obtain permits Sections 1.3.11, 1.3.17,
operations - Communication process for applicable laws, 1.3.18, 1.3.19 & 1.3.21
Contractor should have a process to identify and obtain permits and regulations IAGC Land and Marine
permits necessary to operate in compliance with the local laws - job description of responsible person Safety Manuals
and legislations.
Contractor should have a responsible person responsible for
identifying regulations
The Contractor has a process to communicate all applicable
regulations, permits and standards to sub-contractors field
crew
Contractor shall a process to: - Process of monitoring and reporting regulatory OGP 432, Table 1
- monitor compliance with applicable laws and regulations compliance status and provide an example Sections 1.3.11, 1.3.17,
through life cycle of the project - Process for monitoring and reporting for sub- 1.3.18, 1.3.19 & 1.3.21
- monitor sub-contractor compliance with applicable laws and contractors and provide and example IAGC Land and Marine
regulations - examples of reports to Upper Management and Safety Manuals
- to record and report any non-compliance with the Regional / follow up
Upper Management, Client and to appropriate regulatory
authorities
- to investigate non-compliance incidents and follow up on
corrective actions.
- audit report OGP 432, chapter 5
in the audit program. - evidence of meetings and agenda for Upper Project HSE Plan
There is a process for Management to review non- Management meetings OGP 432, Table 1
compliances - access to legal advise Sections 1.7.2 & 1.7.7
There is access to legal advice to deal with any matters
related to regulatory non-compliance
 4 Management reviews regulatory compliance as
part of their annual goals and objectives
FOCUS AREA # 7: Document control and records
3.7 1 The Contractor has a Document management
system which details how documents ( including
records) should be controlled.
2 The Contractor has processes for document
control that assigns responsibilities for version
control, document register, training on systems
and auditing.
3 Documents are stored and controlled
electronically. There is process of document
classification and distribution.
4 The Contractor has an auditing program for the
DMS
There is a process in place to incorporate continuous - process of setting goals and objectives OGP 432, chapter 5
improvements concerning regulatory compliance in - annual goals and objectives Project HSE Plan
Contractors annual goals and objectives OGP 432, Table 1
Sections 1.7.2 & 1.7.7
There is a Document Management System in place which Procedure for document control OGP 432 Table 1,
could cover but not limited to editing controls, version number, Document register section 1.3.22
date, document ownership, history tracking, access to Document hierarchy
documents, distribution of documents, document register, Examples of documents to verify document
document storage, document update communications within control in place and effective
the Contractor, etc.
Records are kept of the main communications
Responsible will be defined for: Job description of Document Controller.
- defined document hierarchy in place Examples to demonstrate DMS functionality
- access control to amend/upload documentation Evidence of DMS backup process
- document register kept updated
- most recent version of the document is in the system
- obsolete documents are removed
- training of document management system
- record main communications
- Audit
DMS has a back up process (IT type)
There is a dedicated electronic DMS Evidence of electronic DMS
The DMS should be user-friendly so that it can be readily Ease of access of documentation
accessed by the workforce Classification process
There is document classification process including access
restrictions, permission levels on internal and external
distribution
There is an auditing process in place for DMS with follow up. DMS audit with follow up of action items
DMS is implemented consistently world wide. Evidence of world wide implementation of DMS

Element.
Level Expectations
No.
Element 4 - Evaluation and Risk Management
Focus Area #1: Risk Management process and training
4.1 1 There shall be a policy/process in place to
conduct risk assessments (RAs)for all projects.
These RA's should be consistent with industry
best practices for establishing the context,
identifying, analyzing, evaluating, treating,
monitoring and communicating the risks
associated with each project..
There shall be a process in place to train
personnel in conducting risk assessments
2 Risk assessment covers the scope of work
involved including sub-contracted activities.
Training conducted as per procedures.
Internal competency requirements established
3 Risk assessment are reviewed at periodic
intervals.
The training and competence of risk assessors is
refreshed periodically
4 Appropriate levels of management approve risks
consistent with severity of the risk
Field crew have personnel who are trained to
lead risk assessments
Focus Area #2: Risk reduction/control measures and Implementation
4.2 1 Risk assessment is communicated to field crews There is a process in place for communication,
and implemented in the field implementation and recording of current valid risk assessment
in the field units and support operations ( i.e., vessels, field
camps, fly camps, warehouses, shipyards and maintenance-
repair facilities, etc.).
Percentage Percentage
expectations expectations Comments by Client
met for the met for the (Comments should be brief,
level Comments by Contractor level where a level has not been
Best Practice and Targets Suggested Objective Evidence References
(0 - 100%) (Comments should be brief) (0 - 100%) fully met, it is preferred that
( to be ( to be the gap is identified in the
completed by completed by comments)
Contractor) Client)
There is a documented risk management process to conduct Evidence of RA process, quality of RA, OGP 432, Appendix 3
risk assessments which includes methodology, risk matrix, competence of team, consistent use of the OGP 432, Table 1,
scope, risk register or applicable process, adequate level of process. section 1.4
team composition and approval at appropriate levels * documented procedures, checklists and OGP 432, Table 2
consistent with risk templates providing guidelines to the RA process.
The Company has a documented risk management process * evidence of previous RA's carried out for
which should cover generic and project specific risks. projects and processes.
A risk matrix should be aligned with industry best practices. *evidence of RA Meetings or RA review at project
Risk Assessment meetings should be held with all stake start-up or HSSE meetings
holders including Clients, Contractors, key sub-contractors, *documented process for training of risk
management and field personnel. assessors
Risk assessment should be communicated and cascaded to
all field units (including sub-contractors) and a process should
be in place to ensure it is understood
Risk assessment should form a part of the handover process
between field crew and office based operational personnel
Prevention and mitigation measures should be practical and
validated with field personnel
There is a documented process in place that addresses
training requirements for risk assessors. There could be
various levels of risk assessment training.
Risk assessments cover the entire range of operations Evidence RA covers all activities with risks OGP 432, Appendix 3
deemed to have risk associated with the activity. It shall including but not limited to health, safety, OGP 432, Table 1,
include sub-contracted activities. Risk severity ratings are security, environment, regulatory, etc. section 1.4
consistent with the foreseeable hazards. * evidence found in Crew and Project HSE Plans OGP 432, Table 2
Training of risk assessors meets industry standards *evidence found in bridging documents
*evidence of training of risk assessors
There is a documented process that requires periodic review Evidence of periodic risk assessments and OGP 432, Appendix 3
of risk assessments and updates to risk registers during project specific risk registers including OGP 432, Table
projects as appropriate. The reviews should include implementation of any changes proposed. 1, section 1.4
appropriate office and field personnel with approval from line * evidence of review requirements found in OGP 432, Table 2
management. Document Control Procedure
Process in place to refresh RA training *RA's linked or cross-referenced to Procedures
and Work Instructions.
Evidence of refresher in RA training
There is process to define various levels of risk. Higher risks Evidence of defined risk levels with appropriate OGP 432, Appendix 3
are reviewed and signed off by appropriate levels of levels of management sign off. OGP 432, Table 1,
management. * levels of sign off found in Project RA's, Crew section 1.4
Process in place for key personnel on crew to lead a risk and Project HSE Plans. OGP 432 Table 2
assessment (i.e. formal risk assessment training, experience RA's linked or cross referenced to Procedures
in leading and participating in risk assessment, competence and Work Instructions.
verification, etc.). Evidence of risk assessment leader training on
field crew
Review the process and effectiveness of OGP 432, Table 1,
communication and implementation of risk section 1.4.1
assessment. OGP 432, Table 1,
* evidence of RA Meeting reports or meeting sections 1.3.11 & 1.3.22
minutes where the RA's were prepared or
reviewed.
*evidence (sign-off sheets) field manager and
field operator level employees conducting and
reviewing RA's.
2 Risk assessment are utilized actively during
operations
3 Verification of risk control measures during field
operations
4 Annual/periodic review of risk reduction/control
measures and implementation.
There is a process in place to ensure risk assessments are Review TBM procedures, checklists or TBM OGP 432, Table 1,
used as a living document i.e. discussed at TBM, Safety meeting reports-minutes to ensure RAs have section 1.4.1
meeting, etc. including sub-contractor involvement. been referenced OGP 432, Table 1,
Sub-contractors understand and use project RA's sections 1.3.11 & 1.3.22
and evidenced as above.
Risk assessment mitigation measures include
recovery measures in case an unforeseen event.
There is a documented process to verify risk control measures Verify if risk control measures are adequately OGP 432, Table 1,
are in place and is being used correctly ( i.e. risk control being used in field including amendments to RA section 1.4.1
verifications, active monitoring, etc.) based on feedback. OGP 432, Table 1,
Verify if amendment to risk assessments are sections 1.3.11 & 1.3.22
communicated to crew and how is it
implemented.
Evidence in HSSE reporting database of failure to
follow procedures or processes realized from
RA's.
There is an audit process in place to conduct periodic review Annual/periodic review of risk assessments OGP 432, Table 1,
of risk reduction control measures. Results from audits are Evidence of Office Management and field section 1.4.1
reviewed by Senior Management Management review of findings. OGP 432, Table 1,
* Evidence of procedure or work instruction sections 1.3.11 & 1.3.22
revisions carried out due RA findings.
 Percentage Percentage
expectations expectations Comments by Client
met for the met for the (Comments should be brief,
Element. level Comments by Contractor level where a level has not been
Level Expectations Best Practice and Targets Suggested Objective Evidence References
No. (0 - 100%) (Comments should be brief) (0 - 100%) fully met, it is preferred that
( to be ( to be the gap is identified in the
completed by completed by comments)
Contractor) Client)

Element 5 - Planning and Work Management

Focus Area #1: Planning at the client/contractor and operational level for achieving HSSE Objectives & Client, Contractor and sub-contractor interfaces
5.1 1 Planning in place between contractor and client Planning is in place, which includes but is not limited to: Is a procedure for planning of the project OGP 432, Chapter 4 Crew
to detail the HSSE objectives of the survey Clear project objectives are set and means to achieve the available? HSSE Plan, Chapter 5 Project
Bridging and/or Interface document required to objectives HSSE Plan.
be in place between all stakeholders involved in Resource requirements are defined, HSSE motivation Records of meetings, attendance sheets OGP 423 Guidelines for working
the project programs, Performance feedback methods. together in a contract
Plan is communicated and understood by all stake holders. HSSE motivation program environment, Sect 4 Pre-
Location of mobilization, 4.2 Post award
planning meetings should be agreed to ensure optimum Agenda templates meeting
participation.
Bridging document to be developed between Contractor and Bridging and interface documents
sub-contractor(s) clarifying roles and responsibilities, policies
and procedures.
Interface documents are developed between various
stakeholders

2 Planning in place with involvement of field
management and field operational personnel.
Bridging documents are implemented in the field
and are effective.
Field personnel are involved in the planning meetings Evidence of field involvement OGP 423, sect 4 Pre-
between Contractor/Client i.e. subject matter experts mobilization
Line and field management should understand the Verification that Bridging document is in OGP 432, Chapter 4 Crew
requirements of the bridging document and implement as place, signed and dated by appropriate HSSE Plan, Chapter 5 Project
documented level of management, and covers scope HSSE Plan.
of the operation

3 Planning in place with field personnel including Key Sub-Contractors participate in planning meeting. Evidence of key sub-contractor & field OGP 423, sect 4 Pre-
sub-contractor (s). Bridging documents to be reviewed on a periodic basis. operations personnel involvement. mobilization
Bridging and interface documents are periodically Review process should include all stakeholders and ensure Evidence of review of bridging documents OGP 432-01, chapter 9
reviewed the latest version is in place.

4 Appropriate Upper and Operations Management
involvement and participation in planning
meetings (Client/Contractor). Bridging documents
are formally reviewed periodically
Consider if there is a feed back process that goes into the Evidence of meetings, agenda and OGP 432, Appendix 1 Project
planning procedure. attendance list HSSE Plan Key Elements
Annual corporate audit includes process for implementation, Evidence of review of bridging document OGP 423, Chapter 4 Crew
review, training and auditing bridging document. at corporate level audits HSSE Plan, Chapter 5 Project
HSSE Plan
OGP 432-01, chapter 9

FOCUS AREA #2: Basic HSSE Rules, HSSE Procedures for specialist critical jobs and Work Management
 5.2 1 Basic Site rules/work instructions and work There are work instructions ( Standard operation procedures, Work Instructions, procedures OGP 432, Table 1, sections
management are developed and in place for work local instructions, etc.) covering the scope of operations SIMOPS, close pass procedures, PTW, 1.5.9 to 1.5.16
activites including safety critical tasks/activities including those where sub-contractors are involved. personnel transfer at sea, etc.

Procedures should cover site rules taking into account project Evidence of work management flow i.e
risks and local laws. TBM, PTW, JSA, LMRA, etc

Work managment includes procedures, work instructions, Job

Safety Analysis (JSA), PTW, etc. shall be subject to
document control requirements ( date, version, approvals,
custodian, etc.)
These shall be complemented with Tool Box Meetings (TBM),
Last Minute Risk Assessment (LMRA i.e. Take 2, Step Back
5x5, etc.).

Safety critical tasks could include but not be limited to

SIMOPS, Close passes, workboat operations,
mountaineering, long line operations, activities requiring PTW,
river crossing, tree felling, driving, aviation operations, working
in extreme climates, personnel transfer at sea, etc. Such tasks
shall be covered in risk assessment, require comprehensive
procedures, adequately supervised and monitored.

2 The Contractor has a process to verify Line management understanding of procedures and Implementation procedures in the field OGP432, Table 1, sections
Implementation and effectiveness of procedures implementation. Demonstrate and have ownership of through audits, work observations, etc.. 1.6.2, 1.6.5 & 1.7.2
work instructions and work management implementation and an effective work management process.

3 The Contractor has a process in place for Formal review is conducted on annually to ensure procedures History of annual reviews OGP432, Table 1, section
periodic review of procedures for safety critical and work instructions are current and applicable to the Incidents associated with 1.5.14 & 1.7.2
task at field level operations. Review to be done by personnel involved in the procedures/work instructions not being
operations followed

4 There is a process in place for Upper and
Operations Management review of safety critical
tasks and work management.
Contractor audit process includes reviews of procedures, work History of reviews, audits schedule, OGP432, Table 1, sect 1.7.2 &
management and safety critical tasks, etc. results of audit, Upper and Operations 1.7.7
Management involvement, action items
generated
Evidence of improvements

FOCUS AREA # 3: Safety Culture Improvement

5.3 1 The Contractor has a program to address Human The Contractor should have a documented program to Human Factors, Behavioral Change and OGP 432, Table 1, Section 1.6.3
Factors and Behavioral Change leading to Safety address human factors and behavioral change in the work Safety Culture Improvement components Changing Minds (UK Step
Culture Improvement in the work place place. It should encompass all personnel both in the office should be evident in the company's HSE Change for Safety)
and field (including long term sub-contractors). The program management system Human Factors - Introduction
should be fit for purpose and focused on safety culture and first steps (UK Step Change
improvement. for Safety)

Human Factors, Behavioral Change and Safety Culture

Improvement initiatives could include but not limited to:
- Recognition, reward, and motivation
- Work management ( JSA, TBM, LRMA, etc.)
- Stop work authority
- Observations and interventions
- Understanding and respecting cultural differences
 2 The Company Human Factors, Behavioral
Change and Safety Culture Improvement
processes are communicated, implemented and
training provided, this should include refresher
training.
3 The effectiveness of Human Factors, Behavioral
Change and Safety Culture Improvement efforts
is a component of overall safety program. Also,
Sub-contractors are included in these efforts.
4 Upper Management review elements of the
effectiveness of Human Factors, Behavioral
Change and Safety Culture Improvement efforts
as a part of the overall safety performance.
Identified issues are fed back into the
improvement cycle.
FOCUS AREA #4: Permit to Work and Lock out Tag out
5.4 1 A process/procedure for PTW and LOTO should
be in place including effective implementation
covering the entire scope of operations.
Personnel conducting PTW and LOTO are
trained
2 The Contractor has a process in place for PTW
and LOTO self assessment at field level by field
personnel
The Contractor has an assigned competent
person at crew for PTW and LOTO
Human Factors, Behavioral Change and Safety Culture Records of Human Factors, Behavioral OGP 432, Table 1, Section 1.6.3
Improvement is addressed in company documentation, Change and Safety Culture Improvement , Changing Minds (UK Step
communicated and implemented. It could include, but not or components of program Change for Safety)
limited to: Human Factors - Introduction
- Human behavior Evidence of the training program and and first steps (UK Step Change
- Situational awareness validity with any refresher training. for Safety)
- Injury prevention
- Intervention techniques
- Constructive feedback
- Work management components
- Stop work authority
- Working effectively as a team
Training is refreshed at periodic intervals
Human Factors, Behavioral Change and Safety Culture Evidence that lagging and leading OGP 432, Table 1, Section 1.6.3
Improvement efforts should be driven by the Leadership of the indicators are reviewed and evaluated Changing Minds (UK Step
Contractor. Effectiveness of the program is measured Change for Safety)
through leading and lagging indicators. Records of sub-contractor Human Human Factors - Introduction
Factors, Behavioral Change and Safety and first steps (UK Step Change
There could be a documented safety recognition program to Culture Improvement efforts, or for Safety)
recognize personnel and team performance to promote safe components of program. Evidence of sub-
behaviors. contractor training.
Sub-contractors are included in all Human Factors, Behavioral Evidence of safety recognition programs.
Change and Safety Culture Improvement efforts and training
is provided to them
Human Factors, Behavioral Change and Safety Culture Evidence from Upper and Management OGP 432, Table 1, Section 1.6.3
Improvement efforts are part of management reviews at reviews e.g. presentations and minutes of Changing Minds (UK Step
Upper level. Feedback from the safety programs drive meeting from management review Change for Safety)
continuous improvement. meetings. Human Factors - Introduction
and first steps (UK Step Change
A dedicated electronic management system which could be a Evidence of learning from Human Factors, for Safety)
part of the HSSE management system to record observations Behavioral Change and Safety Culture
and records, to assist with trend analyses and further enhance Improvement efforts driving changes in
the maturity of the Human Factors, Behavioral Change and the organization e.g. experience transfers,
Safety Culture Improvement efforts HSSE campaigns, training presentations
PTW should cover the following but not be limited to confined Persons supervising the permitted task OGP 432, Table 1, sections
space entry, electrical work, working at heights, high pressure must be competent. 1.5.10, 1.5.11 & 1.5.12
air, diving, hot work, etc. OGP 432 Table 2, Sections
The PTW system should include a 2.1.2, 2.1.3, & 2.1.4.
The PTW should be aligned with Industry best practice, fit for competency assurance process
purpose and taking into account the risks for the project. It
should include validity of permit, issuing authority, task details,
personnel involved, permit cancellation, permit close out, etc.
Training should be provided to personnel on PTW.
PTW process should be implemented as documented
including sub-contractor's compliance.
PTW is self assessed by field personnel knowledgeable of the Are there any incidents or near misses OGP 432, Table 1, sections
process, such audits are documented. The extent and where PTW was not completed when it 1.5.10, 1.5.11 & 1.5.12
frequency will be determined by size/location of the field unit, should have been. OGP 432 Table 2, Sections
number of permits in normal use and discrepancies of 2.1.2, 2.1.3, & 2.1.4
previous check. OGP 189, section A
The task of the assigned competent person is to ensure the
process being followed ( Check references).
The PTW process includes the closure of the PTW.
 3 The Contractor has a process for verifying the PTW and LOTO self assessed at a part of the management Evidence of audits of PTW and LOTO OGP 432, Table 1, sections
PTW and LOTO self assessment as a part of the audit, it includes the verification of the proper PTW closure 1.5.10, 1.5.11 & 1.5.12
management system audit. process. Review observations noted on PTW by OGP 432 Table 2, Sections
external independent audits 2.1.2, 2.1.3, & 2.1.4
PTW covers the activity in detail. One PTW per activity is preferred on a sheet instead of a OGP 189, sections A, B, C & D
generic PTW on a single sheet covering all types of PTW
activities.

4 Upper and Operations Management review of the Upper and Operations Management sample PTW audit forms Review of PTW by Upper and Operations OGP 432, Table 1, sections
PTW and LOTO verification process conducted during field operations and provide feedback to field personnel Management. 1.5.10, 1.5.11 & 1.5.12
during HSSEMS audits to promote continuous and follow up with management in office. OGP 432 Table 2, Sections
improvement Follow up by management on incidents 2.1.2, 2.1.3, & 2.1.4
Upper management are actively involved in incident related to PTW non-conformances OGP 189, sections A &
investigations where PTW non-compliance was a contributory Appendix 2
factor.

FOCUS AREA #5: Management of Change

5.5 1 The Contractor has MOC procedures in place
which define levels of approval
There is a MOC procedure which cover changes to personnel, Procedure should describe: OGP432, Table 1, section
system, process, equipment, products, materials, procedures When is the procedure to be used 1.5.15
and facilities. How the procedure is to be complied with.
MOC to include considerations to the design, training, Documentary evidence that:
regulatory, requirements, levels of approvals depending on All Changes are approved
the change, changes to risk, type of change ( Permanent, Approved at the appropriate level.
temporary or emergency), time frame, etc. Different categories of change are
Training is provided to personnel so they understand the MOC approved at different levels of
concept management
Where a temporary change has been applied, there is Training has been carried out
verification it has been reverted with in the specified time
frame.

2 The Contractor has a procedure to communicate
MOC to field crew and other stakeholder.
Personnel are trained on use of MOC.
MOC is implemented in the field, is integrated
with RA and a register of MOC is maintained.
Communication of MOC to field crew and other stake holders Evidence such as a checklist that OGP432, Table 1, section
MOC training is documented ensures: 1.5.15 & 1.15.16
MOC is implemented All changes are Authorized OGP 292, MM1B & FMM24
RA is integrated with the MOC process All authorizations are approved by Upper
MOC register or record of MOC raised is maintained and Operations Management, not by
Appropriate specialist advise should be sought during the person involved in the change
consideration for change ( i.e. manufacturer, subject matter The document includes reference to
expert, etc.) appropriate safety, security, health and
environmental issues.
Documented evidence of MOC training is
maintained.
Register of MOC to be sighted
Verify if specialists have been used where
appropriate

3 MOC is refreshed at periodic intervals.
MOC is implemented at all levels in the field.
Changes to MOC may result in amendment of
drawings, procedures and other documents.
Sub-Contractors implement MOC process and
train their personnel
MOC training is refreshed.
There is a process to include MOC implementation effective in
audits at field levels
MOC is implemented and is effective.
MOC included in incident investigation process to verify if an
MOC should have been done
Sub-Contractor understand and implement MOC
Sub Contractors are included in the MOC training
Changes to MOC may result in amendment to drawings,
procedures and other technical documents depending on the
nature of the Change i.e.; permanent, temporary or
emergency
The process should contain documentary OGP432, Table 1, section
evidence of : 1.5.15 & 1.15.16
The risks being assessed
Potential consequence of the risks
Likelihood of occurrence
Aids in prioritizing the most effective risk
reduction measures.
Identify residual risk that requires
management attention.
Verify if sub-contracted activates are
included in the MOC process ( could be
either using the MOC form of the Sub-
Contractor or the Contractor's form)
 4 MOC process implementation and effectiveness
is included in the audit process.
Review of MOC process is conducted at periodic
intervals ( not exceeding one year).
Impact of major personnel changes or major
assets is handled through the MOC process.
Inclusion of MOC implementation effectiveness in the MOC process is included in Upper and OGP432, Table 1, section
Corporate audit both in office and field level operations management reviews 1.5.15, 1.15.16 & 1.7.2
Review of MOC carried out across the organization to MOC is used for key organizational and
determine trends. asset changes.
Best practices from MOC are implemented organization wide

FOCUS AREA #6: Asset and Product integrity ( Reliability and maintenance)
5.6 1 Process in place for tracking equipment reliability, There is a process in place to track reliability and Planned maintenance systems. OGP 432, Table 1, sections
maintenance and inventory of spare parts maintenance of all equipment, including PMS, planned Inventory of spares 1.5.4 to 1.5.8
including HSSE equipment maintenance, inventory control, inspection and record OGP Table 2, section 2.1.1
keeping. 'Fit for purpose'

2 Process in place for tracking equipment reliability There is a process in place for sub-contractors to track Planned maintenance systems. OGP 432, Table 1, sections
maintenance and spares for subcontractors. reliability and maintenance including PMS. Inventory of spares 1.5.4 to 1.5.8
There is a process in place to identify critical equipment spare OGP 432 Table 2, section 2.1.1
parts. OGP 432, chapter 5, section 5.4

3 The Contractor has a computerized maintenance Computerized/automated system that prompts when Review the maintenance and Defect
and defect reporting systems inspection etc. is due/forecast or due/overdue reporting system records and instructions.

4 The Contractor's equipment maintenance and There is a review process to ensure effectiveness. Review PMS capability to monitor the OGP 432, Table 1, sections
defect report system tracks all outstanding repair There process in place to identify critical equipment spare spare parts inventory and highlight any 1.5.4 to 1.5.8
items and spares inventory parts is extended to sub-contractors. shortage. OGP Table 2, section 2.1.1
Review documentation to determine:
• Tracking of all outstanding repair items,
including dry-dock work list.
• SMS contains guidance on testing and
commissioning of systems after
replacement/repair/refit or maintenance

FOCUS AREA #7: Navigation of Vessel ( Applies only to maritime operations)

5.7 1 The safety management system includes These may include but not be limited to: Verification of navigational procedures
required navigational procedures and references. Procurement and management of charts and nautical and best practices
There is an process of management of charts and publications
nautical publications. Corrections to Charts and Publications
Passage Planning International Chamber of Shipping - Bridge
Procedures Guide.
Masters Standing Orders
Duties for OOW Procedure• Arrival and Departure Checklist
Bridge Handover
Bridge Watch Checklist Master And Pilot Information
Exchange
Navigating In Coastal Waters
Navigating In Ice
Navigating In Restricted Visibility
Special Areas under MARPOL

2 Senior Officers undergo competence Senior officer undergo competence assessment prior to Updates of charts and nautical
assessment prior to getting promoted ( i.e. bridge promotion, which could include assessment on a simulator, publications.
resource management (BRM) Engine Room etc. Evidence of competence assessment
Resource Management (ERRM), simulator, prior to promotion for senior officers.
manned model, etc. Attendance to simulator trainings is listed
and monitored.
 3 Navigational audits are conducted by the Master
or other internal Contractor personnel.
4 Navigational audits are conducted by
independent auditors. Results from these audits
are analyzed across the Contractor and
procedures updated accordingly.
FOCUS AREA #8: Emergency Planning including crisis management
5.8 1 Emergency response plan in place covering the Develop, document and maintain plans for responding to
scope of the operation and kept updated. Such
planning should include emergency response
plans for crisis i.e. country evacuation, vessel fire, Procedures;
etc.
2 Implementation and effectiveness of the is
emergency response plan (ERP) is tested.
Personnel with ERP responsibilities are identified
and trained. Contractor shall have a process to
test credible scenarios a crisis and could include
a business continuity plan
3 Alternative members of the ERT have been
identified internally
The Contractor shall have a process to review
and share lessons learnt from ERP/Crisis
management as appropriate
4 External resources are identified ( response
cooperatives, government agencies, subject
management experts, etc.) and tested at periodic
intervals.
Upper Management of both Contractor and Sub-
Contractor participate actively in emergency
response and crisis management drills.
FOCUS AREA #9 - Health Management
5.9 1 The Contractor has a health policy, procedures
and standards covering fitness for work, health,
hygiene, sanitation, food handling and
preparation, potable water standards. in the field,
There is a formal audit checklist to facilitate navigational audit. Navigational audit report
Results from the audit are tracked to closure
Navigational audits by independent auditors should include Navigational audit report.
them sailing on the vessel to observe and coach real time.
Results from these audits are reviewed.
Emergency response and crisis OGP 432, Table 1, section
potential emergencies, which should cover but not be limited management plans including verifying 1.5.17 to 1.5.20
to: content, applicability to scope of OGP 432, Table 2, 2.2.1 to 2.2.9
operations and distribution to appropriate
Organization; parties and sub-contractors.
Responsibilities including any external support, liaisons and
authority representatives;
Communication flow;
Links to emergency services, resources, communities, officials
and other stakeholders.
Updates of ERP
Lines of communications should be detailed between various
stakeholders in a crisis situation
An overall emergency plan should be developed covering all Emergency response plans to verify it OGP 432, Table 1, section
relevant emergency scenarios, listing procedures to be covers all emergency scenarios 1.5.17 to 1.5.20
followed and resources to be available in the case of consistent with the scope of operation OGP 432, Table 2, 2.2.1 to 2.2.9
emergency. Training records for personnel.
Personnel responsible to implement the ERP are trained Business Continuity plan
Develop a business continuity plan taking into account fires or
other events which could makes the office in-accessible.
Client/contractor/subcontractor shall have defined specific Debrief of drill and how lessons learnt and OGP 432, Table 1, section
responsibilities for managing a crisis. documented and closed out. 1.5.17 to 1.5.20
Lessons learnt from ERP and Crisis management are fed Debrief of drill and how lessons learnt and OGP 432, Table 2, 2.2.1 to 2.2.9
back into the learning process and documents revised as documented and closed out
appropriate.
There is a crisis management room with communication, 24
hrs. access, phone lines, etc.
Clear guidelines on who takes primacy depending on the level Access to external resources. OGP 432, Table 1, section
of initial Incident and subsequent escalation. Upper Management and sub-contractor 1.5.17 to 1.5.20
Plans and procedures should be tested at regular intervals to management participation in drills and OGP 432, Table 2, 2.2.1 to 2.2.9
ensure they work and train people in Emergency Response. exercises (including media response)
Upper and Operations Management participate in emergency
response and crisis management and steward any lessons
learnt to closure
Policies, standards and procedures should cover: - Medical fitness standards and OGP 432 Table 2, Sections 2,4,
- Medical fitness standards compliance 2.5, 2.6, 2.7 and 2.8
- Vaccinations - Vaccination standards
- Basic health standards for accommodation, food, health and - Camp and accommodation standards
hygiene - Health assessments
- Health and sanitation inspections - specific control programs
- Specific health related program i.e. Malaria Control, etc. - Assistance related to health during travel
- Travel warning related to health - Health inspections
- water quality and testing
- Medical facilities
 2 The Contractor has procedures for health related
aspects which meet industry standards ( WHO,
etc.) and includes covering health related aspects
in project risk assessments and training of
personnel
3 The Contractor conducts health surveillance for
its employees. Audits include health components
and are tracked to closure.
The Contractor has access to SME to provide
advice on health related issues.
The Contractor has a Subject Matter Expert in
health i.e. Health Manager, Occupational health
professionals at management level
4 Upper and Operations Management review
effectiveness of health programs and track action
items to closure.
The Contractor has wellness programs to
promote healthily living for its employees
FOCUS AREA #10 - Environmental Management
5.10 1 The Contractor has a environmental policy,
procedures and standards. All aspect of the
operations must be in compliance with
international, national, regional, provincial and
locals environmental requirement.
Health related aspects are included in risk assessment. Verify health related procedures, the OGP 432 Table 2, Sections 2,4,
Health related aspects include physical, chemical, biological, attention to detail and implementation in 2.5, 2.6, 2.7 and 2.8
ergonomic, etc., field.
The SMS has a specific section on health. The Contractor has Health risk assessment
procedures to deal with infectious diseases including Process of Managing Material Safety Data
preventing, managing an outbreak and getting situation back Sheets
to normal.
Process in place for managing Material Safety Data sheets
Audits include health components, these are tracked to Health audits and tracking of items to OGP 432 Table 2, Sections 2,4,
closure. . The Contractor has health surveillance program i.e. closure. 2.5, 2.6, 2.7 and 2.8
hearing conservation and testing, T.B. screening as -Records of and participation by SMEs in
appropriate. health audits/programs
The Contractor has access to SME who provide advice and - Health surveillance programs
participate actively in audits and inspections.
Upper and Operations Management actively participate and Management review and close out. OGP 432 Table 2, Sections 2,4,
review health related aspects. There is a program to verify Wellness programs including 2.5, 2.6, 2.7 and 2.8
effectiveness of health related programs i.e. time lost due to effectiveness
health issues, etc. Records of external certification
The Contractor has wellness program which promote healthy Access to Occupational Health
living professionals in house.
Policies, standards and procedures should cover: - Environmental polices and procedures OGP 432 Table 1, Section 1.2
- environmental compliance covering water, air, waste, natural - Plan for compliance with regulations OGP 432, Table 2, Section
resource protection, emergency response, reporting ( will vary for land and marine) 2.10.1-2.10.10
- Waste management plan
 2 The Contractor has procedures for environmental
related aspects which meet industry standards
(JNCC, MARPOL, WHO, etc.).
The Contractor has a process for covering
environmental related aspects in project risk
assessments. The Contractor identifies all
aspects of its operations which interact with the
environment ( air, land, water, etc.) conducts
environmental impact assessments. The
Contractor audits compliance through field and
office environmental audits this includes tracking
environmental incidents and waste management
3 The Contractor has a program to monitor new
laws and regulations. Goals and targets are set
for environmental parameter, these are included
in the Contractor's Environmental Business plan,
consideration is given to monitoring affluent,
emissions, waste reduction and energy
conservation.
The Contractor has access to SME to provide
advice on environmental related issues.
The Contractor has an Environment Department
in its organization.
4 The Contractor has obtained ISO 14001 or similar Upper and operations Management actively participate and
accreditation from an external provider.
Upper and Operations Management review
effectiveness of environmental program and track
action items to closure.
The Contractor participates in Industry
environmental initiative work groups and
initiatives ( i.e. marine sound, earth day, green
house gas emissions, new design technology,
etc.)
FOCUS AREA #11 - Security Management
5.11 1 The Contractor has security policy, procedures
and standards covering security consistent with
the scope of operations. Where applicable these
comply industry standards and local requirements
( i.e. ISPS for marine)
2 Security considerations are included in risk
assessment. Drills are conducted to test security
preparedness. The Contractor has access to
obtain security information consistent with their
operations and appropriately communicates it to
the field for implementations. Personnel are
provided awareness training in security
Environmental related aspects are included in risk Verify if Environmental Impact and risk
assessment. assessments cover the range of
Environmental Impact Assessments are completed. operations of the Contractor.
Procedures related to environmental aspects are available Verify if audits cover environmental
and implemented in field operations. aspects including follow up.
Audits are conducted both in the office and field operations to Review environmental incidents
monitor compliance with environmental aspects, these can be Waste management including receipts for
combined with other audits, frequency of audits should waste landed
preferably not exceed 12 months
There is a structured process to monitor new laws and Process for monitoring new laws and
regulation, including understanding the impact on Contractor's regulations
operations. Goal and targets are set and stewarded. The Environmental goals and targets.
Contractor's EBP has aspects of emissions, affluent, waste Pollutant monitoring and reduction
management and energy conservations. The Contractor has initiatives.
access to environmental SME. Waste management includes cradle to
grave tracking and waste minimization
plan
Upper and Operations Management
review environmental programs and audits. Contractor reviews, tracking of closure of items from
actively participates in Industry initiatives. environmental audits
Active participation in Industry workgroups
and initiatives
Policies, standards and procedures should cover: - Security procedures
- Physical Security - Demonstrate compliance with laws
- Emergency scenarios where applicable i.e. ISPS, escorts, etc.
- Applicable standards
Security related aspects are included in risk assessments. Verify if security aspects included in risk
Drills are conducted to validate preparedness. Information on assessments. For marine operation verify
security is obtained and communicated to the field. There is a if ISPS Certificates are valid
training program appropriate to the geographic location of field Records of training and drills
operations.
OGP 432, Appendix 3
OGP 432, Table 1, section 1.4
OGP 432, Table 2, Section
2.10.1-2.10.10
OGP 432, Appendix 3
OGP 432, Table 1, section 1.4
OGP 432, Table 2, Section
2.10.1-2.10.10
OGP 432, Table 1, section 1.7.2
& 1.7.7
OGP 432, Table 2, Section
2.10.1-2.10.10
OGP 432 Table 1, Section 1.2
OGP 432, Table 2, Section
2.16.1-2.16.4
OGP 432, Appendix 3
OGP 432, Table 1, section 1.4
OGP 432, Table 2, Section
2.10.1-2.10.10
3 Audits include security components and are
tracked to closure.
The Contractor has access to SME (Subject
Matter Assessment) to provide advice on security
matters.
Security threat levels are periodically updated,
communicated and implemented.
The Contractor has a Security Officer position in
its organization.
Security components are included in the audit process. Audit reports and tracking of action items OGP 432, Table 1, section 1.7.2
Results from audits are tracked to closure. The Contractor has to closure. OGP 432, Table 2, Section
access to SME (Subject Matter Expert) for advice on security Access to SME on security. 2.10.1-2.10.10
matters. Such SME could be external to the Contractor. Update on security information and
Threat levels are periodically updated and communicated dissemination to crew.
Upper Management approval to work in
areas where security sensitive areas.

4 Upper and Operations Management are involved Upper and Operations Management are actively involved in Review of management meetings.
in security programs i.e. drills, review of threat security programs
levels,
 Element.
Level Expectations
No.

Element 6 - Implementation and Monitoring

FOCUS AREA #1: HSSE performance
6.1 1 HSSE performance is defined, measured and
reviewed at all levels in the Contractor
organization ( includes Office and field units).

2 HSSE performance are reviewed at least on a

quarterly basis and discussed at field levels and
appropriate measures implemented to meet
performance targets.

3 Upper and Operations Management reviews

Contractor and crew HSSE performance on a
regular basis.

4 Contractor can demonstrate continuous

improvement to in the areas of HSSE
performance at all levels throughout the
Contractor and by bench marking with Industry.

FOCUS AREA #2: Incident investigation, analysis and training

6.2 1 The Contractor has a process to ensure prompt
reporting of incidents and near misses. The
Contractor has defined categories of incidents in
their safety management systems.
Contractor provides basic Incident investigation
training to line management, both office and field
personnel
2 All Incidents and near misses are investigated
accordingly of a defined investigation
methodology and based on the severity.

Incident investigation team leader shall have

formal external incident investigation training, this
is applicable to office and field personnel

3 Incident are shared Company wide. Data from

incidents are analyzed to capture trends.
Operations Management review incident reports.

Incident investigation training is refreshed at

periodic intervals
4 Incidents are shared with Industry groups.
Operations Management reviews corrective and
preventive actions for serious incidents.

First line Supervisors in field, office, key sub-

contractor personnel receive formal external
incident investigation training.
 Best Practice and Targets Suggested Objective Evidence

The Contractor has a documented process in place for Evidence of documented process in SMS.
conducting HSSE performance reviews based on both leading Evidence of reviews at various levels ( Office and
and lagging indicators. field units)

The Contractor has formal performance targets placed within Evidence of quarterly reviews and actions taken.
its business objectives. Staff monitor status at least quarterly Evidence of process being communicated to
using KPIs and report their findings to Operations Operations Management and feedback loop.
Management.

The Contractor has Upper and Operations Management Evidence of quarterly reviews and actions taken.
review of performance targets placed within its goals and Evidence of process being communicated to
objectives Upper and Operations Management and
feedback loop.

The Contractor benchmarks its HSSE management practices Evidence off benchmarking against Industry
against other organizations and industry information sources. standards.
Benchmarking is an integral part of the improvement process,
and the Contractor aims to match ever-improving best Evidence that this is a part of Operations and
practice. Upper Management reviews and evidence of
driving continuous improvement.
The Contractor has a plan, approved by Operations
Management, to identify the checks and measures that
ensure the safety management system is working effectively
across all areas of the business on an annual basis. Progress
against the plan, assessed by audit and inspection, should be
discussed at quarterly Operations Management meetings

raining
A reporting and investigation procedure should be in place
with the following elements :
- Process for defining and reporting incidents
- All incidents and near misses should be reported (including
sub-contractor incidents) and classified according to severity
- The level of incident investigation should be consistent with
the severity and / potential of the incident
Incidents and near misses include but not limited to, safety,
environmental, security, vehicles, health, regulatory non-
compliances, community relations
All incident investigations should identify causal factors, root
causes, corrective and preventive actions ( e.g. TapRoot,
DNV analysis, Kelvin Topset, etc.)
In case of incidents investigated by sub-contractors, there
should be similar expectations as that applicable to the
Contractor.
Procedure or process describing:
-Incident investigation categorizations for forms
-Reporting and notification criteria
-Investigation forms and guidance
Examples of reported and investigated incidents
e.g. completed incident and investigation reports
including investigation reports completed by sub-
contractors.
Evidence that Investigation training is conducted
e.g. training procedure/ matrix, training records
Evidence that investigation leader is trained e.g.
example of investigation report and experience
of investigation leader.

Incident investigation team leader is trained in incident

investigation.
Other members of the team are trained in HSSE
Management including basic investigation.
Training is conducted by the Contractor both for office and
field personnel. Incident investigation is a part of the
Contractor's core training module.
There is a documented incident investigation process which Procedure that describes the investigation
includes methodology, time frame, incident team composition, process and investigation requirements
training, resources, site securing, etc.
Examples of incident investigations where:
The composition of team should be well balanced and - Corrective and preventive actions are tracked
include and closed out
- Subject matter experts as appropriate - Findings transmitted to fleet all field crews
- Managers as appropriate with the severity of incidents - Safeguards implemented
- Investigation methodology expert / competent - SMS amended
- Safety bulletins
There is an incident investigation report review process in - Safety Audits
place where corrective and preventive actions are identified.
Evidence of training of incident investigation team
Corrective and preventive actions should be implemented leaders
and tracked to closure.

Company has process to share incidents and associated

learnings in a timely manner ( first alert and experience
transfer should be made as soon as practicable depending on
the severity of the incident)

Crew management in the office ( one level above field) review

incident investigations, findings and lessons learned.

Incident investigation team leader and/or one other team

member must be trained. The Industry recognized formal
external training, formal HSSE training i.e. NEBOSH, etc.

Company wide sharing of incidents driven by Operations Evidence of sharing of incidents e.g. by emails,
Management webinars, meetings, etc.

Root causes from incidents are analyzed across the Evidence of cause trend analysis e.g. trend
organization to understand any common trends and actions analysis reports, presentations, minutes from
taken. management review meetings

Review of procedures is part of the post investigation process. Tracking system of Causal Factors, Root Causes
and corrective action to determine trends and
There is an electronic database to capture incident analysis e.g. examples of reports from systems
investigation cause analysis, corrective and preventive
actions. The database is capable of analyzing trends. Actions Operations Management involvement in incident
are developed based on trends observed. investigation. Review of incidents investigations
in Operations Management meetings e.g.
There is a process to flag overdue investigation reports and presentations, meeting minutes
action items
Review of refresher training records
Operations Management review incident investigations
depending on the severity of the incident.
Benchmarking done with Industry bodies and other Evidence of participation in industry groups
Companies. including sharing high potential incidents. Industry
HiPOs shared with Industry bodies with a view of share incidents are reviewed and disseminated as
lessons learned. appropriate.

Incidents shared in the Industry become a part of the
Company's experience transfer process.
Operations Management reviews effectiveness and status of
corrective and preventative actions of serious incidents.
Review of external training for first line
supervisors in field including sub-contractor
personnel

Company provides formal external incident investigation

training to first line Supervisors and key sub- contractor
personnel.
 Percentage Percentage
expectations expectations
met for the met for the
level Comments by Contractor level
References
(0 - 100%) (Comments should be brief) (0 - 100%)
( to be ( to be
completed by completed by
Contractor) Client)

OGP 432 Table 1,

Section 1.1.5, 1.5.1,
1.6.1 & 1.6.2

OGP 432 Table 1,

Section 1.1.5 & 1.6.4

OGP 432, Table 1,

section 1.1.1, 1.1.5,
1.1.6, 1.3.10, 1.5.1 &
1.6.4

OGP 432 Table 1,

Section 1.7.7
OGP 210, sections 6.2 &
7.2
OGP 432, Table 1,
Sections 1.3.10, 1.6.4,
1.6.6 to 1.6.11
OGP 432, Table 1,
Sections 1.3.10, 1.6.4,
1.6.6 to 1.6.11

OGP 432, Table 1,

Sections 1.3.10, 1.6.4,
1.6.6 to 1.6.11
OGP 432, Table 1,
Sections 1.3.10, 1.6.4,
1.6.6 to 1.6.11
 Comments by Client
(Comments should be brief,
where a level has not been
fully met, it is preferred that
the gap is identified in the
comments)
 Element.
Level Expectations
No.

Element 7- Audit & Review

Focus Area #1: Audit Plan, Objectives, scope and independence of audit team
7.1 1 Contractor has an annual internal audit plan that
covers the scope of the operations including
HSSE, Technical and Suppliers.

Audits are lead and staffed by competent

personnel

2 Sub-contracted activities are included in the audit

process of field operations
Audit teams includes formally trained and certified
auditors. Crew/Project ( office based) and line
management participation in audits is an
expectation.
 3 Operations Management review and approve
audit plan and protocols.
Operations Management participation in audits.
Sub-contractor management participation in
audits
Third parties (Independent to the Contractor)
participate in audits

4 Operations Management are actively monitoring

the execution of the plan at periodic intervals.
Upper Management participation in audits of
office and field operations.

FOCUS AREA #2: Audit process, management review, close-out and final review
7.2 1 A Contractor specific format is used for
conducting and recording audits of office and field
units

There should be a documented plan to capture

and close-out corrective, preventive or
improvement actions.
Final review and close-out with Office
management for Office audit and field
management for field audits.

2 The format is of a standard that is equivalent to

Industry reporting systems i.e. OGP, IMCA,
OVID, etc. The standard includes regulatory
requirements

Final review and close-out is conducted with Line

management.
3 Audit checklist and protocols are reviewed
revised at periodically
Monitoring and Review of the close-out of actions
by Operations Management.
The contractor analyses results from audits,
makes comparisons with other field units and
identified common areas for improvement

4 Information obtained from audits is fed into the

feedback and continuous improvement process
 Best Practice and Targets Suggested Objective Evidence

pendence of audit team

An audit plan is defined at the beginning of the year or a set Audit plan for the year covering the scope of
period. The contractor has a structured process that allows operations
management to conduct planned and systematic audits of all Audit scope and objectives
offices and field crews / locations. All Office and field units included in the audit
The audit plan should take into consideration the objectives of plan.
the contractor organization and should include : The audit plan is communicated to the targeted
- audit calendar entities.
- audit scope A distribution list for audit reports is clearly
- independence and competency of the audit team defined.
Objectives of the audit should be established. These Auditor Training Certificates and Employee
objectives can be based on consideration of: training records.
- management priorities
- commercial intentions
- management system requirements
- statutory, regulatory and contractual requirements
- need for supplier evaluation
- customer requirements
- needs of other interested parties, and
- risks to the organization
Contractor should carry out internal audits to verify all staff
are consistently following the management system.

There is a process for either the sub-contractor to have a plan
of their own or participate in a plan with the Contractor
equivalent to the above.
There is a documented process for the audit team to include
formally trained auditors.
Lead Auditor carries the necessary auditors certification.
Other members may not require an Auditing certificate if they
have the expertise necessary to bring value and credibility to
the audit.
Audit plan includes sub-contractors
Protocol and checklist for the audit.
Review:
• Formal Training records for auditors.
• Past Audits for compliance with use of fully
trained auditors.
Audit is one of the element of the Management
yearly individual objective.
 Operations Management review and approve audit plans and
protocols at periodic intervals.
Audit team includes participation of a contractor Operations
management. Third parties either conduct their own audit or
participate in Contractor initiated audits.
There is process for Operations Management to review
progress versus the audit plan and close out items.
Audit team includes participation of a contractor Upper
management. It is expected that Upper management will
participate only in selected audits.
close-out and final review
The Contractor has a standard format that is used as a basis
for all inspections. The inspection process covers all areas of
the field operations. The questionnaire is captured in a
checklist and/or procedures which are controlled through the
company document control system.
The audit process should be fully detailed in the MS:
- Initiating the audit
- Conducting document review
- Preparing for the on-site audit activities
- Conducting on-site audit activities
- Audit closing meeting to present audit findings
- Preparing, approving and distributing the audit report
- Conducting audit follow-up
All close-out corrective, preventative and improvement actions
are assigned Action Owners, Action Responsible Party and
Target dates.
Review is held with respective management on completion of
the audit and review addressing the observations. Reports are
submitted in a timely manner. This applies to both internal and
external audits.
The audit is conducted using a detailed check-list
Review format / procedure to ensure:
Scope of document
• Depth of content
• Equivalent to OGP / IMCA / OVID formats, etc.
• Format is reviewed against industry formats
• Best practices adopted
Review is held with operations management upon close-out of
the audit. Such review is to include all stakeholders
addressing:
- Sharing of learnings and recommendations for future
projects internally
Evidence of line management participation on
audits.
Evidence of Operations Management
involvement and approval of audit plan, protocols,
processes and participation in audits
Evidence of line management participation on
audits.
Evidence of Operations Management
involvement and approval of audit plan, protocols
and processes. Status of audit plan is part of the
monthly management review.
Records of Upper management participation in
field audits
Documented process and checklists for audit
planning, notification and reporting.
An audit package is available in the contractor
documentation system.
Review audit report for:
- quality of report
- close out process
- Assignment of action items with target dates
- Review with line management
Deadline to release the audit reports is clearly
defined in the contractor system.
Completed checklists, audit reports and remedial
action plans
Review checklist for depth in content.
Review audit reports to:
• Check non conformances
• Observations
• Check how deficiencies are tracked
• How deficiencies are closed out
• Are Operations Management updated on status
and progress regularly.
The audit is conducted using an elaborated guideline
document, is comprehensive and included as part of the
'Operations Management Review process.
Review is held with Operations management upon close-out
of the audit. Such review is to include all stakeholders
addressing:
- Sharing of learnings and recommendations for future
projects internally, including all subcontractors and field units.
High priority action items reviewed with Operations
Management and tracked appropriately to closure.
Corrective, preventive and improvement actions should be
identified during the audit and become part of the 'Upper'
Management Review process. Review is held with Upper
management to ensure significant audit items are closed out
in a timely manner. Significant learnings are included in future
projects and share with Industry bodies where appropriate
Audit reports, remedial action plans, audit close
out reports to verify depth of content and
effectiveness of consistent use.
Review audit reports to:
• Check non conformances
• Observations
• Check how deficiencies are tracked
• How deficiencies are closed out
• Are Operations Management updated on status
and progress regularly.
Audit reports, remedial action plans, audit close
out reports and Management Review meeting
minutes and evidence of audit findings and
actions being implemented in the annual MS
improvement plans.
Records of shared learnings with industry bodies
Review audit / inspection results:
• Check that Observations / non conformances
are tabulated / recorded.
• NC's and observations categorized.
• High incidence categories investigated deeper.
• Corrective measures implemented
 Percentage Percentage
expectations expectations
met for the met for the
level Comments by Contractor level
References
(0 - 100%) (Comments should be brief) (0 - 100%)
( to be ( to be
completed by completed by
Contractor) Client)

OGP 245
OGP 432, Table 1 -
sections 1.7.1 to 1.7.6

OGP 245
OGP 432, Table 1 -
sections 1.7.1 to 1.7.6
and 1.1.1 & 1.1.6
OGP 432, Table 1 -
sections 1.7.1 to 1.7.6
and 1.1.1 & 1.1.6

OGP 432, Table 1 -

sections 1.7.1 to 1.7.6
and 1.1.1 & 1.1.6

OGP 245
OGP 432, Table 1 -
sections 1.7.1 to 1.7.6
OGP 245
OGP 432, Table 1 -
sections 1.7.6 to 1.7.8

OGP 432, Table 1 - sect

1.7.6 & 1.7.7
 Comments by Client
(Comments should be brief,
where a level has not been
fully met, it is preferred that
the gap is identified in the
comments)
 Percentage
Percentage
expectations Comments by Client
expectations
met for the (Comments should be brief,
met for the level
Element. Comments by Contractor level where a level has not been
Level Expectations Best Practice and Targets Suggested Objective Evidence References (0 - 100%)
No. (Comments should be brief) (0 - 100%) fully met, it is preferred that
(to be
(to be the gap is identified in the
completed by
completed by comments)
Contractor)
Client)

Element 8 - Sub-Contractor management

Focus Area #1: Sub-Contractor selection
8.1 1 There is a formal process for the identification There is a documented process of selection of Sub Documentation of sub-contractor selection OGP 423, chapter 2 &
and selection of sub contractors which is clearly Contractors with roles and responsibilities, criteria, process. chapter 3
defined. qualification and disqualification criteria Approved contractor list OGP 432, Table 1,
Selection process should include HSSE performance of sub- Sections 1.3.10 & 1.5.3
contractors.
The process includes a comprehensive checklist which OGP 432-01, Guidance
includes but not limited the following: note on sub-contractor
· Risk to the Contractor management in
· Potential impact to company geophysical operations
- Conflict of interest Oct 2012
- Experience in the type of task to be performed
- Applicable certification for the work to be performed
· Financial viability
· Comprehensive Safety Management Systems (SMS)
- Policies,
- Organization structure / communication lines
- Goals & Objectives
- HSSE statistics and performance ( incidents, accidents,
etc.)
- Quality process in place
- Management of Change system
- Induction, orientation
- HR systems in place (selection, training etc.)
- Work management procedures ( Job Safety Analysis
(JSA), Tool Box Meetings (TBM), Permit To Work (PTW)
- leading and lagging indicators ( Unsafe Act (UA), Unsafe
Conditions (UC), interventions, right to stop work)
- Safety & Defect reporting
- Planned maintenance system
- manning and training
- Drills and exercises
- PPE matrix
- Auditing program·
Qualification yes / no process

2 The Contractor should have a process to rate There is a process (database or spreadsheet) maintained of Evidence of database or spreadsheet including OGP 423, section 1.4,
sub-contractors to facilitate selection process. the sub-contractors which is active. last review date. chapter 2 & chapter 3
Such process should include sign off by OGP 432, Table 1,
management on the Sub-contractor selection. It could be a tiered approach in the database taking into Evidence of process being used on highest level ( Section 1.3.10 & 1.5.3
consideration the services provided by the Contractors ( Sub- key) sub-contractors
Contractors are placed in the various tiers based on their OGP 432-01, Guidance
impact to the Contractor and ranking within the Tier based on Is there management sign off when new sub- note on sub-contractor
the assessment) contractors are selected. management in
geophysical operations
The process for selection includes management sign off and ISO accreditation is not a must, but would be Oct 2012
should be by Committee. preferable.

Selection process should include quality, delivery, cost,

services, R&D and responsibility for management of sub-
contractor including performance aspects, ISO accreditation
of Contractor as appropriate

3 Contractor has a process to audit their sub- Selection process includes visiting the sub-contractor(s) and Competency of auditor OGP 432, Table 1,
contractors auditing their management systems dependent on the Audit report of the sub-contractor Section 1.3.9, 1.3.10,
services provided by the Contractors. Personnel conducting Evidence for follow up on observations 1.5.3 & 1.7.2
the audit should be competent. OGP 432-01, Oct 2012

4 To promote continuous improvements, key There is a periodic re-assessment of sub-contractors to List of Contractors is reviewed at Upper OGP 423, chapter 8
Contractors are re-assessed. ensure that they are current with the expectations and such management OGP 432, Table 1,
reviews are documented. Section 1.3.10 & 1.5.3
Actions from the reviews are followed up and closed out Review re-assessment reports including any OGP 432-01, Oct 2012
Face to face re-assessment of major contractors follow up.

Focus Area #2 - Sub-contractor monitoring and evaluation including day to day interaction during field operations
8.2 1 The contractor has a documented process for
monitoring and evaluation of subcontractor
The subcontractors involved in the project are
included in the overall project, planning and
implementation, including but not limited to:
• The same expectations as the main contractor; goals and objectives
• Subcontractors are part of the communication
process;
• Subcontractors are included in training
programs;
• Subcontractors are part of the site reporting of - Subcontractor personnel are included in relevant site or
near misses and incidents;
• HSE performance of Subcontractors is
monitored - objectives given, metrics agreed and and these are stated in the project plan.
tracked;
• Subcontractors are included in Emergency
response planning and arrangements.
2 Sub-contractors are monitored during field
operations and feedback provided both at field
level and Contractor Office level.
3 Performance is monitored by a score card or
equivalent process and reviewed periodically by
the contractor.
4 Upper and Operations Management monitor and Upper management review of sub-contractor (SC)
review sub-contractor performance. performance
There is a documented process of monitoring and evaluation
of the SC which could include reviews, reports, etc.
Key Performance Indicators ( targets) are set at project and
monitored
Bridging document should be developed between Contractor
and sub-contractors to clarify responsibilities, procedures,
- Subcontractors are included in a site or project start-up
meeting, where project requirements are communicated;
- Periodic meetings are held between the Contractor and
subcontractors;
project training;
- Subcontractors have project specific performance targets,
- Performance measurement is carried out, and tracked by the
principal contractor;
- Evidence exists to show that subcontractors are fully
informed of relevant HSE issues, including client expectations;
- Contractor has procedures in place and evidence to show
that subcontractors receive relevant HSE documentation, and
are included in the reporting and review of HSE issues
There is a process to monitor sub-contractor performance
during field activities and provide on-going feedback including activity and HSSE performance.
follow up on areas requiring attention.
In order to maintain the integrity of operations, Sub-
contractors should have a process to ensure quality control
checks during all phases of the operations. Should routine or - Documented procedures
breakdown maintenance is carried out, the equipment must
not be put into operation unless it has been trialed, tested by
a competent person and accepted by the Contractor.
Key issues should be raised to the office by crew.
The office should take it up with SC management at their
office.
Review by way of scorecard or KPIs
Feed back to be provided to key Contactors during periodic
meetings with SC management
Periodic feedback is documented with follow up
Score cards used during reviews with Contractor at
Operations level management. Result of score cards
considered during renewal process.
Score cards include HSSE, technical, operational and
personnel turnover.
Structured communication plan include formal conference
calls, face to face meetings, feedback on a periodic basis
SC performance is bench marked and such feedback
provided to SC management
Contracts include penalty for sub-standard performance.
Joint workshops/seminars are organized with key sub-
contractors to discuss items of mutual interest, share lessons
learnt, KPIs and performance
Evidence of performance reviews and meetings OGP 432, Table 1,
with Sub Contractors Section 1.3.9, 1.3.10,
1.5.3 & 1.7.2
Level of participation at reviews OGP 432-01, Oct 2012
Bridging document for roles and responsibilities,
goals and objectives, critical operational
procedures, communication lines identified,
emergency and crisis process is clarified.
Verify if KPIs agreed with Sub-contractor and
follow up on how it is tracked during the project.
- Meeting minutes and attendance/sign-in sheets;
- Training trackers or training matrices;
- Documented site or project performance targets
(known and used);
- Subcontractor HSE performance statistics
tracked and reported by principal contractor;
- Site/Crew/Project HSE Plans
Verify if daily reports includes Sub-contractor OGP 432, Table 1,
Section 1.3.9, 1.3.10,
1.5.3 & 1.7.2
Interaction between Contractor and sub- OGP 432-01, Oct 2012
contractor during field operations.
- Meeting minutes
- Site/Crew/Project HSE Plans
Score cards being maintained and includes OGP 432, Table 1,
HSSE, technical, operational and personnel Section 1.3.9, 1.3.10,
turnover. 1.5.3 & 1.7.2
OGP 432-01, Oct 2012
Objective evidence to see if score card results
are considered in renewal of contracts.
Evidence formal meetings have been held with
sub-contractors and actions items thereof.
Score cards reviewed at Business Line level with OGP 432, Table 1,
Sub-contractor Upper management for key Sub- Section 1.3.9, 1.3.10,
Contractors. 1.5.3 & 1.7.2
OGP 432-01, Oct 2012
Review with Sub-Contractor include bench
marking with other Sub-Contractors ( their
performance related to others)
Evidence of seminar agenda and attendees.
Element 1 - Leadership and Commitment
Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 Visible Expressions Of Commitment 0 0 0 0 0.0
By Senior People And Involvement In
Hsse Matters

2 Line Management Responsibility – 0 0 0 0 0.0

Empowerment Of Individuals (Duty
And Right To Stop Work And
Intervention)

3 Crew Visits 0 0 0 0 0.0

Av. Score 0.0

Element 2 - HSSE Policies and Strategic Objectives

Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 Content, Dissemination And 0 0 0 0 0.0
Effectiveness Of Hsse Governing
Documents (Policy Statements ,
Standards, Etc)

2 Smart Hsse Objectives Are Set At 0 0 0 0 0.0

Corporate, Country/Location And
Project Level (inculdes crew HSSE
plan, Data Maintained And
Stewarded

Av. Score 0.0

Element 3 - Organization, Resources, and Documentation

Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 Corporate Structure And 0 0 0 0 0.0
Responsibilities And Manning
2 Hr Management And Recruitment 0 0 0 0 0.0
(Office And Field Personnel),
technical and HSSE training

3 Hsse Competence And Verification, 0 0 0 0 0.0

HSSE Professionals + HSSE Advisor

4 Crew Orientation And Induction 0 0 0 0 0.0

5 Workforce Suggestions And 0 0 0 0 0.0
Improvement
6 HSSE Legislation And Standards 0 0 0 0 0.0
7 Document Control And Records 0 0 0 0 0.0
Av. Score 0.0
Element 4 - Risk management
Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 Risk Management process and 0 0 0 0 0.0
training
2 Risk Reduction/Control Measures 0 0 0 0 0.0
And Implementation
Av. Score 0.0

Element 5 - Planning and Work Management

Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 Planning At The Client/Contractor 0 0 0 0 0.0
And Operational Level For Achieving
Hsse Objectives

2 Basic HSSE Rules, work management 0 0 0 0 0.0

& Procedures For Specialist Critical
Jobs

3 Safety Culture Improvement 0 0 0 0 0.0

4 LOTO and Permit To Work 0 0 0 0 0.0
5 Management Of Change 0 0 0 0 0.0
6 Asset and product integrity 0 0 0 0 0.0
( Reliabiltiy and Maintenance)
7 Navigation Of Vessel (Applies Only 0 0 0 0 0.0
To Maritime Operations)
8 Emergency Planning and crisis NA 0.0
management
9 Health Management 0 0 0 0 0.0
10 Environmental Management 0 0 0 0 0.0
11 Security Management 0.0
Av. Score 0.0

Element 6 - Implementation and Monitoring

Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 HSSE Performance 0 0 0 0 0.0
2 Incident Investigation, analysis and 0 0 0 0 0.0
training
Av. Score 0.0

Element 7 - Audit and Review

Focus AreaDescription Level 1 Level 2 Level 3 Level 4 Focus Area
Score (0.0-4.0)
1 Audit Plan, Objectives, Scope 0 0 0 0 0.0
and audit team independence
 2 Audit Process, management 0 0 0 0 0.0
review, close out and final
review
Av. Score0.0

Element 8 - Sub-Contractor Management

Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 Sub-Contractor Selection 0 0 0 0 0.0
2 Sub-Contractor Monitoring And 0 0 0 0 0.0
Evaluation Including Day To Day
Interaction During Field Operations

Av. Score 0.0

Element 1 - Leadership and Commitment
Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 Visible Expressions Of Commitment 75 25 80 80 2.6
By Senior People And Involvement In
Hsse Matters

2 Line Management Responsibility – 50 50 75 80 2.6

Empowerment Of Individuals (Duty
And Right To Stop Work And
Intervention)

3 Crew Visits 80 100 100 100 3.8

Av. Score 3.0

Element 2 - HSSE Policies and Strategic Objectives

Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 Content, Dissemination And 100 100 60 30 2.9
Effectiveness Of Hsse Governing
Documents (Policy Statements ,
Standards, Etc)

2 Smart Hsse Objectives Are Set At 75 50 50 0 1.8

Corporate, Country/Location And
Project Level, Data Maintained And
Stewarded

Av. Score 2.3

Element 3 - Organization, Resources, and Documentation

Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 Corporate Structure And 50 50 50 0 1.5
Responsibilities And Manning
2 Hr Management And Recruitment 75 75 75 30 2.6
(Office And Field Personnel),
technical and HSSE training

3 Hsse Competence And Verification, 75 75 25 50 2.3

HSSE Professionals + HSSE Advisor

4 Crew Orientation And Induction 80 80 0 75 2.4

5 Workforce Suggestions And 100 75 75 75 3.3
Improvement
6 HSSE Legislation And Standards 50 50 25 25 1.5
7 Document Control And Records 75 75 50 0 2.0
Av. Score 2.2
Element 4 - Risk management
Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 Risk Management process and 50 50 25 10 1.4
training
2 Risk Reduction/Control Measures 75 60 25 25 1.9
And Implementation
Av. Score 1.6

Element 5 - Planning and Work Management

Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 Planning At The Client/Contractor 25 25 25 25 1.0
And Operational Level For Achieving
Hsse Objectives

2 Basic HSSE Rules, work management 75 75 50 10 2.1

& Procedures For Specialist Critical
Jobs

3 Safety Culture Improvement 25 50 25 10 1.1

4 LOTO and Permit To Work 100 50 50 60 2.6
5 Management Of Change 100 50 50 50 2.5
6 Asset and product integrity 75 75 50 0 2.0
( Reliabiltiy and Maintenance)
7 Navigation Of Vessel (Applies Only 80 30 0 0 1.1
To Maritime Operations)
8 Emergency Planning and crisis 75 60 25 25 1.9
management
9 Health Management 60 60 25 25 1.7
10 Environmental Management NA 0.0
11 Security Management 100 50 0 0 1.5
Av. Score 1.6

Element 6 - Implementation and Monitoring

Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 HSSE Performance 60 60 50 25 2.0
2 Incident Investigation, analysis and 80 80 80 80 3.2
training
Av. Score 2.6

Element 7 - Audit and Review

Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 Audit Plan, Objectives, Scope and 100 100 100 100 4.0
audit team independence
 2 Audit Process, management review, 80 80 50 50 2.6
close out and final review
Av. Score 3.3

Element 8 - Sub-Contractor Management

Focus Area Description Level 1 Level 2 Level 3 Level 4 Focus Area Score
(0.0-4.0)
1 Sub-Contractor Selection 80 50 50 0 1.8
2 Sub-Contractor Monitoring And 50 25 25 25 1.3
Evaluation Including Day To Day
Interaction During Field Operations

Av. Score 1.5