Mais conteúdo relacionado 2. Acknowledgements
IOGPSafetyCommittee.
Photographyusedwithpermissioncourtesyof
BPp.l.c. andMaerskOil- PhotographerMortenLarsen(Front cover)
©mikeuk/iStockphoto(Backcover)
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6. 1. HSEplan
1. WhatisanHSE plan?
AnHSEplan defines whatshould bein placeduring thelife cycleof thecontract
andthestepsrequired tobetaken,bywhomandbywhenin order tomeetclient
andcontractor requirements.
TheHSEplanisanimportantreferencedocumentforthecontractingprocessand
shouldformpartoftheagreementataward.Itmaybeastandalonedocumentor it
maybeincorporatedinabroadercontractplan.Itisadocumentthatresides within
theactivity/projectcontractmanagementsystemdocumentation(which governs
theactivityandthecontract),todemonstratehowtheHSEmanagement system
shouldbeimplementedforthecontractedscopeofwork.
AnHSEplandemonstrateshow:
• thecontractororsubcontractorhasaneffectiveHSE-MSapplicabletothe
specificworkcontractedappropriatetothecomplexityandthephaseofthe
contractexecution
• risks,impactsor threatsrelatedtooccupationalhealthandsafety,
environmentalandsocialresponsibility,processsafety,qualityandsecurity
associatedwiththecontractedworkhavebeenidentified,assessedand
shouldbecontrolledbytheimplementationofcontrolmeasureswhereand
whenrequired
• theresponsibilitiesfortheexecutionandmaintenanceofall controland
recoverymeasuresrelatingtothecontractedworkareassignedtospecific,
namedpersonsthroughoutthelifecycleofthecontract, and
• riskshavebeenevaluatedandmeasurestakentoeliminateorreducethe
riskstoanacceptablelevelthatisAsLowasReasonablyPracticable.
2. DevelopinganHSE plan
1.2.1 Process
Inthetenderpackage(atthestartofPhaseThree,Tenderandaward−referto
IOGP423),theclientrequeststhatatendererprepareanHSEplanappropriatefor
theclient’srequirements,thescopeofwork,contractingmode,risk,etc.Clients
shouldalsooutlinethelevelofdetailintheplanthatisexpectedtobesubmitted as
partofthetender response.
TheHSEplanisthenpreparedbyatendererandreviewedandupdatedtogether
withtheClientinpreparationforcontractaward.Afteraward,auditsorreviews
maybeconductedagainsttheHSEplan.
GuidetopreparingHSEplansandBridging documents 6
7. AnHSEplanshouldcontinuetobereviewedandupdatedthroughoutthecontract
lifecycle,all thewaythroughtoPhase8,Final evaluationandclose-out report.
1.2.2 UsingtheHSEPlan Checklist
AnnexAprovidesanHSEPlanChecklistthatcanbeusedasatoolfordeveloping
anHSEplan.ItisbasedonIOGPReport510,Operating Management System
Framework, whichprovidesastructuredandorganizedframeworkforprocesses
andpractices(e.g.sub-systems,plansandprocedures)thatacompany
implementstomeettheExpectationsoftheOMS.
Thischecklistisdesignedtohelpclientsandcontractorsidentifythetopicsthat
shouldbeincludedintheHSEplan,butthechecklistitselfshouldnotbecome a
partoftheplan.Thechecklistcanalsobeusedwhenconductingauditsand
reviewsofitsimplementation.
Structure of the HSE Plan Checklist available in Annex A
Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
Section 1: Commitment andaccountability
1.1 Managershavespecificresponsibilities
andtheir behaviourssetthe tone
forthecontractorganization.They
fostercommitmenttoHSEissues
throughpositiveleadershipqualities
andbehavioursensuringacultureis
developedandmaintainedtoenable
safe,reliable, responsibleoperations
andcontinuousimprovement.
Aclientcanstartbyfillingthe‘Required?Yes/No’columninthechecklistand
includethatinthetenderpackage(seeIOGP423,section3.1).Atenderercanthen
useittopreparetheinitialHSEplantosubmitwiththeirtenderresponse.During
pre-awardclarifications(seeIOGP423,section3.4),clientandtenderercanwork
throughthechecklisttogetherastheyreviewtheHSEplantoensurethereisa
commonunderstandingofagreedresponsibilities.
GuidetopreparingHSEplansandBridging documents 7
8. Theformat of thechecklistprovidesfor certainHSEmanagementprocessesand
practicestobedevelopedbytheclient or theleadcontractor.Thedecisionbythe
clientor leadcontractor toprovidethesewilltypicallybebasedon:
• thecapabilityassessment,i.e.identificationofgapsbetweentheclient’s
minimumrequirementsanditsevaluationofthematurityofthecontractor’s
HSE-MSandofthecontractor’sHSEcultureinrelationwiththecriticalityof
thework
• thereviewandpre-awardclarificationsoftheHSEplanat tenderstage
• thedegreetowhicheachpartywillbeinvolvedinHSEmanagement,e.g.the
contractmode
• specificHSEmanagementcontrolsexercisedbyclientorcontractor, and
• riskeliminationorreductioncontrol/barriers (prevention,detection,control,
mitigationandemergencyresponse)mutuallyagreeduponbyclientand
contractor asthemeansfor workingtogether inthecontractenvironment.
• needforHSEplanforframeagreementorMasterServiceAgreement(MSA)
oronlycall-offs
HSEmanagementprocessesandpracticesthatarerequired, but not available, will
beidentified in theHSEplan together withspecific actions, target dates and action
parties.
1.2.3Typicallayoutandcontent
AtypicalHSEplancouldincludethefollowingsections:
Section1
Section2
Section3
Section4
Section5
Section6
Section7
Executivesummary
IntroductionandcontractHSEplanobjectives
ScopeofandscheduleofWork/Activity/Project
HSEManagementSystem.Descriptionofhowthemanagement
systemisappliedwithinthecontract,including interfaces,
andshouldbearrangedbasedontheElementsfoundinthe
contractor’smanagementsystem,e.g.thetenElementsoftheIOGP
OMSFramework
RiskManagement(hazardsandeffects)andHSECriticalElements.
Maincontrol measures
EmergencyResponse
PerformanceMonitoring,ReportingandContinuous Improvement.
GuidetopreparingHSEplansandBridging documents 8
9. ContractscopespecificHSErisksinitiallyidentifiedbyclientcanbefurther
assessedbyworkingthroughtheHSEplanchecklistprovidedinAnnexA,and
thesespecificHSErisksthenbeaddressed intheHSEplan.
TheHSEplanshouldnotbeareplicationofthecontentsofthemanagement
system(s)documentationtobeusedforthecontractedscopeofwork.Itshould
describeanddemonstratehowthissystemwillbeimplemented withintheContract
scope.Thefinaldocumentshouldbeasclearandconciseaspossiblesothatitis
utilizedbybothmanagementandthe workforce.
Forexample,themanagementsystemwillprovidetheprocessesandpracticesfor
performing riskassessmentbuttheplanshouldprovidetheprogram/timelinefor
performing theriskassessmenttasksandshoulddocumenttheresultoftherisk
assessmenttasksfortheactivitieswithinthescopeofthecontract,i.e.therisk
registerandtheselectedcontrolmeasures,etc.
Forexample,aftergoingthroughthechecklist,thefollowingmightbehighlighted
assomeofthekeyitemstobeaddressedintheplantoinclude,forasample scope
ofwork:
• descriptionofthescopeandworkplan
• results oftheriskassessmentconductedasperrequirementsformulatedin
selectedHSE-MS
• applicablecontrolsandprocedures etc.
• identifiedstakeholdersandwhatwillbedonetomanagethese
• recruitmentandjobinductiontraining processes
• logistics,supplychain,transportmodesandroutes
• meetingschedules
• inspectionschedules
• KPIsforthe scope
• reportingprocess(daily,weekly,monthly)
• wastemanagement
• grievanceprocedure.
GuidetopreparingHSEplansandBridging documents 9
10. 2. Bridgingdocument
2.1 WhatisaBridgingdocument?
Bridging documentsare neededwhenall or part of thescopeof workis to
beperformed byusing thecontractor’sOMS,onthebasisthatit meetsthe
requirementsoftheclient’sOMS.Bridgingbetweenclientandcontractor
managementsystemsisnormallyonlyrequiredforMode2and3contracting,
althoughsomeformofinterfacedocumentmayberequiredforMode1contracting.
Thebenefitofthisapproachistoallowthecontractor’sstafftofollowtheir
owncompanyOMSandassociatedprocessesandpracticeswithouthavingto
changetheirapproachtoworkwithcontractchanges.
2.2 DevelopingaBridgingdocument
ABridgingdocumentshouldbedevelopedinthree steps.
Step 1 – DuringPhaseThree:Tenderandaward
Whenaclientrequiresaninterfaceand/or bridging document,theinstruction to
prepareoneshouldinthetenderpackagetogetherwithatemplatetheHSE
interface document. Thisistobecompletedbythecontractorandincludedin the
tendersubmission.Thetemplatecanbetheclient’sOMSElementsandthe
expectationsassociatedtoeachindividualElementbasedonHSEplanchecklist
relevantforthescope.TheContractorwoulduseittodocumenthowitsownOMS
anditsapplicationtotheworkwillmeettheclient’sexpectations.
TheHSEinterfaceinformation should providealist of thecontractor’s specificHSE
policies, processes and practices that the contractor proposes tofollow during the
workactivity.
TheclientshouldreviewtheHSEinterfacedocumentinorder toassessthe
adequacyofthecontractorproposal.Itmightbenecessaryfortheclienttorefer
backtotheearlierHSEcapabilityassessment activity.
Step 2 – Aftertheawardof contract– atthepre-mobilizationand
mobilizationphases
AtPhaseFour,Pre-mobilization, theinterfaceinformationprovidedshouldbe
reviewedforcompletenessbyboththeselectedcontractorandtheclient.The
primacyofthecontractor’sandsubcontractor’sapprovedproceduresand/or client
procedures shouldbedefined bytheclienttakingintoconsiderationthetotalityof
GuidetopreparingHSEplansandBridging documents 10
11. identifiedactivitiesandtoavoidjointresponsibilities.Thiswillhappeninparallelto
finalizingtheHSE plan.
Onceagreed,theinterfacedocumentwouldbeknownastheHSE bridging
document andmaybecomepartoftheHSEplan.TheHSEbridgingdocument
shouldbejointlysignedandbecomespartoftheagreedformalcontractual
documentation(Section5oftheHSEplan,asdescribedinReport423-02).
Table1illustrates apossibleformatforHSEbridging documentswhich,
inaddition,willneedaversioncontrolandapproval facility.
Table 1. Bridging documenttemplate
Client
requirements
Client
reference
document/
section
Contractor
reference
document/
section
Gaps to be
bridged
Document
primacy
Comments
2.1 HSE
leadership
2.1.1
Client HSE
leadersh
ip policy
001.1
Contract
or QHSE
Policy
None Contractor None
001.2
Contract
or QHSE
Practice
None Contractor None
0012.2
Contractor
Leaders
hip
inspection
guide
None Contractor None
001.2.3
Contractor
Leaders
hip
inspection
protocol
Contractor
document
needstodefine
managementof
observednon-
conformances
Contractor None
2.2Management
System
2.3 Risk
Assessments
2.4 Plant,
Equipment,tools
& materials
2.5Personal
safety
GuidetopreparingHSEplansandBridging documents 11
12. Step 3 – Duringtheexecutionof thecontract
Anychangetothescopeofworkarisingduringtheexecutionoftheworkshould
bereviewedtoensurethatitiscoveredbytheagreedHSEbridging document.
Changestoagreedbridging arrangementsshouldbepartofaformal MoC.
Inthecaseofcomplexcontracthierarchy,itispossibleforbridgingdocuments
tobedevelopedatdifferentlevels.Forexample,forglobalcontractsitis
possibleforahighlevelglobalHSEbridgingapproachtobedefinedandfor
location/work-specificdetailedHSEbridgingdocumentstobedeveloped (often
termed“local call-offs”).
GuidetopreparingHSEplansandBridging documents 12
13. AnnexA– HSEPlanChecklist
ThefollowinggenericchecklistcanbeappliedbyclientsinMode1or the
contractoroperatinginMode2or 3.
Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
Section 1: Commitment andaccountability
1.1 Managershavespecificresponsibilitiesandtheir behaviourssetthe
toneforthecontractorganization.TheyfostercommitmenttoHSE
issuesthroughpositiveleadershipqualitiesandbehavioursensuring
acultureisdevelopedandmaintainedtoenablesafe,reliable,
responsibleoperationsandcontinuous improvement.
1.2 Theworkforceiscommittedtoperformingactivitiesinaccordance
withcompanypolicies,standardsandobjectives,andincompliance
withexternal requirements.
1.3 Accountabilitiesareclearlydefinedandalignedwithjob
responsibilities,authoritylevelsandperformanceobjectives.
1.4 Activemanagementparticipation intheHSEplan, follow-up of
activities,includingworksitevisits,participation inaudits,event/
incidentinvestigationsandmanagement reviews.
1.5 Communicationandengagementmechanismsareestablished and
sustainedtoensure clearandconsistentreinforcementofHSE
performanceforthecontract.Responsibilityisassignedforprompt,
appropriateandengagingcommunicationtothoseinvolvedin
deliveringHSE performance.
1.6 Actionstoaddressgapsincontractorganizationalleadershipor
accountabilityidentifiedthroughauditfindingsandevent/incident
investigation.
1.7 TheHSEplanwithassociatedHSE-MS andcontractspecific
proceduresisinplaceacrossthecontractorganization,withpriorities
established,authoritiesandaccountabilitiesassigned,andresources
allocated.
1.8 Contractresponsibleshouldbeaccountablefor theoversightand
coordinationofactivitieswithinthescopeoftheHSEplan. They
shouldalsobeaccountableformonitoringeffectiveness.
Section 2: Policies, standards andobjectives
2.1 Contractorhasstandardsthatmakereferencetotheimportance
ofHSErisk-based managementandcommitment.They establish
risk-based requirements,includingthecommitmenttocomplywith
applicableregulatory,clientor other requirements.
2.2 Standardsandobjectivesareauthorizedbythehighestlevelof
management/organizationappropriate tothe contract.
GuidetopreparingHSEplansandBridging documents 13
14. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
2.3 Standards and objectives are established tomanagespecific projects,
contract operating activities and local issues, and are consistent with
thoseofcompanylevelasrequired.
2.4 Wheredifferententitiesoperateonthesamefacilities(includingjoint
venturepartnerships), Standardsandobjectivesareharmonizedto
ensureaconsistentmessageandapplication.
2.5 Deviations from standards andobjectives are reviewed,subject to
deviation/exemption process, and documented and approved bya
competentauthorityforthe contract.
2.6 ThecontractHSEplanistheprimereferencefor all applicable
standardsrelatingtothe contract.
2.7 HSEstandardsidentifyminimumcriteriafor achievementofcontract
objectives.
2.8 Standardsandobjectivesaredefined,documentedand
communicatedacrosscontractorganizationlevels(including
subcontractors)toaddressapplicableaspectsofcontractactivities
throughouttheir life cycle.
2.9 HSEPolicies,standardsandobjectivesaremadeavailableand
understandabletoall contractpersonnelandsubcontractors.
2.10 Programmes,initiativesor campaignsdevelopedatanappropriate
levelofthecontracttomeetshortandlong-term objectives.
Theyshouldhaveclearresponsibilitiesandtimelines,andhave
measureablesuccesscriteria. Programmesshouldstress
communication,inanappropriatelanguage,andaccessibilityof
HSEPolicies,standardsandobjectivestotheworkforceincluding
subcontractors.
2.11 ConfirmationthatHSEPolicies,standardsandobjectiveshave
beenreviewedonschedulebyacompetentauthority,subjectto
managementofchange(MoC),withchangesdocumentedand
approved.
2.12 ProcessestogatherandconsolidatefeedbackonHSEPolicies,
standardsandobjectivesapplicabilityandeffectiveness,identifying
shortfalls againstcontractexpectations.Feedback(whether
attributedor anonymous)canbefromtheworkforcetocontract
responsible.
2.13 Documentationtoclearlydemonstratethatapproveddeviationsand
exemptionsfromHSEPolicies,standardsandobjectivesareregularly
risk-assessedandreviewed
2.14 Documentationandregular reviewofacomplianceregister(or
equivalent)ofapplicableregulatoryandotherrequirementsrelative
tothe contract.
2.15 ThecontractHSEplanindicatesminimumobjectivesforhealth,
safety,environment,securityandsocialresponsibility.
2.16 Objectivesincludemeasureablesuccesscriteriabasedoncontinuous
improvement;maintainingstandards;or compliancewithpolicy,
regulatoryor other requirements.
GuidetopreparingHSEplansandBridging documents 14
15. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
Section 3: Organization, resources andcapability
3.1 Documentedcontractorganizationwithdefinedresponsibilities,
accountabilitiesandauthoritiestoeffectivelyimplementtheHSEplan
andensurecompliancewithlegal, clientandotherrequirements
relativetocontractandcontractlife cycle.
3.2 TheHSEorganization chart toclearly showthe current relationship
between functions, activities and individuals (job titles and roles). A
systemshouldalsobeinplacesothisdataiscontinuallyupdated.
3.3 Workforcestrategyis defined.
3.4 Managementofchange(MoC)processinplacetoassess,mitigate and
reviewactualandpotentialrisks,aswellasimpactsonoperating
activitiesincaseoforganizationalor significantchangestoany aspect
oftheoperationduring contractlife cycle.
3.5 Aregularlyupdatedplan– includingactionstosupportmanagement
ofchange(MoC)– shouldbeestablishedtoensurepeopleinidentified
criticalrolescanbereplacediftheyretire,transferor leavetheirrole.
Similarplansshouldbeestablishedbysuppliersandcontractors.
3.6 Acompetenceassuranceprocessexiststoscreen,select,trainand
conductongoingassessmentofthequalifications,fitness-for-task,
enablingbehaviours,andsupervisoryneedsandabilitiesofthe
workforcetomeetspecifiedjobrequirements.
3.7 Thecontractorganizationhasmechanismsandprogrammesforjoint
participationandmanagementconsultationwithintheworkforce,
includingsafetydelegateserviceor ombundsmanasperlegal
requirement.
Thissupportsinvolvementinareasincludingplanning,risk
assessmentandcontrol,HSEperformance,continuousimprovement
andmanagementofchange (MoC).
3.8 Workforcerepresentationondevelopmentofpolicies,standardsand
objectivesrelativetocontractandcontractlife cycle.
3.9 Involving and supporting contractors whoarepart oftheworkforce,
aswell as suppliers of goodsand/or services, again both inside the
companyorexternal.
3.10 Efficientandtimelytrainingprogrammes,withperiodicreview to
meetcontractHSEobjectivesandapplicablelegalor other HSE
requirementsareinplaceforcontractpersonnel(including
contractedpersonnel)such as:
• managersatall levelswhowillplan, monitor,overseeand
carryouttheworkincludingdevelopmentofmanagementand
communicationskills
• supervisorsatall levelswhowillplan, monitor,overseeandcarry
outthe work
• HSEspecialists.Theyareverifiedtobecompetentintheirallocated
roles.HSEcriticalteams(fire,firstaid,Medevac)aregivenspecific
trainingforthelikelysituationstheymayencounterduringthe contract
• HSEstaff
• employees.
GuidetopreparingHSEplansandBridging documents 15
16. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
3.11 HSEtraining includes:
A.knowledgeofbasicindustrial HSEmanagementandrules;
security;socialresponsibility;emergencyarrangements;
transport; firstaid;workproceduresPTW,JSA;hazard
awareness;stopworkauthoritySTOP;legislative requirements
B.incidentreporting,investigationandauditas appropriate
C.thecorrectuseofPPEandotherprotective equipment
D.instructionsandinformationonanyspecificrisk factorsandrisks
arisingoutofthenature ofthecontractedactivities
E.anorientationforall personnel,especiallyfornewrecruitsand
visitorstothework site.
3.12 HSEtrainingiscontinuouslyassessedforeffectiveness,employee
feedbackis used.
3.13 ToolstoidentifyandaccessHSEspecificresources,skillsand
knowledgeareinplaceforlargeor complexorganizationsbasedin
multiplelocations.
3.14 Competenciesrequiredfortheindividualrolesandjobswithin the
contractteamsareclearly defined, includingspecificcontract
requirementsappropriatefortheworktobeconducted.Recordsare
maintainedofall trainingandorientation provided.
3.15 Measuresareinplacetoreviewindividual’sor contractteam’s
capabilityandaddresstemporaryanygaps.
3.16 Managersprovidesupporttoensuretimeandresourcesareavailable
forHSEtraining.
3.17 Systemisinplacetoallocateappropriateandsufficientinternal and
externalresourcestomeetcontractHSEobjectives.
3.18 Asuitablecontractormanagementprocessor systemusedfor
subcontractorassessment,interfacingtomeetcontractor’sand
client’srequirements.Subcontractorsperformanceisusedtoassess
HSEcapabilityofsubcontractors.Subcontractorlist maintained.
3.19 HSEcapabilityandcapacityofthecontract’slabour force,suppliers
andcontractorshasbeenassessedanddocumented.Contractor
maintainsarecordofsubcontractors’performance.
3.20 Plansfor peopleidentification ofcontractHSEcriticalrolesandhow
theycanbereplacedif theyretire,transferor leavetheir rolefor
otherreasonsamongstsuppliersandcontractorsis established.
3.21 HSEspecifictraining,toolsandinitiativestoimprovetherisk
awarenessandperformanceofsuppliersandcontractorswho
providegoodsandservicesrelativetothecontractareprovided.
3.22 HSEtrainingofmanagersandworkersresponsibleforcontracting
activitiesandoversightofcontractorsisprovided.
3.23 Interfacesandotherbridgingmechanismsforcontractactivities
involvingmultiplepartiesusingdifferentmanagementsystemsare
agreedupon.TheHSEplanidentifiesandshowsthatSubcontractors
arewellintegratedintothe contract.
GuidetopreparingHSEplansandBridging documents 16
17. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
3.24 Alignmentandrelevantgaps(includingroles,responsibilities and
actions)inthedifferentmanagementsystemsofthecontract
participantshavebeenidentifiedanddocumented.
Section 4: Stakeholders andcustomers
4.1 Stakeholders,includinglocalcommunities,areidentifiedand
relationshipsrelevantforcontractactivitiesareestablished.
4.2 Stakeholdermappingestablishedincludingsignificantstakeholder
groups;partners,employees,suppliers, localcommunities,
regulators,non-governmentalorganizationsandtrade associations.
4.3 Stakeholder mapping provided as astarting point for communication,
activeengagement, actions, planning and regular reviewwithrelation
tocontract activities.
4.4 Localcommunityengagementplansestablishedincluding:
A.inclusionofdiverseandvulnerablegroupsandsub-groups inthe
community
B.earlycommunicationandresponsetoassessmentand mitigation
ofpotentialrisks,impactsor threatsrelatedtosafety,
environmental,health,socialor security issues
C.confirmationofcompliancewithstakeholderrequirementswhere
appropriate
D. documentation of commitments and agreed actions, including
partnerships, local content and other sustainable development
andcommunityrelations initiatives
E.awarenessofemergencyandpreparednessplanningsoif there is
anincident,all necessaryactionsprotectcompanypeopleand
assets,thecommunityandtheenvironment
F.monitoringandfollow-up throughoutthelifecycleofcontract
activities
G.accessiblemechanismstoregistercomplaintsandresolve
conflictsor grievances.
4.5 Processesareinplacetoassess,manageandengagewith
customersandotherstakeholdersregardinglifecyclerisksand
opportunitiesassociatedwiththecontract’sproductsandactivities.
Thisincludescompliancewithregulatoryrequirements.
4.6 HSEriskmanagementintegratedintocontractactivities,
i.e.incorporationofspecifichealth,safetyandenvironment(HSE),
socialresponsibility andsecuritycriteria,suchas:
A.processestoensureregulatorycomplianceas appropriate
B.communicationofrisksassociatedwiththeservicesprovidedor
withtheproduct,includingitsforeseeablemisuse
C.awaytodealwithnon-conformitiesandcomplaints.
GuidetopreparingHSEplansandBridging documents 17
18. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
4.7 Sourcesofinternal andexternalHSEexpertiseestablishedtoprovide
supportforcontractrelevantproductsprovidedthroughcompany’s
valuechain,particularlyintheareasof:
A.handlingandtransportofrawmaterials,intermediatesandfinal
products
B.wastemanagement—handling,disposalandrecyclingof
materials
C.health,safetyandenvironment(HSE)hazardmitigationof
materials,includingacuteandchronictoxicityandenvironmental
effectsof substances
D.cumulativerisk considerationduring theproductlife cycle
E.compliancewithproductandchemicalregulationsincountries
andregionswheretheproductsare supplied
F.productinformation,includinglabelling andsafetydatasheets
(SDS)
G.Qualityassuranceandcontrol (QA/QC)ofthecontract’sproducts.
4.8 Positiverelationshipsareestablishedwithstakeholdersandclient.
Activetwo-waycommunicationandengagement,seekingfeedback
onperformanceandresponsivenesstotheir needsatanypointinthe
contractlife cycle,includingappropriateemergencyresponse.
Section 5: Risk assessment andcontrol
5.1 ProcessesandmethodsareinplacetomanageHSEriskstoan
acceptablelevelforthescopeofcontractedactivitiesincluding:
A.Managingrisk anddeterminingriskacceptabilityisinalignment
withclientexpectationsand requirements
B.Preferred methodsforundertakingrisk assessments
C.Linksbetweenthecontractorganization’sobjectivesandpolicies,
andtherisk management process
D.AccountabilitiesandresponsibilitiesformanagingcontractHSE
risk
E.Dealingwithconflicting interests
F.Committingappropriateresourcestosupportthoseaccountable
andresponsibleformanagingHSE risk
G.Thewayrisk managementperformancewillbemeasuredand
reported
H.Commitmenttoreviewandimproveriskmanagementand
associatedprocessesperiodically,andinresponsetoaneventor
changein circumstances.
5.2 Hazards,effects,impacts,threatsandothervulnerabilitieshave
beenidentified.Assessmentof theassociatedcontractHSErisksto
determinesignificantriskshavebeendocumentedincluding;effective
controls/barrierstoeliminateor reducerisks,topreventescalation,
mitigateconsequencesandfacilitaterecoverytobeimplementedwith
respecttoeach risk.
GuidetopreparingHSEplansandBridging documents 18
19. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
5.3 Contractorensurenocontractedoperationisperformedwithouta
specificrisk assessment.
5.4 Contractormonitorall controlandmitigationmeasuresareinplace
beforeperforminganycontractedoperation.
5.5 Contractormanagechangesandassessassociatedrisks,e.g.
temporary/permanentchangesthataffectthecontractorganization,
activities,assets,operations,products,plansor procedures.
5.6 Vulnerabilities andnon-conformitiesarerecognized,including
deviationsfromcontractoperatingproceduresor weaksignalsthat
provideindicationsofpotentiallyincreasingHSErisk.
5.7 Learning from incidents, events,non-conformities and goodpractices
from internal and externalsources are incorporated into contract risk
assessments.
5.8 Riskcontrolandregulatorycomplianceplansnecessarytomanage
‘normal’ contractconditions, should:
A.includeresponsestoissuesincludinghealth,safetyand
environment(HSE),communityengagement,environmental
discharge,biodiversityandwastemanagement
B.Befit forpurposeforthecontractneed,theorganizational
complexity/autonomy,andthespecificcontextandregulatory
frameworkinwhichthecontractoperationsare located.
Sub-section 5A: Health - Risk assessment and control
5.9 Addressrisksrelatedtoill healthincluding;effectivecontrols/
barrierstoeliminateor reducerisks,topreventescalation,mitigate
consequencesandfacilitaterecoverytobeimplementedwithrespect
toeachrisk aredocumented.Thesehavebeencommunicatedto
contractpersonnel.
5.10 AHealthManagementPlan hasbeenestablished,if relevant,forthe
contract(partofHSEplan) including:
A.HealthRiskAssessment
B.IndustrialHygieneandErgonomics
C.MedicalEmergencyManagement
D.ManagementofIllness
E.FitnessforWorkAssessmentandHealthSurveillance
F.HealthImpactAssessment
G.HealthReportingandRecordManagement
H.HealthPromotion.
GuidetopreparingHSEplansandBridging documents 19
20. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
Sub-section 5B: Safety – Risk assessment and control
5.11 Safetyrisksincluding;effectivecontrols/barriers toeliminateor
reducerisks,topreventescalation,mitigateconsequencesand
facilitaterecoverytobeimplementedwithrespecttoeachriskare
documented.Thesehavebeencommunicatedtocontractpersonnel.
5.12 ASafetyManagementPlan hasbeenestablished,if relevant,forthe
contract(partofHSEplan) including:
A.implementationofrisk reductionmeasuresaccordingtotheAs
LowasReasonablePracticable(ALARP)principle
B. HSE best practices used in contract so that construction, testing,
installation, maintenanceandnormal production activities canbe
carriedoutinasafemanner.
5.13 DocumentationofContractor’sownconstructionfeasibilitystudies
andofparticipationbycontractmanagementandemployees,safety
delegateor ombudsman
5.14 Reviewofconstructabilityanalysis,if relevant,toensurethatthe
designofthecontractobjectpromotesasatisfactoryHSEstandard
during construction,in particular:
A.Accessibilitywithrespecttoinstallation,liftingand cutting
B.Arrangement andinstallationsequencewithregardtolifting
capacities,access,ergonomics,etc.
C.Productionmethodsandaccessfor welding,grinding, shot
blasting,surfacetreatmentand cleaning
D.Selectionandhandlingofmaterialsand equipment
E.Selection,handlinganduseof chemicals
F.Selectionofmethod,toolsandproductionequipmentetc.bearing
inmindnoise,dust,temperature, pollution, vibration,weightand
otherphysical/chemical strains
G.Possibilityofusingfixedinstallations,eg.forlifting,access,
ventilationandlightingintheconstruction phase
H.Planandarrangefor temporaryequipment/supportsystems, such
asaccess,ventilation,lighting, heating,water,production gases,
air,electricity,wastehandling,firefighting andothersafety
equipment,storagespace, etc.
5.15 Planningandimplementationofidentifiedconstructionfeasibility
analysis’compensatorymeasuresbeforeconstructionactivities
commence
GuidetopreparingHSEplansandBridging documents 20
21. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
5.16 PPEsystemensuring:
• theidentificationofstatutoryPPErequirementsassociatedwith
assessedrisks
• theassessmentoftheneedfor PPE anditssuitability
• procedurestorecordtheissueofPPEandafollowupsystemof
inspectionandreplacement/recertification
• procedurestocheckthatPPEstorageisadequateandsecureand
thatstockismaintainedasnecessary
• procedurestocheckthatPPEisissuedandused correctly.
• aschedulewithdefinedcriteriafor PPE renewal/replacement
• aprocedureforre-certification ofPPEasappropriateand
necessary.
5.17 Allprotectiveandrescueequipmentthatisprovidedisfit for purpose.
5.18 Droppedobjectmanagementforconstructionandinstallation
activitiesensuring:
• preventionofdropped objects
• riskassessmentperformanceinpreparationforoperations(work
atheight/oversea,crane/lifting,wind/weatherconditions,testing)
• useintegrated solutions/barriers
• useofbest/recommended practice
• equipmentdesignedtowithstandtheenvironment
• safeworkingconditionsandmaintenanceaccess
• adequateinspectionsonworksitesofpermanentandtemporary
equipmentatheight
• droppedobjectprotection plan.
5.19 Aroadtransportjourneymanagementplanisinplace,which includes
theauthorizationofdifferenttypesofjourneys,therolesand
responsibilitiesofindividuals,andcoverstherecoveryintheeventof a
problem.
5.20 Foroperationsthattakeplaceinvariableweatherandenvironmental
conditions,atableofacceptableconditionsisestablished,alsoknown
asaManual,or Matrix,ofPermittedOperations(MoPO),outsideof
whichoperationsmaynottakeplace.
Sub-section 5C: Environmental– Risk assessment and control
5.21 Risksrelatedtolocalandglobalenvironmentalimpactincluding;
effectivecontrols/barrierstoeliminateor reducerisks,toprevent
escalation,mitigateconsequencesandfacilitaterecoverytobe
implementedwithrespecttoeachrisk aredocumented.Thesehave
beencommunicatedtocontract personnel.
GuidetopreparingHSEplansandBridging documents 21
22. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
5.22 AnEnvironmentManagementPlanhasbeenestablished,if relevant,
forthecontract(partofHSEplan)including:
A.implementationofrisk reductionmeasuresaccordingtotheBest
AvailableTechniques(BAT)andBestEnvironmentalPractice(BEP)
B.BestAvailableTechniques(BAT)usedinContractsothat
construction,testing,installation,maintenanceandnormal
productionactivitiescanbecarriedoutinanenvironmentally
friendlymanner
C.emissionandspill management
D.use/substitution/discharge ofchemicalsandchemical
compositioninimportedmaterialsand substances
E.radiation
F.energyefficiency(carbon footprint)
G.wastemanagement
H.transportofdangerousgoods.
Sub-section 5D: Security – Risk assessment and control
5.23 Risksandthreatsrelatedtosecurityofpeople,assets,information
andreputationincluding;effectivecontrols/barrierstoeliminate or
reducerisks,topreventescalation,mitigateconsequencesand
facilitaterecoverytobeimplementedwithrespecttoeachrisk are
documented.Thesehavebeencommunicatedtocontractpersonnel.
5.24 ASecurityManagementPlan hasbeenestablished,if relevant,forthe
contract(partofHSEplan) including:
A.compliancewiththeVoluntaryPrinciplesonSecurityandHuman
Rights(VPSHR)
B.legislationandlocalexpectation
C.capabilityandintentoflocalcriminal/terrorist elements
D.vulnerabilityandattractivenessofcontractassetstocriminal/
terrorist elements
E.physicalprotectionmeasures
F.informationprotectionmeasures
G.personalprotectionmeasures.
5.25 Amemorandumofunderstandingonsecurityco-operationhas
beenagreedwiththehostauthoritiesinordertodescribethe
arrangementsandresponsibilitiesformanaging security.
Sub-section 5E: Social Responsibility – Risk assessment and control
5.26 Risksrelatedtosocialimpact(socialresponsibility toemployees,the
localcommunityandotherstakeholders)including;effectivecontrols/
barrierstoeliminateor reducerisks,topreventescalation,mitigate
consequencesandfacilitaterecoverytobeimplementedwithrespect
toeachrisk aredocumented.Thesehavebeencommunicatedto
contractpersonnel.
GuidetopreparingHSEplansandBridging documents 22
23. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
5.27 ASocialresponsibility ManagementPlanhasbeenestablished,if
relevant,for thecontract(partofHSEplan)including:
A.socialaspects,people’slivelihoods,accesstoresourcesor land
B.resettlementofindigenouspeople,or lossoflivelihood,if
applicable,inline withstakeholderandcommunityexpectations
C.consultationwith,andprovisionofinformationto,affected
communitiesbycontractactivities,recognizingthelimitations
withinthehostcountry(language,culture,educationallevels,
povertylevels,gender restrictions)
D.preventionofhumanrights violations.
Section 6: Asset design andintegrity
6.1 Baselineinformationandresultsofrisk assessmentsareusedas
inputtolocation,designor selectiondecisionsforcontractactivities.
6.2 Criteria, specificationsandstandardsforthedesign,construction/
selection,commissioning,modificationanddecommissioningof
contractassociatedfacilities,equipmentandmaterialsaredefinedto
addressrisksandverifyconformitythroughout their life cycle.
6.3 Procedurestoensurefacilitiesand/orequipmentareoperatedwithin
defineddesignandoperatinglimits atall timesareestablished,
maintainedandcommunicatetocontractpersonnelwhooperate,
maintain,inspectandmanage them.
6.4 ProcessesareinplacetoidentifyandmanageHSEcriticalrisk
controls/ barrierstopreventamajorincident.
6.5 Processestomaintain,replace,test,inspect,calibrate,certifyand
verifyperformanceofcontractassociatedfacilitiesandequipmentto
ensuresafeoperations.Theseactivitiesareperformedatfrequencies
appropriatetothelevelofrisk,anddeviationsfromspecifiedcriteria
aremanaged.
6.6 AnaccessibleregisterofcontractassociatedHSEcriticalfacilitiesor
equipmentandtheir minimumperformancecriteria including:
A.anylong-term effectsthatmightdegradeintegrity,andthe
expectedrateofdegradationofstatic equipment
B.inspectionintervalsandacceptancecriteria
C.identificationofthetechnicalauthorityresponsibleforestablishing
theperformancecriteriaforthefacility,componentor equipment
D.processengineeringflowschemes/processandinstrumentation
diagrams
E.safetyalarmsdocumentationshowing thebasisforoperation
F.plotplans
G.hazardousareas classification
H.Eachindividualpieceofequipmentisuniquelyidentified,and
referencedtotheappropriate standard
I.Whererequiredtheclassification,licensingauthority,test
certificatesareclearly identified
GuidetopreparingHSEplansandBridging documents 23
24. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
6.7 Wheretradesmenprovidetheir ownequipmentaspartofa
contracted-insituation,thensuchequipmentisincludedin
assessmentandinspection,toassuretheycomplywithcontract
specifications.
Section 7: Plans andprocedures
7.1 Plansandproceduresrelevanttocontractactivitiesareestablished,
documentedandmaintainedinaccordancewithidentifiedlegal
andotherrequirementsinline withtherisk leveldefinedby the
organizationandtherequiredriskcontrols.Proceduresare
consistentwithclientrequirementsandcover;health;safety;
environment;securityandsocial responsibility.
7.2 HSEcriticalactivityproceduresareavailableandshould:
A.provideclearguidanceonhowtoperformtherelatedtaskssafely
andreliably
B.ensurethateachstephasbeencarriedoutandoftenincludea
checklistof actions
C.bedevelopedbyspecialists.Thesearecontrolled documents
D.ensureanydeviationfromthemrequiresMoC.Arecordis
maintainedofall deviationsauthorized
7.3 Workinstructionsrelevantforcontractactivitiesareavailabletoall
employeesincludingSubcontractorsand include:
A.simple,clearandoftenbrief documenteddirectionsonhowatask is
conductedbyindividualsor teamsatworkplace level
B.issuedinaccordancewiththerisk controlswithindefinedplans
andprocedures,whichtypicallyaddressactivitiesinvolving
manytasks
C.availableinemployee’sownlanguageand/orcommunicated
verballyandbesupportedbywrittendirectionstoatrainedand
competentmemberofthe workforce
D.specifyingmonitoringrequirementsandtheneedforprotective
measuresor other controls.
7.4 ContractspecificHSEplansandprocedures,includingrevisions,are
subjecttoapprovalatanappropriate levelofauthority.
7.5 Contract specific HSEplans and procedures are supported
byguidance and training as appropriate to enable effective
implementationbycompetentresources.
7.6 Processesareinplacetoensurethelatestversionofanapproved
contractspecificHSEplanor procedureisavailableatpointofuse.
7.7 HSEplanincludes,or makereferenceto,acontractorledverification
planasperIOGP 423.
GuidetopreparingHSEplansandBridging documents 24
25. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
7.8 Anemergencypreparednessandresponseplan(ERP)hasbeen
established,if relevant,forthecontract(partofHSEplan)including
proceduresfor:
A.personnelrefuge,evacuation,rescueandmedical treatment
B.prevention,mitigationandmonitoringofenvironmentaleffectsof
emergencyresponse
C.communicationwithauthorities,relativesandotherrelevant
parties
D.mobilizationofcompanyequipment,facilitiesandpersonnel,as
wellasthirdparty resources
E.oilspill response
F.evacuationfromcountry/region,i.e.evacuationarrangements
whicharecommensuratewiththein-country risk andwhich
recognisethelogisticaldifficultiesofthelocusofoperation,
particularlywherethismightbearemotelocationinadifficult
country.
7.9 Effectivetraining,practicedrills, emergencyequipmentmaintenance
andcontinuousimprovementin place.
7.10 Sufficientresourcesandresponseequipment,aswellasthemeans to
communicatewithall affectedstakeholdersif anincidentoccursin
place.
7.11 Abusiness continuity plan (BCP) complementing ERP for provision
of effective prevention, necessary redundancy, and recovery for the
contract organization, while maintaining systemintegrity and value
chaincommercialactivitiesrelativetothecontract.
7.12 BCP describing: Howphysicaland human resourceswill bedeployed
during and following athreat such asasecurity incident, information
technologyfailure or diseaseepidemic.
7.13 Clearidentification ofclient,contractorandthirdparties’roleand
responsibilitiesincontingency,emergency,crisisandcontinuity
managementsituationsapplicableforthe contract.
7.14 Anappropriatelymannedresponsecentreissetuptoco-ordinate
contingency,emergency,crisisandcontinuitymanagement
responses.
7.15 Allpersonnelaremadeawareofcontractcontingency,emergency,
crisisandcontinuitymanagementproceduresandtheir individual
rolesandresponsibilitiesinthedifferentsituations.Instructionsare
availableandunderstoodin thelanguageoftheindividuals.
GuidetopreparingHSEplansandBridging documents 25
26. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
Section 8: Execution ofactivities
8.1 Processes are in placetoprepare for contractactivitiesand ensure
operational readiness and integrity of systems before commencing
work,andtoconfirminterfaces/handoversareestablished:
A.‘tool-boxtalks’andjobsafetyanalysis (JSA)
B.last-minuteriskassessmentor personaltaskrisk assessment
C.observationandinterventionbysupervisors(e.g.aspartofthe
verificationplan activities)
D. behaviour based safety (BBS) tools to reinforce positive actions
and consolidate information for analysis and organization-wide
learning
E.operationalreadinessreviews(ORRs)documentingintentions,
rolesandresponsibilities;whereandwhenreadinessactivities
shouldbecarriedout;technicalissuesthatshouldbeaddressed;
andthenecessarytechnicalexpertiseofpersonnel
F.Pre-start-up reviewsubsetofORRtoensurehealth,safetyand
environment(HSE)andotherrelevantmeasuresareinplaceand
workingasper design
G.Permittoworksystem(PTW)forhighrisk activitieswithpotential
health,safetyandenvironment(HSE)consequencesalsotaking
accountof‘simultaneousoperations’.Thepermitdetailsthework
tobedoneandthecontrolsandotherprecautionarymeasuresto
beapplied.AnyMoC,if applicable,isreferencedtoPTWandLOTO
requirementsduring maintenanceworkandperiodsoftemporary
change
H.fatiguemanagementtakingintoaccounttheinfluenceof
circumstancesoutsideofwork,shiftrotationsandworking
conditions
I.fitnesstoworkidentifying,assessingandmanagingrisks
associatedwithtasksthatplacespecificphysicalor psychological
demandsoncontract employees.
8.2 Processesareconsistentlyappliedtoensurecontractactivitiesand
tasksareexecutedasprepared.
8.3 Suitableandsufficientsupervisionexiststoconfirmeachcontract
activityand/or taskisexecutedincompliancewiththeplansand
proceduresanddeliverstheexpectedoutcome.
8.4 Astopworkauthoritycultureandprocesswherebyitisclearly
everyone’sdutytostopworkduring acontractactivityintheevent of
anunsafeconditionor actthatcouldaffectpersonneland/or the
environmentismaintained.Contractpersonnelareempoweredto
stopajobuntiltheproblemis corrected.
8.5 Feedbackonperformanceandbehaviourissoughtandactedupon
forcontractactivities.Goodperformanceandpositivebehavioursare
recognized,reinforcedandrewarded.Processesinplacetomanage
inadequateperformanceor unacceptablebehaviour.
GuidetopreparingHSEplansandBridging documents 26
27. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
Section 9: Monitoring, reportingand learning
9.1 Processesareinplacetomonitor,measure,check,validateand record
characteristicsofcontractoperations,productsandHSEplan (and
verificationplanif separatedocument)toensureimplementation and
compliancewiththeHSE-MS andachievementofitsobjectives. These
include:
A.learningfromincidents,eventsandnon-conformitiesfromboth
internal andexternal sources
B.implementationofappropriateremedialactions(withapplication
ofMoCasappropriate) toaddresseventcauses,strengthenrisk
controls/barriersandprevent recurrence
C.checkingofclosureofactionsor plans.
9.2 HSEplanincludesmonitoring of:
A.numberofstakeholdergrievancesreceivedforcontractand
closureofactionstoaddressconcerns(e.g.concernsoflocal
communities)
B.Contractrelatedoverdueinspectionandmaintenance,and
unscheduleddowntime
C.statusofcontractcriticalrisk controls/barriersthatpreventmajor
incidents
D.activities(exercises,drills, responsetimes)relatedtocontract
emergencyresponse,crisisplanningandbusinesscontinuity
E.conformitywithcontractworkcontrols(e.g.jobplanning,permit
towork,work authorization)
F. frequencyandresults ofcontractobservationsofworktasks
G.timelyclosureofcontractfollow-up actionsidentifiedthrough
workcontrolmonitoringor task observations
H.contractHSE-MSprocessesareeffectivelyimplemented,
consistentlycompliedwith and
I.controllingassessedHSErisks
J.thetimelinessofcorrectiveandpreventativecontractaction
implementation
K.trends,includingrepeatfindingsandsignificantnewfindingsof
contractactivitiesand operations
L. the ongoing suitability of documentation for addressing assessed
risks including non-routine or abnormal situations, simultaneous
activities,or adverseenvironmentalor societal conditions.
M.contractpersonneltrainingprogramme implementation
N. sickness absence
GuidetopreparingHSEplansandBridging documents 27
28. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
9.3 Transferoflearningforoutcomesfromcontractmonitoringand
reportingprocessesisensured through:
A.alertsorbulletins
B.‘Tool-boxtalks’
C.communicationpacks
D.HSE-MSfeedback
E.training.
9.4 Contractincidents,eventsandnon-conformities (withactualand/ or
potentialconsequences)arereported,recordedandclassifiedto
definedcriteria,andinvestigatedtodeterminedirectandunderlying
causes.
9.5 Reportingsysteminplacetocollectandclassifydataagainstclear
definitionstofacilitatebenchmarkingandpublicreporting.The
systemincludesindicators, definitionsandseveritylevels,and
functionalitytotrackandlogtheprogressofimplementingidentified
actionstopreventrecurrenceofeventsor tocorrectconditions.
9.6 Whenclassifyingdata,reportingboundariesshouldbetocarefully
definedandconstructedtoensureinclusionofall eventsand
incidentsrelevanttothecontract.Dependingonthefocusofeach
indicator,boundariescanvary,e.g.safetyoftheworkforceversus
socialresponsibility forlocal communities.
9.7 Recordingsystemincluderecordsof:
A.personnelinjury
B.safetyeventsandanomalies
C.materialandnon-conformitylosses
D.occupationalillnesscases
E.environmentaleventsandincidents(incidentalemissionsof
pollutantsandimpacts),their typeandseriousness.
F.securityeventsandincidentsor non-conformities
G.logisticseventsandincidents
H.socialresponsibilityeventsandincidentsor non-conformities.
9.8 Acontractreportingprocedureisinplacewhichcomplieswith
clientrequirement,andwhichcoversall HSEevents,incidentsand
non-conformities.Procedureincludesreportandnotificationto
Authoritiesasperregulationsin place.
9.9 Processesdefineandestablishleadingandlaggingcontractkey
performanceindicators(KPIs)usingmeasuresdesignedtoimprove
HSEperformanceandbehaviours.KPIsareregularlyreviewedto
ensuretheyprovidemeaningfulinformation.
9.10 Leadingindicatorsaredefinedtoensurethatlow-riskeventsthat
occurmorefrequentlydonotdominatereportingattheexpenseofa
focusonhigh-risk events.
GuidetopreparingHSEplansandBridging documents 28
29. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
9.11 AKPItoensureactionsfromreportingandfeedbackprocessare
completedinatimelymanner,i.e.actiontrackingwithcompletionof
actions.
9.12 Monitoredandreportedcontractdataisreviewedtoensurequalityin
termsofconsistency,accuracyandcompleteness.
9.13 Laggingindicatorsaredefinedtorecordevents,consequencesand
otheroutcomestoassessretrospectiveHSEperformance.
9.14 Asystemofanalysisandfeedbacktopersonnelisinplacetoreview
HSEperformancemeasurements.Analysisaimtoidentifyunderlying
causalfactors,i.e.enablingfactorssuchasculture,leadershipand
capability.
9.15 Acontractinvestigationprocedureisinplacetoestablishroot
causesofHSEeventsandincidents;actionsthatminimizepotential
recurrenceandsatisfyinganystatutoryrequirementsforreporting
andinvestigation.
9.16 Contractor’s managementprovidesnecessarysupportforincident
investigations,andrecovery.
9.17 InvestigationteamstobeorganizedasrequiredbytheHSEplan, and
beledbyacompetentHSEinvestigator.
Section 10: Assurance, review andimprovement
10.1 Adocumented,risk-based assuranceprocess,includingscheduled
independentcontractaudits,is established.
10.2 AuditsareincompliancewithHSEPlan,e.g.
Ascheduleofauditsisinplacefor thedurationofthecontract,
tocover:
• theassessedrisk oftheactivitytobeaudited
• thestatusoftheHSE-MS processestobecoveredand
implementedateachleveloftheorganization
• HSE-MSandcontractrequirementshavebeencascadedtocreate
consistentimplementation
• findingsofpreviousaudits
• generalapproach,individualbehavioursandacceptedpractices
thatcontributetounderlyingperformanceandculture
• alignedwithparticularobjectives,suchascompliancewith
regulations
• documentation,includingprocessesandpractices,remains
effectiveandfit for purpose.
10.3 Auditsareplannedandlinemanagementandclient keptinformed.
10.4 Auditorshaveappropriatelevelsofconfirmedcompetencyandare
independentoftheactivityor locationbeingaudited.
10.5 Improvementrecommendationsfromauditorsareconsideredand
incorporatedviatheagreedactions.Correctiveactionsareaddressed
assoonas practical.
GuidetopreparingHSEplansandBridging documents 29
30. Item
Check Item
Required?Yes/No
Responsibility
Client or
Contractor
Exists?Yes/No
If not
available
Whenis it
needed?
10.6 ManagementundertakeadocumentedreviewoftheHSE performance
atprescribedfrequencyandonariskbasistakeinto account;the
outputsfromcontractMonitoring,reportingandlearning (OMS
Element9)aswellascontractassuranceandauditfindings, and
accountforownerfeedbackontheotherOMSElements.The
improvementsidentifiedaredocumentedandincorporatedinto
contractor’simprovementplan.
10.7 ContractdataandperformanceKPIsareassessedtounderstand
riskcontrol/barrier weaknessesandidentifyopportunitiesfor
improvement.
10.8 Improvementsbasedonassurancefindings,lessonslearned,and
internal andexternalgoodpracticesareplanned,communicated
andembeddedwithinthecontractHSE-MStodrivecontinuous
improvement.
10.9 Identifiedcontractimprovementactionsareplannedand
communicated,withimplementationtrackedtocompletion.
GuidetopreparingHSEplansandBridging documents 30
32. This report is a supplement report to
IOGPReport 423, HSE management
– guidelines for working together in a
contract environment.
It contains additional guidance to
Report 423 on developing HSEplans
and Bridging documents.
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