SIEP HSE MS Self Assessment Questionnaire
Company/OU:
Ref Ind: <<Ref Ind>> Asset: <<Asset here>>
Level 1
Minimal alignment
HSE on Paper
System is under development and
primary issues are being met. Each
HSE Case including those of
Contractors and the interface
document are up to date and reflect.
1 Leadership and Commitment
1 Visibility Leaders communicate HSE
expectations to employees
reporting to them but are not
involved in the HSE Management
System (HSE MS) process and
do not refer to it.
2 Proactive in Leaders participate in the review
of reactive indicators i.e. 'results'
target setting such as LTIs, spills, emission.
3 Informed Leaders are unconvinced that the
systematic management of HSE
Involvement and measurement of the
effectiveness of such a system is
as important as the reactive
measurements such as LTIs.
2 Policy and Strategic Objectives
1 Content There is a company HSE Policy
dated and endorsed by the
current CEO.
Level 2
Some alignment
System is documented approved
resourced, and being implemented
with priority objectives satisfied and
the majority of others being addressed
Leaders discuss and review with
employees and contractors
progress against meeting specific
'results' and 'activity' HSE targets.
This usually takes place at staff
appraisal and pre contract award.
Leaders participate in the
development of objectives and
target setting for H, S & E
management 'activities',
(proactive indicators) as well as
'result' indicators.
Leaders review the progress both
in the development AND the
content of HSE MS and HSE
Cases and make available the
resources and specialist expertise
to meet the targets.
The company HSE Policy
complies with the Shell Group
HSE Policy as a minimum and
reflects specific OU
circumstances. Specific and clear
daughter policies are available for
all areas relevant to the OU
including Biodiversity.®
Page 1 of 8
Level 3
Considerable alignment
HSE in the head
System functioning and being verified, System sustained and supported by
key system procedures documented an ongoing improvement process and
and results being measured.
Leaders actively participate in
HSE activities such as training,
reward and recognition schemes,
industry/contractor workshops,
conferences and audits.
Leaders jointly develop and
discuss both HSE 'result' and
'activity' improvement targets with
the employees and contractors.
Leaders are fully aware of the
high priority areas for
improvement identified in the HSE
MS and the status of the follow up
remedial programme.
All contractors have HSE Policies
and daughter policies consistent
with those of the Operating Unit
as described in level 2. The
policies are endorsed by the
CEO. A statement on Joint
ventures is available.
Your Category: HSE Advisor
Level 4
Full alignment
HSE in the heart
Comments
essentially all elements satisfied.
(Justify your choice)
Leaders drive the process for
HSE excellence. All levels 'own'
the HSE management process.
Documented surveys of employee
perceptions confirm that
employees believe the company
is committed to HSE.
Leaders ensure that all staff have
HSE 'results' and 'activity' targets
in their appraisal and are
rewarded accordingly.
Leaders are personally involved
in the improvement efforts arising
from the formal senior
management 'Review' (see 8) of
the HSE MS.
The HSE Policy is reviewed as
part of the formal HSE MS
Review. Comments are sought
from all stakeholders on the
content of the company HSE
Policy during the revision
process.
01/16/2020
 Level 1
Minimal alignment
2 Dissemination Employees and contractors know
where to find a copy of the HSE
Policy of their company.
3 Strategic There is an HSE MS under
development which includes an
Objectives HSE Plan to meet the OU
strategic objectives.
3 Organisation, Responsibilities, Resources, Standards and Documents
1 Organisational There is a description of the
current organisational structure
Structure and and a description of the
responsibilities relationships of all parties
(roles & involved in the operation including
responsibilities) partners, contractors and
regulators.
2 HSE Advisors & Quality specialist advice is readily
available to line personnel on all
Management H, S & E issues and HSE advisors
representatives meet relevant regulatory
professional requirements.
3 Resources Risks inherent in the operation or
facility, the emergency
procedures, shifts, leave and
competency levels are taken into
account in determining the
resourcing levels.
Level 2
Some alignment
The current HSE Policy is
prominently displayed in a
language understood by all
employees and contractors. Each
employee has a personal copy of
the HSE Policy.
The HSE targets described in the
HSE Plan are consistent with EP
Minimum Health, Safety and
Environment expectations and
there is a transparent cascade
between OU corporate targets
and unit targets.®
The HSE MS includes a
description of all HSE critical
activities and the HSE
responsibilities of employees and
contractors in undertaking these
activities. Supervisors,
employees and contractors know
these.
The role and reporting
relationship of the HSE Advisor(s)
is fully defined in the HSE MS.
This also includes for direct
access to the chief executive of
the company.
The establishment in terms of
numbers and function of
personnel is described or referred
to in the HSE MS or HSE Case.®
Page 2 of 8
Level 3
Considerable alignment
The personal relevance of the
HSE Policy to all new employees
(company & contractor) is
explained to them by their
immediate supervisor.
Supervisors discuss all new or
revised HSE policies and
daughter policies with employees.
Audits confirm that the HSE Plan
is functioning and there is a
process in place to effectively
monitor progress against the HSE
Plan and verify the HSE results.
All HSE Critical activities are
defined and known by contractors
and employees responsible for
their implementation together with
the inputs, outputs, performance
standards, verification and
competency requirements.
HSE is fully understood and
implemented in the line and only
specialist advice is required from
HSE advisors. This advice is
sought and acted upon.
The actual resourcing meets the
requirements described in the
HSE MS or HSE Case in number
and competency.
Level 4
Full alignment
Employees and contractors can
explain what they must do in their
work so that their company can Comments
fulfill the requirements of it's HSE
Policy. The HSE Policy is readily (Justify your choice)
available to neighbouring
communities in an
understandable format.
Senior managers are measured
on performance in setting
challenging targets for continuous
improvement and all levels from
senior management to
supervisors are assessed on
performance in achieving these
targets which are included in the
HSE Plan.
Individual HSE responsibilities are
known and understood by all
employees (company and
contractor) and are maintained by
updating and revision in
conjunction with the employees.
HSE advisors can demonstrate
that they are regularly supporting
the drive for continuous
improvement in HSE MS(s)
across the operation by proactive
challenge, comparison and
promotion of best practice.
Changes to resourcing levels and
competencies and associated risk
are assessed as part of change
control procedure. Supervisors
trained to recognise the
symptoms of under resourcing:-
(stress, incident causation,
overtime levels etc.)
01/16/2020
 Level 1
Minimal alignment
4 Competence All staff and employees are made
aware of their HSE
responsibilities when joining the
company.
5 Contractors Contractor HSE competence is
assessed in the light of the risks
to be managed during the
contract prior to the invitation to
tender and award of contract.
6 Communication An effective hierarchy of HSE
meetings within the company is
described.
7 Documentation There are HSE procedures
available in the company and the
& Control (HSE organisational units within the
MS) company.®
8 Documentation All sites and operations requiring
HSE Cases have been identified
& Control (HSE and there is a resourced plan in
Cases) place for their development.
Level 2
Some alignment
A competency assurance process
is in place for company personnel
in positions with responsibility for
HSE critical activities. Required
and actual competencies of
incumbents are documented.
Contractor mobilisation is
conditional upon receiving a
description of how HSE risks will
be systematically managed to
ALARP and interfaces managed
on that particular contract or
project.®
There is an effective system in
place for the timely transfer of
HSE information and feedback
across all levels in the company
and contractors. All employees
are aware of key HSE information
and expectations.
An HSE MS Manual is available
for the company as a whole and
for organisational units within the
OU. Legislative requirements are
known but compliance cannot be
demonstrated. Shortfalls in the
HSE MS are identified and a
rectification plan is in place.®
HSE Cases are complete for all
required locations and activities.
These demonstrate how all risks
are managed to ALARP . HSE
Cases are endorsed by those
managing the asset or operation
and snr. management.
Page 3 of 8
Level 3
Considerable alignment
A competency assurance process
as described in Level 2 is also in
place for the employees of
contractors in positions with
responsibility for HSE critical
activities.
Compliance with the contractors
own HSE MS is audited within an
audit programme defined in the
contract. Actions to be taken in
the event of different levels of non
compliance are defined in the
contract.
There is a formal process to
address HSE matters raised by
employees, contractors,
customers, government agencies
and the public.
The HSE MS is substantially
complete and the environmental
part of the HSE-MS meets the
requirements of ISO 14001.
There is also a system for
tracking, anticipating and
disseminating and ensuring
compliance with relevant H&S
legislation.®
Contractors document how all
hazards and effects on their
contract are managed to ALARP.
Interfaces between company and
contractor systems are defined.
Level 4
Full alignment
The competency requirements of
all positions involving HSE critical
activities are periodically reviewed Comments
and improved and the
competency of staff reassessed (Justify your choice)
and gaps addressed.
The HSE MS of contractors are
subject to continuous
improvement during the course of
projects and contracts in
consultation with the OU.
Consultation programmes are in
place to identify and act upon
HSE concerns of communities
and other stakeholders. The HSE
Policy, targets and verified
performance of the company are
provided in a clear format with a
process for feedback.
The HSE MS Manual is complete,
maintained up-to-date and
subjected to continuous
improvement and upgrade.
Each HSE Case including those
of contractors and the interface
documents are up to date and
reflect current practice on the
location or activity. HSE Cases
are reviewed as per cycle
specified in the Case.®
01/16/2020
 Level 1
Minimal alignment
4 Hazard And Effects Management
1 Identification of Techniques for hazard & effects
identification adopted by the
Hazards and company are documented and
Effects known by those employees
(Identification) responsible for their use.
2 Evaluation Hazard and effects assessment
(Assessment) has been carried out as part of
new projects, acquisitions,
divestments and major
modifications.
3 Recording of The HSE-MS describes the
procedures used in the analyses
Hazards and of hazard and effects in the
Effects (Recording) company.
4 Objectives and The means of measuring
performance in the maintenance
Performance of critical HSE controls are
Criteria controls defined and documented.
(Performance in
maintaining controls)
5 Risk Reduction Controls and persons responsible
for managing the controls have
Measures been identified for known risks.
(Controls and
Ownership)
Level 2
Some alignment
Appropriate techniques such as
Health Risk Assessment,
Environmental Assessment and
HAZOP are used on all facilities
and operations and the results
documented in the inventory of
hazards and effects.
Hazards and effects assessments
have been carried out for all
operations and assets, (includes
workplace hazards). The risk or
significance of these has been
classified using the risk matrix or
equivalent and endorsed by
management.
All hazards and effects analyses
are described or referenced in the
HSE Case demonstrating that the
selected option is ALARP and that
the controls are in place to reduce
risks to ALARP. All shortfalls are
identified in the remedial action
plan.
Performance indicators are
available for all HSE-critical
activities (e.g. for testing systems,
emergency response times,
procedures, training
effectiveness). These are
included or referenced in the HSE
Case and assigned to individuals.
Each 'significant' risk (including
those in the workplace) can be
demonstrably linked to a set of
controls either preventative and/or
recovery. The quality of the
controls is commensurate with the
risks.
Page 4 of 8
Level 3
Considerable alignment
A comprehensive inventory of
HSE hazards and effects has
been documented for all units
within the company.
The assessments include health,
safety and the environment
including impact on third parties.
The assessment for
environmental effects satisfy ISO
14001 requirements.
Documents exists which describe
all those activities, which must be
discontinued or restricted in given
circumstances (MOPO). These
documents based on HSE risk are
understood by all supervisors
responsible for operational
decisions.
Actual performance in
undertaking HSE-critical activities
is documented and trended
against the performance activity
indicators set.
All controls with respect to risk are
assigned to responsible parties
and performance measurements
for the maintenance of the
controls defined.
Level 4
Full alignment
There is a process for updating Comments
the hazards and effects listing as
a result of changes to the (Justify your choice)
operation or findings e.g. job
hazard analyses, inspections or
incident analyses.
The hazard and effects
assessments are kept up to date
and modified when circumstances
change as part of the change
control procedure.®
HEMP documentation is updated
to reflect the actual situation. All
controls described in the analysis
reflect existing practice and any
identified shortfalls.
Performance against activity
indicators is used in staff
appraisal and is rewarded
accordingly.
Controls have been revised as a
result of changes, improvements
and more demanding targets e.g.
in terms of waste, discharges,
emissions, conservation and as
appropriate, establishment of
community development projects.
01/16/2020
 Level 1
Minimal alignment
6 Risk Reduction Recovery procedures are
available in the company for
Measures general emergency and
(Recovery)
contingency planning and for
managing the consequences of
any failure to control hazards and
effects.
5 Planning And Procedures
1 General (HSE There is a company HSE Plan
which includes one and five year
Plan) performance targets.
2 Asset Integrity Operations Ref Plans are under
development for some or all
assets. Structured hazard review
techniques are performed for new
processes only. Risk
management focuses on
mitigation. P&IDs and equipment
registers are being developed or
updated.
3 Procedures & HSE standards and procedures
exist and are known to
work supervisors. These are
instructions inconsistently applied and
enforced. The documents are
written primarily by HSE
personnel or consultants with little
or no employee involvement.
4 Management of Changes to approved plans (cost
time, resources) are approved
Change 'one level up', and only formally
documented and approved when
required by financial controls.
Level 2
Some alignment
Procedures in Level 1 are
referenced in the HSE MS and or
HSE Case(s) together with those
responsible for updating,
implementing and checking
implementation of the procedures.
An overall company HSE Plan
has been developed to meet
continuous improvement targets
and a strategy has been
developed to close the gaps in
the HSE MS.
Operations personnel are
involved in structured hazard
reviews conducted in accordance
with company guidelines. P & ID
and hazardous area drawings
exist are held current. A change
management process is adhered
to.
HSE standards and procedures
are consistently applied. HSE or
consultant personnel with
employee input. Shell /OU DEPs
are not critically applied and there
is not a documented process for
updating these.
There is a change control
procedure, but its scope is not
clearly described and application
is not consistent.
Page 5 of 8
Level 3
Considerable alignment
All personnel are familiar with
their roles in control and recovery
procedures. Procedures are
regularly tested. Records are
available to demonstrate that
these procedures are in place and
performing satisfactorily under
test.
HSE improvement plans have
been developed in the different
units with resources, accountable
parties and target dates. These
align with the overall documented
HSE Plan which and Business
Plan, which reflects the resources
required.
Structured review hazard
analyses are complete for all
processes and operations
personnel have participated in the
development of worst case
incident scenarios for emergency
planning purposes.
A defined process exists for the
development and review of HSE
standards and procedures and
includes employee involvement.
Shell /OU DEP's are consistently
applied and variances subject to a
control procedure.
There are several change control
procedures (corporate, BU/asset,
projects) with clearly defined
scope. The procedure document
evaluation, approval and the
responsibilities and competencies
of those involved.
Level 4
Full alignment
The control and recovery
procedures are updated and their
implementation improved as a
Comments
result of drills and practical
experience from both inside and (Justify your choice)
outside the company.
Strategies to improve company
HSE performance in the longer
term form part of the overall
business plan. Targets are
published annually.
All recommendations arising from
hazard analyses and reviews
have been resolved and
employees are involved in a
process of ongoing review and
improvement of asset integrity.
There is evidence that in addition
to 3) outside the formal review
cycle, modifications to standards
and procedures have been
initiated by operations personnel.
Comparative analysis and
documentation of the HSE impact
of IMPLEMENTING the change
as well as the HSE impact of the
IMPLEMENTED change are an
integral part of all change control
procedures.
01/16/2020
 Level 1
Minimal alignment
5 Contingency Relevant external emergency
organisations are unfamiliar with
and Emergency the operational hazards in the
Planning
company. The company
emergency plan does not define
the incident command structure
and the relationship with these
external agencies.
6 Implementation and Monitoring
1 Monitoring The HSE MS is being introduced
(Performance but measurements which show
Monitoring) that activities are being performed
satisfactorily are not yet available.
2 Records The monitoring system for health,
environmental and safety
performance is not fully described
and is driven by legislation.
Health programs are developing.
3 Non Compliance Procedures which describe what
must be done in the event of non
& Corrective compliance with legislation,
Action procedures and standards are
known but not documented.
4 Incident Only significant high profile
incidents are investigated. These
Reporting and investigations are undertaken
Follow up directly by HSE personnel.
Investigation findings are only
disseminated locally and remedial
action poorly tracked.
7 Audits
Level 2
Some alignment
The incident command structure
is identified. Regulatory
emergency response
requirements are met. A
comprehensive emergency
response plan is under
development. External
emergency agencies are familiar
with operational hazards in the
company.
Performance measurements
relating to 'results' (LTIs,
emissions, etc.) are collected but
not for HSE-MS activities.
Locations have completed the
first review assessment of the
implementation of their HSE-MS.
Tasks have been identified where
exposure assessments should be
made. Significant effects have
been identified where
environmental measurements
should be taken.
Few variances are recorded and
the procedure for approving
variance is ill defined or
impractical.
There are procedures for
reporting and investigating
incidents. HSE personnel and
supervisors undertake
investigations with limited
employee involvement. A process
is documented for tracking
recommendations but many are
outstanding.
Page 6 of 8
Level 3
Considerable alignment
There is a comprehensive tiered
emergency response plan which
is integrated with individual site
plans as appropriate. Required
competencies are defined in the
plan and assured. Drills include
for testing the co-ordination
between sites.
Locations are beginning to
develop performance indicators to
measure the elements and
procedures of the HSE MS.
Records for most health,
environmental and safety
measurements are available in
the company.
There is a documented system for
variance control of HSE critical
procedures and standards known
by those responsible for following
HSE critical procedures and
standards. There are records for
variances at all locations and
projects.
Reporting and investigation
process is well understood and
also applied to high potential near
misses. Supervisors are trained in
incident investigation and direct
investigations which include
employee participation. Lessons
are disseminated.
Level 4
Full alignment
Drills are conducted in
conjunction with third parties and
agencies according to a plan.
Comments
Improvements are incorporated
and checked. External agencies (Justify your choice)
and communities are familiar with
site hazards and emergency
response plans.
Numerical performance indicators
and targets are used to measure
the implementation of the
elements and procedures of the
HSE MS and are included in
employee appraisal.
Records for health*,
environmental and safety
measurements are available on
locations and trends are openly
discussed as part of improvement
plans.
* confidentiality requirements
permitting.
Employees anticipate any
potential need to deviate from
standards and procedures
allowing sufficient time to consider
alternatives and, if necessary
obtain the appropriate
authorisation for the variance.
Investigation findings are
documented and addressed in a
timely manner, accountabilities
assigned and tracked to closure.
All information is stored and
retrievable. Employees suggest
improvements to the process.
01/16/2020
 Level 1
Minimal alignment
1 Audit Plan Auditing plan or process is not
documented, follow up system not
in place. Audits are focused on
hardware and housekeeping and
conducted mostly by HSE
personnel. Some regulatory
audits are conducted.
2 Competency Company uses mainly unqualified
and/or inexperienced resources
for HSE audits.
3 Contractor Regular contractors undertake
HSE inspections of their
operations but not formal and
planned internal HSE audits on
their operations.®
8 Management Review
1 General Modifications to the HSE MS are
instigated and followed up by
senior management when
shortcomings have been
highlighted as a result of incidents
or failure to meet targets or
regulatory requirements. There
are no scheduled formal reviews
of the system.
Level 2
Some alignment
Audit plan and process under
development. Audit tracking
system not functioning effectively.
Some checklist and compliance
auditing being performed. Some
involvement of supervisors with in
auditing.
HSE personnel involved in audits
first undergo formal HSE audit
training. There is a process
describing the required
competency for auditors.
Regular contractors provide
senior personnel to participate in
company led integrated HSE
audits of the operations
contracted to them.
Management reviews of the HSE
MS(s) have taken place but these
are not undertaken in accordance
with a predefined schedule and
are not documented.
Page 7 of 8
Level 3
Considerable alignment
Audit process is defined and
implemented. Supervisors take
ownership of audit process which
involves employees and
independent parties. Audit
recommendations documented
and tracked to closure.
Personnel in other parts of the
organisation as well as the HSE
or audit department undergo HSE
audit training and competency
development.
Regular contractors have an HSE
audit process and audit schedule
which is implemented irrespective
of contractual requirements. The
audit schedule includes audits
carried out by independent
auditors
There is a defined process for
formal and regular review of the
HSE MS.
Level 4
Full alignment
Audit programme fully
implemented. Skilled auditor base
includes HSE personnel , Comments
supervisors and employees.
Conformance with ISO 14001 (Justify your choice)
externally certified. All past audit
recommendations arising from
‘serious’ findings have been
resolved.
Company has access to, and only
uses, qualified, experienced
personnel with high credibility to
perform HSE audits.
All contractors have an HSE
audit process and audit schedule
which is implemented irrespective
of contractual requirements. The
audit schedule includes audits
carried out by independent
auditors.
Senior management review the
effectiveness of the HSE MS
following a defined process and
implement the conclusions. Taken
into account are changes in risk
exposure, stakeholders, the
business environment and
performance.
01/16/2020
 SIEP HSE MS Self Assessment Questionnaire
1 Leadership and Commitment Values
1 Visibility 0
2 Proactive in target setting 0
3 Informed Involvement 0
2 Policy and Strategic Objectives 0.00
1 Content 0
2 Dissemination 0
3 Strategic Objectives 0
3 Organisation, Responsibilities, Resources, Standards and Documents 0.00
1 Organisational Structure and responsibilities (roles & responsibilities) 0
2 HSE Advisors & Management representatives 0
3 Resources 0
4 Competence 0
5 Contractors 0
6 Communication 0
7 Documentation & Control (HSE MS) 0
8 Documentation & Control (HSE Cases) 0
4 Hazard And Effects Management 0.00
1 Identification of Hazards and Effects (Identification) 0
2 Evaluation (Assessment) 0
3 Recording of Hazards and Effects (Recording) 0
4 Objectives and Performance Criteria controls (Performance in maintaining controls) 0
5 Risk Reduction Measures (Controls and Ownership) 0
6 Risk Reduction Measures (Recovery) 0
5 Planning And Procedures 0.00
1 General (HSE Plan) 0
2 Asset Integrity 0
3 Procedures & work instructions 0
4 Management of Change 0
5 Contingency and Emergency Planning 0
6 Implementation and Monitoring 0.00
1 Monitoring (Performance Monitoring) 0
2 Records 0
3 Non Compliance & Corrective Action 0
4 Incident Reporting and Follow up 0
7 Audits 0.00
1 Audit Plan 0
2 Competency 0
3 Contractor 0
8 Management Review 0.00
1 General 0
AVERAGE 0.00

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