HSEQ

Workbook

DOF Group Health,

Safety, Environment
and Quality Training

HSEQ
WORKBOOK

DOF Group

HSEQ Workbook

Mons takes the Permit to Work, e-learn module and got a score of 100%.

Dear Colleague!
The DOF Group is committed to achieving the highest standards of Safety
at all worksites. By planning, organizing and assessing activities, the DOF
Group shall ensure that all identified risks and hazards are reduced to a
level that is as low as reasonably practicable. The DOF Group is also
committed to ensuring that its activities shall have minimal impact upon
the environment.
This HSEQ training is going to help us be more aware of how to work safer
and that all our decisions have an HSE impact on our colleagues,
the company, and our environment.
Please support me in achieving the HSEQ standards set for all of us,
and our partners worldwide.

Mons Aase
CEO

DOF Group

HSEQ Workbook

HSEQ
WORKBOOK
Introduction 8
HSEQ Course Content

10

MODULE 1 Safety Management and Occupational Health

19

MODULE 2 Safety Culture

41

MODULE 3 Risk Management

63

MODULE 4 Emergency Response Management

89

MODULE 5
HSEQ Case Management and Inspection Techniques

113

MODULE 6
Environmental Awareness

135

MODULE 7 Internal Auditing

149

DOF Group

Our safety culture is guided by an overriding principle:

HSEQ Workbook

To achieve
an incident free
workplace

DOF Group

HSEQ Workbook

DOF Group

HSEQ Workbook

Introduction
DOF Group hopes you will find this training workbook as a useful tool during your Health, Safety,
Environmental and Quality training.
Take care of the book, use it, write in it and learn from it. This is your copy
and by using it actively you can gain more understanding of the different
elements within HSEQ.
This book consists of the main elements and it is made as a workbook to
assist you during the training.
The courses will give you insight to the tools and guidelines we use in
DOF Group to execute our entire task in a safe manner. A combination of
theory with practical activities, including exercises and group discussions
allows participants to gain the knowledge needed to make safe decisions.
DOF provides HSEQ training on three different competency levels, where
the candidates will have to complete the first level before progressing to
the next level. The training will be delivered by trained HSEQ professionals
in all regions within the DOF Group. The three levels of training will
reflect the different levels of HSEQ responsibility within the organization.
When you have finished level I and II you are qualified to attend our HSEQ
leadership course. The process diagram below outlines the progression
through the training modules:

Level I

Level II

Level III

HSEQ
Introduction

Management
of HSEQ

HSEQ
Leadership

All Personnel

Managers/Officers/
Supervisors

Managers /Officers /
Supervisors

Level I training will provide an

introductory overview of HSEQ to
all personnel starting with the DOF
Group. Level I will provide introductory
safety information and also a number of
learning modules for all employees.

Level II training is focussed on

providing Managers/Officers/Supervisors with the skills to manage HSEQ.
This will provide skills to be part of the
investigation team and also provide
management of HSEQ.

Level III training is focussed

on providing Managers/Officers/
Supervisors with the skills to provide
leadership in HSEQ. This expands
further on Level II training to provide
the skills not only to manage HSEQ
but provide leadership.

DOF Group

The material presented within this course is for informational and

educational purposes only. It should not be used to provide guidance
to customers or clients in lieu of competent, certified legal advice.
As a participant of the course, you should understand that it is your
responsibility to adhere to the laws and regulations pertaining to any
aspect of this course and the materials presented within.
The workbook is built upon best practice within the relevant areas.
The aim of the book is to teach and motivate people to work safer
and give a holistic understanding of safety and working environment,
external environment and the quality aspect of our business.

Tasks
Blue boxes means TASKS for individual
or group

Key
Yellow boxes mean KEY Readings,
KEY Words or KEY Points

Further
Green boxes are suggestions for
FURTHER Readings

HSEQ Workbook

10

DOF Group

HSEQ Workbook

HSEQ Course Content

1
2
3

Safety Management
and Occupational
Health

Safety Culture

Risk Management

This module provides an understanding of

DOF Groups systematic approach to safety
management, global standards and other
key aspects of safety management.
A combination of theory and practical
activities allows participants to gain
knowledge of how to create an incident
and injury free working environment.

This module will give an introduction

of the DOF Group HSE culture program.
The module gives an overview of the four
elements in the program; Behavioural base
safety/barriers, Just culture, Open safety
dialogue and Safety Rules.

This module is focusing on Risk Management. Identifying and managing hazards

and environmental impacts is a vital part
of the DOF Group Management Systems.
In a combination of theory and practical
activities this course will provide an
introduction to the principles of risk
reduction, as well as training in the risk
management tools used by DOF.

DOF Group

HSEQ Workbook

Emergency
Response
Management

This module provides an overview of how

to manage an emergency situation, and
introduces the various reactions that may
follow emergency response situations.
This module will provide participants with
the knowledge necessary to manage stress
reaction and by that promote personnel
health and well-being.

HSEQ Case
Management and
Inspection Techniques

This module provides participants with

training on how to report, investigate and
inspect HSE incidents and accidents.

Environmental
Awareness

This module will outline DOF Groups

commitment to environmental management. This will include how to identify
and manage environmental aspects and
impacts. Participants will understand
the individual responsibilities in achieving
the DOF Group environmental objectives.

Internal Auditing

This module will teach the participants core

auditing skills and techniques. Participants
will be provided with the knowledge
required to conduct various internal audits.

11

12

DOF Group

HSEQ Workbook

Our Values
The values that will help us achieve our goals
as we build DOF for the future - were chosen
by the staff in the organization.
We deliver solutions responsibly by being an ethical business.
The values that make this possible are;

The very corner stone of our business. We behave ethically always.

We are honest, fair and equitable in all our dealings. We are dedicated to
good corporate governance.
We strive to do the right thing not because someone is checking, or looking,
but purely because it is the right thing to do.

Integrity

Underpins everything we do and every interaction we have.

Respect for people: our colleagues, our customers, and our business partners.
As global citizens we are socially responsible, we respect the individual,
the local customs and cultures of our various markets.

Respect

Acting with care and consideration is central to our wellbeing and safety
and ensures we minimize our environmental impact.
Everything we achieve is as a result of teamwork.
Each of us is responsible and open in our professional relationships,
cooperative and collaborative, treating one another with dignity and
respect.
We do not blame, we find and share solutions and we learn from mistakes.
From this platform we build diverse and global teams and strive for free
exchange of ideas, experience and knowledge, worldwide.

Teamwork

In everything we do. We are resourceful and responsive to our customers

needs; innovative in the solutions we apply to everyday problems.
We safeguard our individuality and the qualities that set us apart from our
competitors, protecting our reputation and the professional trust we have
built, we do not walk away from our commitments.

Excellence

Above all we are SAFE

We are committed to protect the health and safety of our people and our
environment.

Safe

DOF Group

HSEQ Workbook

13

Task
Which of the values do you like the
best and which one do you think is
most difficult to live by?
Give reasons for your answers.

Further Readings
You will find more about our values
and visions in our Code of Business
Conduct.

14

DOF Group

HSEQ Workbook

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Our Policies determine the overall company

standard and approach to HSE and represent
the commitment of management to achieving
Company goals and objectives.

Docum

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-0001

: 1.01

Valid

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up

DOF Group

HSEQ Workbook

15

DOF Group maintains a number of HSE related policies

that apply throughout the organization and are approved
by the DOF Groups Chief Executive Officer. These include:

Business Integrity
& Ethics Policy

Health, Safety and Work

Environment Policy

Outlines a set of core values and approaches we

expect our companies and employees to follow
and the behaviours they must adopt to protect
and build the DOF Groups reputation.

Outlines corporate guiding principles detailing

DOF Groups commitment to providing and
continually improving safety and health within
the work environment.

Quality Policy

Environmental Impact Policy

Outlines the global commitment to delivering

quality products and services through continual
improvement, understanding the needs of the
customer and consistency in meeting targets.

Outlines the principles by which global operations

shall function within corporate managements
commitment to minimise the impact on the
environment.

Equal Opportunity Policy

Workplace Harassment Policy

The DOF Group is committed to being an equal

opportunity employer. This means all business
units within the DOF Group will select and
appoint the most suitable person for a position
according to their skills, qualifications and
aptitudes.

The DOF Group does not tolerate any form

of harassment within theworkplace. The DOF
Group seeks to create an environment of empathy
mutual respect and understanding amongst all
staff.

Fitness for Work Policy

Security Policy

Outlines the standards expected of personnel

operating under DOF Group in terms of their
individual fitness to work and attitude towards
alcohol and illegal substances.

Outlines DOF Groups commitment to ensuring

the protection and integrity of employees as well
as intellectual property and all assets.

Smoking Policy

HR Policy

Outlines and documents the acknowledgement

that smoking has serious health and safety
hazards and DOF Group is dedicated to the
general care of employees.

Outlines how we treat our people within

the DOF Group and how we develop our
expertise and competence of our employees.

16

DOF Group

HSEQ Workbook

Business Management
System (BMS) Overview
The DOF Group HSEQ Management Systems
is based upon a continuous improvement model
and is comprised of the 7 elements shown in the
diagram below. Each element is supported by
a set of objectives that form the basis for the
development of plans, procedures, processes,
standards and guidelines.

Policies and Strategic

Objectives

Organization
Responsibilities
and Resources

Auditing and
Improvement

Implementation
and Monitoring

LEADERSHIP
AND COMMITMENT

Planning

Risk Evaluation
and Management

DOF Group

HSEQ Workbook

17

What is ISO 9001?

ISO 9001 is the internationally recognised
standard for the quality management of
businesses.
Applies to the processes that create
and control the products and services an
organisation supplies
Prescribes systematic control of activities
to ensure that the needs and expectations
of customers are met

What is ISO 14001?

Key Readings
The DOF Group HSEQ Management
System Elements have been developed and aligned to those detailed
within OHSAS 18001:2007 standard (HSE), ISO 14001:2004 (Environment) and ISO 9001:2008 (Quality).
Primarily, these standards are based
on a continual improvement methodology known as Plan-Do-Check-Act
(PDCA).
..

ISO 14001 is the internationally

recognised standard for the environmental
management of businesses.

It prescribes controls for those activities

that have an effect on the environment.
These include the use of natural resources,
handling and treatment of waste and
energy consumption.

What is OHSAS 18001?

OHSAS 18001 is an international standard

for occupational health and safety management systems.
It exists to help organizations put in place
demonstrably sound occupational health
and safety performance.

Additionally DOF Group recognises industry

practices and as such the HSE Management
System is also aligned to International
Association of Oil & Gas Producers (OGP),
International Maritime Organisation (IMO)
and the American Petroleum Institute (API).

..

DOF Group

HSEQ Workbook

19

Module

SAFETY
MANAGEMENT
AND OCCUPATIONAL
HEALTH
THE BUSINESS MANAGEMENT SYSTEM (BMS)

21

Hierarchy of Internal Reference Documents

21

Document Control

21

Legislation and International Standards

22

The HSE Management System Elements

23

SAFETY MANAGEMENT

27

Why do accidents occur?

27

Reactive and Proactive Safety Management Models

30

OCCUPATIONAL HEALTH

36

Physical Working Environment

36

Psychosocial Working Environment

38

20

DOF Group

HSEQ Workbook

1 SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH

Course aim

Key Words

By the end of this section you should be able to:

What is HSE?

Provide a clear account of the DOF Groups objectives

and commitment within the field of HSE

Values and policies

Safety Management as part of
the total Business management

Understand the measures which have been chosen

by the DOF Group to achieve these objectives and
commitment.

System elements

See HSE as an integrated part of the business.

Need for barriers

Recognize that awareness and continual improvement

must be part of the daily work tasks in order to maintain
the required DOF Group standards.

Causes of accidents
Occupational Health

HEALTH is the general condition of a persons mind, body and spirit,

usually meaning to be free from illness, injury or pain. The maintenance
and promotion of health is achieved through combinations of physical,
mental and social measures and activities. Occupational health deals with
all aspects of health at the workplace.

SAFETY can be defined as being in control of recognized hazards to

achieve an acceptable level of risk. To identify hazards and establish
acceptance criteria for risks are important tasks throughout the business.
Our ENVIRONMENT is our surrounding, locally and globally. This
includes living and non-living things around us. The non-living components
of environment are land, water and air. The living components are germs,
plants, animals and people. We also include the production and utilisation
of energy as part of the environment.

OCCUPATIONAL HEALTH deals with all aspects of health and

safety in the workplace and has a strong focus on primary prevention of
hazards.

SAFETY MANAGEMENT is a way to identify hazards and control

risks while maintaining assurance that these risk controls are effective.

Do you think safety costs money?

Try an accident!

DOF Group

HSEQ Workbook

21

SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH 1

The Business Management

System (BMS)
The DOF Group has implemented a fully integrated
Business Management System (BMS) in order to
manage processes and continuously improve the
groups operations.
Safety Management is an integral part of the BMS.

Hierarchy of internal reference documents

Governing documents are defined as all those documents produced
internally to provide guidance and instructions on how the DOF Group
requires activities to be performed.
The DOF Group governing documentation system provides a large variety
of formats and a consistent set of document management rules.

Level I:
Worldwide govern
executive documents

Vision
Values
Policy
Manual
Main Process Map

Level II:
Functional Control docs.
No regional variance permitted

Global / Company Standard

Guideline
Procedure (cross functional flowchart)
Taskplan
From, Checklist & Template

Level III:
Project & Execution docs.
A minimum of regional variance
may be permited

DOF Document Hierarchy

Business Unit and Project documents are defined as all documents which
are developed and produced to provide guidance, strategy and instructions
on how all activities are to be performed specifically relating to the business
unit (region) and projects / operations.

Document Control
The Business Management System platform has been established in order
to manage distribution and control of documents. As an outcome of this
tool, all governing documentation applicable in the DOF Group is available
via internet / intranet pages.

22

DOF Group

1 SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH

Legislation and International Standards

Applicable laws, regulatory requirements, industry best practice,
standards and guidelines shall be the basis of the DOF Groups business
practices and operations and shall be reflected in the BMS.
DOF operates under different regional and international legislation,
depending upon each vessels flag state, country of operation, and type
of operation. All DOF Group regions shall maintain a live and up to date
legal and other requirements register.
The standards and guidelines provided in the DOF Group are based
upon International Legislation mainly from Norway, Brazil, UK and
Australia. As well as international standards taken from API, NORSOK,
ISO, IMCA, OGP.
Standards
DOF
nt Standards
Clie
Standar
usty
ds
Ind
a
l
t
i
u
o
g
n
s
Re
National and
International
Law

Artificial figure of HSE Legislation

DOF Business Management System is certified to ISO 9001: 2008

(Quality Management systems); ISO 14001: 2004 (Environmental
Management Systems); OHSAS 18001:2007 (Occupational Health &
Safety Management Systems).
Additionally the DOF Group also operate and are certified to (among
others): International Management Code for the Safe Operation of
Ships and Pollution Prevention; International Port and Ship Facility
Security Code and operate in accordance to the E&P (Exploration and
Production) forum guidelines for the Development and application of
Health, Safety and Environmental Management Systems.

HSEQ Workbook

DOF Group

HSEQ Workbook

23

SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH 1

The HSE Management System Elements

Plan, Do, Check, Act is an interactive four-step management method used
in business for the control and continuous improvement of processes and
products.
Act

Plan

Evaluate
Modify as necessary

Establish a baseline
Identify priorities
Set improvements goals and standards

Check

Do

Monitor and Measure

Find and Fix

Implement Actions
Plan to achieve goals

Plan, Do, Check, Act model

DOF has utilised the Plan, Do, Check, Act model in our management
system, with seven elements making up the model. The DOF Groups
Management Systems are based upon a continuous improvement model.
This comprises seven elements which underpin all DOF Group activities
and reflects the commitments outlined in the HSE policies. Each element
is supported by a set of objectives that form the basis for the development
of plans, procedures, processes, standards and guidelines.
All functions of the company operate within the framework of the Company
Vision, Values and Policies which are underpinned by the principle business
management system guiding principles as listed:

Policies and Strategic

Objectives

Organization
Responsibilities
and Resources

Auditing and
Improvement

Implementation
and Monitoring

LEADERSHIP
AND COMMITMENT

Planning

Risk Evaluation
and Management

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DOF Group

HSEQ Workbook

1 SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH

DOF Groups organisational managers are expected to lead by example

and comply with model behaviour that reflects the companys vision,
values and policies. They are also expected to inspire, motivate and
encourage all members of the company to contribute, to be innovative
and to embrace change. A senior managers role is to communicate
organisational vision, key objectives and core strategies and to ensure
these strategies are effectively deployed throughout the organisation.
The Groups objectives are balanced with the needs of all shareholders.

Policies and Strategic

Objectives

Organization
Responsibilities
and Resources

Auditing and
Improvement

Implementation
and Monitoring

LEADERSHIP
AND COMMITMENT

Risk Evaluation
and Management

The DOF Group Policies and Strategic

Objectives reflect corporate intentions,
principles of actions and aspirations with
respect to improving performance within
the organisation.
The DOF Group understands what its market
and shareholders (not just customers)
value, and anticipate what will be valued in
the future. It is this knowledge that informs
and drives the organisations activities,
products and services and will ensure
successful performance.

Planning

Policies and Strategic

Objectives

Organization
Responsibilities
and Resources

Auditing and
Improvement

Implementation
and Monitoring

LEADERSHIP
AND COMMITMENT

Planning

Risk Evaluation
and Management

DOF Groups success is ensured through

the establishment of an organisational
structure that provides clear leadership
and accountability whilst also providing
engagement, management and
development of the workforce to utilise
the full potential of individuals.

DOF Group

HSEQ Workbook

25

SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH 1

Policies and Strategic

Objectives

Organization
Responsibilities
and Resources

Auditing and
Improvement

Implementation
and Monitoring

LEADERSHIP
AND COMMITMENT

Risk Evaluation
and Management

DOF Groups consistent approach

to the management of risk ensures the
achievement of our business objectives.
The Business Management System
contains the processes and tools which are
applied to manage business, project and
operational risks. These processes ensure
the services and products supplied meet
the needs of the customer and provide
the DOF Group with assurance.
These processes are applied at all levels
of the Group, with the aim of reducing risk
and uncertainty whilst ensuring customer
needs and requirements are met ultimately leading to the continued growth
and success of the Group. Integral to the
processes are the tools which are implemented to ensure that the identified risks
are evaluated and effectively managed.

Planning

Policies and Strategic

Objectives

Organization
Responsibilities
and Resources

Auditing and
Improvement

Implementation
and Monitoring

LEADERSHIP
AND COMMITMENT

Planning

Risk Evaluation
and Management

The DOF Group has established a planning

and reporting process that enables it to
meet strategic long-term and annual goals
and objectives.
The planning and development of specific
objectives are fully integrated into the
Groups planning and reporting process.

26

DOF Group

HSEQ Workbook

1 SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH

Policies and Strategic

Objectives

Organization
Responsibilities
and Resources

Auditing and
Improvement

Implementation
and Monitoring

LEADERSHIP
AND COMMITMENT

The DOF Group has established a planning

and reporting process that enables it to
meet strategic long-term and annual goals
and objectives.
The planning and development of specific
objectives are fully integrated into the
Groups planning and reporting process.

Risk Evaluation
and Management

Planning

Policies and Strategic

Objectives

Organization
Responsibilities
and Resources

Auditing and
Improvement

Implementation
and Monitoring

LEADERSHIP
AND COMMITMENT

Planning

Risk Evaluation
and Management

Periodic audits and reviews of procedures

and systems of work are critical to
achieving continual improvements to BMS
and providing a high level of service.
The philosophy of periodic audits and
reviews seeks to satisfy the DOF Groups
ethos of continual improvement in
regulatory, contractual and BMS
compliance in addition to identifying
opportunities for improvement in the
services we provide.

DOF Group

HSEQ Workbook

27

SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH 1

Safety Management
Why do accidents occur?
The cause of any accident is a combination of human, technical, and/or
organisational failures.
The model below illustrates how analyses of major accidents and
catastrophic system failures tend to reveal multiple, smaller failures
leading up to the actual hazard.
Each slice in the model represents a safety barrier or precaution relevant
to a particular hazard. The system as a whole produces failures when all
of the holes in each of the slices momentarily align, permitting (in
Reasons words) a trajectory of accident opportunity, so that a hazard
passes through all of the holes in all of the defences, leading to a failure.

Organization
Management prioritation
and decisions

Technology
Techinical
requirement

Human
Actions of individuals
and groups

Based upon James Reason model The Swiss Cheese

Barriers
Reason claimed that most accidents can be traced to one or more
of four levels of failure: Organizational influences, unsafe supervision,
preconditions for unsafe acts, and the unsafe acts themselves.

Further Readings
James T. Reason;
Professor of Psychology at the University
of Manchester.
He has done an extensive research of the
psychology of human error. Dr. Reason has
published multiple important books and
papers on human error and organizational
processes. Among these are Human Error
(1990) and Managing the Risks of Organizational Accidents (1997).

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1 SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH

I Chose To Look The Other Way

I could have saved a life that day,
But I chose to look the other way.
It wasnt that I didnt care;
I had the time, and I was there.

Now every time I see his wife,

I know I should have saved his life.
That guilt is something I must bear;
But isnt something you need to share.

But I didnt want to seem a fool,

Or argue over a safety rule.
I knew hed done the job before;
If I spoke up he might get sore.

If you see a risk that others take

That puts their health or life at stake,
The question asked or thing you say;
Could help them live another day.

The chances didnt seem that bad;

Id done the same, he knew I had.
So I shook my head and walked by;
He knew the risks as well as I.

If you see a risk and walk away,

Then hope you never have to say,
I could have saved a life that day,
But I chose to look the other way.

He took the chance, I closed an eye;

And with that act, I let him die.
I could have saved a life that day,
But I chose to look the other way.

By Don Merrell

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29

SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH 1

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1 SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH

Reactiveand
andProactive
ProactiveSafety
SafetyManagement
Management
Models
Reactive
Models
ReactiveSafety
SafetyManagement
Management
Reactive

Event
- Based
Safety
Management
Event-Based
Safety
Management
Event-Based
Safety
Management
UNSAFE LEVEL

Time

Counteractive forces

DISASTERS
MAJOR ACCIDENTS
SERIOUS PERSONNEL INJURIES
NEAR MISSES
NO INCIDENTS

SAFE LEVEL

Degree of HSE Involvement

Accident Potential

Ad-hoc firefighting measures

Repeated Incidents

Reactive Safety Management (Source Statoil)

Reactive Safety Management (Source Statoil)

This model is characterized by the following features:

In this model of Safety Management the accident potential is met by
ad-hoc counter measures. The approach is based on a wait and see
attitude and efforts are mostly made as reaction to undesirable
events. People forget to fear things that rarely happen, particularly
in the face of productive imperatives. Production and protection have
to be balanced to avoid both catastrophe and bankruptcy.

Steering by looking astern

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SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH 1

ProactiveSafety
SafetyManagement
Management
Proactive
Professional
Safety Management
Profesional Safety
Management

UNSAFE LEVEL

Time

Counteractive forces

DISASTERS
MAJOR ACCIDENTS
SERIOUS PERSONNEL INJURIES
NEAR MISSES
NO INCIDENTS

SAFE LEVEL

Degree of HSE Involvement

Accident Potential

Ad-hoc firefighting measures

Repeated Incidents

Proactive Safety Management (Source Statoil)

Proactive Safety Management (Source Statoil)

This model is characterized by the following features:

Management at all levels is committed to the management of safety.
A corporate HSE culture that fosters safe practices and encourages
safety, communicates and actively manages HSE matters with the
same attention to results as financial management.
Systematic mapping and elimination or reduction of risk.
Effective implementation of operating procedures, including the use
of checklists and pre-job meetings.
Steering by looking ahead

A non-punitive environment (or just culture) to foster effective

incident and hazard reporting.
Systems to collect, analyze, and share HSE-related data arising from
normal as well as abnormal operations.
Competent investigation of accidents and serious incidents,
identifying systematic deficiencies (rather than just targets for
blame).
Integration of HSE training for all personnel.
Sharing lessons learned and best practices through the active
exchange of HSE information.
Systematic oversight and performance monitoring aimed at assessing
performance and reducing or eliminating emerging problem areas.
Continual improvements through a plan-do-check-act attitude at
all levels in the organization.

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Task
Discuss the reactive and proactive
Safety Management Models in groups.
Does it apply at your workplace?
Provide examples.

Everybody has the obligation to delay

or stop activities that place themselves
or others at risk of being injured and shall
ensure appropriate control measures are
implemented prior to continuing operations.

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SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH 1

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34

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DOF Group

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1 SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH

Occupational Health
Occupational health deals with all aspects of health
and safety in the workplace and has a strong focus
on primary prevention of hazards. The health of
the workers has several determinants, including
risk factors at the workplace leading to cancers,
accidents, musculoskeletal diseases, respiratory
diseases, hearing loss, circulatory diseases,
stress related disorders and communicable
diseases and others.
DOF aims to provide good and uniform working-environment conditions
and occupational-health services. This shall be achieved by given
standards, which is intended to set the standard for all aspects of working
environment and occupational health..

Physical Working Environment

(Based on: Manual - Working Environment and Occupational Health)

The main physical working-environment factors to be considered are

indoor climate, ventilation, illumination, ergonomics, radiation, noise,
vibration, biological factors (hygiene and housekeeping), chemical
factors, and outdoor conditions. These factors are addressed through
company standards, guidelines, and procedures, and are summarised on
the next page.

Further Readings
Physical work environment
Noise
Illumination
Ergonomics
Radiation
Vibration
In/Outdoor Conditions
Psychosocial work environment
Stress
Fatigue
Harassment
Culture
Religion
Equality
Risks at Work
Lifting
Working at Heights
Confined Space
Diving
Electrical Safety
Compressed Gasses
Welding and Cutting
Blasting and Painting
Slips, Trips and Falls

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SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH 1

Noise

Each employees exposure to noise shall be

as low as reasonably practicable (ALARP).
All employees shall use hearing protection in
high-noise areas. Ear protection is mandatory
in areas where noise levels exceed 83 dB(A).

Biological factors,
hygiene, and housekeeping
Exposure to micro-organisms that can harm
people shall be avoided. Micro-organisms
include bacteria, virus, fungi, and microscopic parasites (e.g., malaria parasites,
amoeba, and trypanosomes).

Outdoor conditions

DOF operates around the world, and outdoor conditions vary considerably between
regions. Local conditions shall be considered for personnel working outdoors.

Radiation

All radioactive sources shall be treated as

potentially harmful to personnel. Appropriate
steps for protection shall be taken, in cooperation with competent personnel, using
the principles of minimum exposure time,
maximum distance, and maximum shielding.

Chemical factors

Harmful exposure to chemicals shall be

avoided during storage, handling, and
disposal. For all chemicals used by DOF, the
ECOonline software program provides material safety data sheets (MSDS), information
about hazards, first-aid measures and PPE
requirements. Additionally, regional variations will be required as per local legislation.

Vibration

Exposure to hand-arm vibration and

whole-body vibration shall be minimised.
This requirement shall be considered when
designing work stations and when buying
equipment and tools.

Indoor climate
and ventilation
To ensure an efficient working climate, temperature, humidity, and ventilation shall be
regulated and suitable for the work being
performed.

Ergonomics

Attention shall be paid to the layout of the

work area and equipment. To the extent
possible, these shall be designed in accordance with healthful ergonomic principles.

Illumination

All work stations and visual display units

shall be provided with lighting that allows
safe operation and provides appropriate
illumination for the work being performed.
Lighting shall be provided at the surface
where equipment is to be operated and used.

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1 SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH

Psychosocial Working Environment

Mental health problems are among the most common, costly and
disabling health challenges facing the working age population. The
International Labour Organisation considers that psychosocial problems
are one of the main causes of work-related accidents, diseases, absences
and mortality worldwide (International Labour Organization, 2002).
Stress in the workplace is a serious occupational health and safety issue
and can be linked to serious health problems amongst workers such as
heart disease, back pain, insomnia, headaches and more.
Identifying the source is the first step to managing stress. For those who
are experiencing it, stress can cause noticeable changes. For instance,
when you are disappointed at work, you might lose confidence and may
become irritable or withdrawn. This can lead you to become less productive in your job. Thus, if the signs of stress can be identified early on, you
can then take action before they lead to more severe problems. By doing
so, it is easier to reduce and eliminate the causes of stress.

HSEQ Workbook

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39

SAFETY MANAGEMENT AND OCCUPATIONAL HEALTH 1

Task
Discuss potential occupational health risks
within the working environment you are
familiar with.

Key points from this module are

Safety Management is an integrated part of the BMS
(Business Management System).
DOCMAP has been established in order to manage
distribution and control of documents.
Proactive Safety Management is steering by looking
ahead.
Company policies represent the commitment of management to achieving company goals and objectives.
The HSE Management System is based upon
a continuous improvement model and comprises seven
elements which underpin all DOF activities and reflects
the commitments of the HSE Policies.
Safety barriers must be maintained in an integrated and
consistent manner in order to minimize the risk of a major
accident.
The cause of any accident is a combination of human,
technical, and/or organisational failures.

DOF Group

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41

Module

SAFETY
CULTURE

HSE CULTURE

43

Clarifying the Cultural Concept

44

DOF BEHAVIOURAL BASED SAFETY PROGRAM

46

JUST CULTURE

48

Guideline on the Application of the Tool

51

OPEN SAFETY DIALOGUE

54

SAFETY RULES

56

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2 SAFETY CULTURE

Aim of the Course

Key Words

By the end of this section you should be able to:

Safety Culture

Learn the key elements of a good safety culture.

Behavioural Based Safety

Understand the importance of having consistent

and robust barriers in place at the workplace.

Just culture

Provide a structured framework for management

to use in shaping workforce behaviour.

Open safety dialogue

Hard and soft barriers

Lifesaving Rules

Learn the main steps of Just Culture

Learn the principles of an Open Safety Dialogue
Safety Rules in the Workplace

The safety culture program in DOF Group is based upon

the following elements:
Safe Behaviour

Just Culture

Open Safety Dialogue

The aim is to develop a common safety culture based

upon a strong understanding
and execution of the five
barriers:

The aim is to build a culture

where we are consistent and
react correctly according to
our accountability towards
safety.

Managers at all levels of the

company need basic knowledge on how to intervene in
work operations to enhance
Safety at the workplace.

Correct prioritazion

Documentation available
on the BMS

Documentation available on
the BMS

Compliance
Open Dialogue
Risk Assestment
Caring about each other

HSE Rules
DOF Groups HSE rules have
been defined.
All local workplaces shall
be encouraged to add rules
when local environmental
factors call for extra
measures to enhance HSE.

DOF Group

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SAFETY CULTURE 2

HSE Culture
A culture can be defined as the knowledge, values,
norms, ideas and attitudes which characterise
a group of people. We can gain an insight into
this culture by listening to what people say and
by looking at the way they behave.
The relationship between words and deeds is
precisely the point at which an understanding
of the HSE culture in an enterprise can be gained.
Words and deeds must correspond.
Culture is not only a matter of knowledge, values and attitudes. It is also
about technology, economics, law and regulations, and other conditions
which influence daily life.
We can regard culture as a glass through which we see the world, and
which helps us to interpret what we see. We may find it difficult to view
our own culture without glasses, because our vision will be blurred. It is
often the case that we regard our own culture as right and defend what
we think of as its good and fundamental values. The technical term for
this is ethnocentricity, or the tendency to assess, judge or analyse ways
of behaviour in other cultures in relation to norms or concepts from the
observers own culture. It is only through our meeting with people from
other cultures that we can detect what is distinctive about us and them.
Understanding how peoples knowledge, values, norms, ideas, attitudes
and framework conditions interact is important in building an HSE
culture. All these aspects will influence the way we think and collaborate
in relation to HSE.
(The text is based upon the brochure HSE and Culture developed by The Petroleum Safety
Authority Norway. The brochure also forms the basis for the HSE Leadership training course
in DOF Group.)

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2 SAFETY CULTURE

Clarifying the Cultural Concept

1.

Culture is not something we own or have constructed once and for

all. It finds expression through the things we do together, and is in
constant development.

2.

Culture is seldom a unified and collective quantity. It is usually

fragmented, diversified and split into different sub-cultures.

3.

Culture is not an individual quality. It develops through

the interaction between people and specified frame conditions.

Key issues in efforts to enhance an HSE culture will be whether our HSE
activities are appropriate, and whether they bring us closer to our
objectives.
(From Gherardi & Nicolini 2000)

Characteritics of a sound safety culture

In pursuing a safety culture, many people draw on the work of
organisational psychologist James Reason (2001). He has developed
a set of concepts which can be helpful in building a Safety Culture.
Reason argues that a significant feature of a sound safety culture is
that it is informed. An informed organisational culture is characterised
by several factors - it has good reporting systems, is perceived to promote
fairness and is flexible and adaptable. In addition, both the organisation
and its members learn from their experience.
Organisations with a sound safety culture are characterised by the
ability to learn, and constantly question their own practice and patterns
of interaction. Informed organisations accommodate dialogue and critical
reflection on their own practices. People respect each others expertise
and are willing to share and further develop their HSE knowledge.
If organisations become self-satisfied, they are on the wrong track.
This kind of attitude undermines their ability to spot danger signals.
A safety culture is one in which safety has a special place in the concerns
of those who work for the organisation.
Safety cultures can be distinguished along a continuum from pathological,
caring less about safety than about not being caught, through calculative,
blindly following all the logically necessary steps, to generative, in which
safe behaviour is fully integrated into everything the organisation does.

Key Words
A sound safety culture is
A reporting culture
A just culture
A flexible culture
A learning culture

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45
SAFETY CULTURE 2

Generative
Actively seek information

Task: Discuss

Messengers are trained

Please discuss in groups were DOF are

regarding the reactive and proactive stages
within Westrums original model.
Present your opinions in plenum.

Responsibility is shared
Bridging rewarded
Inquiry and redirection
New ideas are welcome

Bureaucratic

May not find out

Listened to if they arrive

Responsibility is compartmentalized

Bridging is allowed but neglected

Organization is just and merciful

New ideas present problems

Pathological

Dont want to know

Messengers are shot

Responibility is shirked

Bridging is dicourages

Failure is punished or covered up

New ideas are actively crushed

Westrums original model

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2 SAFETY CULTURE

DOF Behavioural Based

Safety Program
The Behavioural Based Safety Program (BBS) is based upon the importance of having consistent and
robust barriers in place at the workplace. Through crew gatherings, as well as follow up on the vessels,
the barriers are believed to play a key role in avoiding accidents and incidents at the workplace:

Correct prioritisation
About taking the time needed to work safely
If a conflict arises between safety issues and another important activity such as production or cost, safety takes priority until the conflict is resolved. This means that if we are
uncertain that a task can be completed safely within the time given or with the resources
available, we should postpone completion until we feel we are in control safety wise.

Compliance
About being loyal to:

Procedure

Requirements

Guidelines

Decisions

Open dialogue
About openness and trust
We should all feel open to discuss safety issues with line management at any level,
as well as our colleagues. We shall always question whether the job can be done more
safely and contribute in a constructive manner discussing safety issues raised by others.

Continuous risk assessment

Just a simple and useful work habit
It is all about taking time out to evaluate what type of accidents that can happen if something unexpected occurs. Once we have established that, we can then use other safety
barriers to ensure that we do not place ourselves or others at risk. THINK, ASSESS, ACT

Caring about each other

About taking responsibility and intervening when observing a risk
If you observe a colleague or manager doing something that might put them or others
at risk, intervene and communicate you concerns.

DOF Group

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47
SAFETY CULTURE 2

The preferred roll out model for the BBS program is as follow:
There are various ways of rolling out the five barriers. The preferred way
is to gather a mixture of offshore and onshore personnel at a third party
conference centre for a one day seminar.
There are various companies that can deliver a HSE culture day for our
industry as long they have been well briefed on who we are and how we
work.
Effect Leadership AS has been used by our organisation in Brazil, Norway
and Houston. However, each region is free to use any company they wish.
It is recommended to use 3 hours to go through the five barriers.

Co

Ab
rr
If out ec
tp
tio a c ta
k
o
n
un
r
o nf ing
th ior
av cer r co lict
Coailabl tain t st, saarise e time itis
mpe, w hat fet s be ne at
Ab
ou
liae sh a ta y ta twe ede ion
tb

ncou sk kes en d t
e

eld can pr sa o w
Pr ing l
o
oy
po
io fe
o

al
Re ced
to: stp be c rity ty i rk s
u
q
r

Gu uire e
on om un ssu af
ide me
e
e
t
p
D
i
Ope ec line nts
co le l t es a ly
m ted he
nd
n disiion s
pl
Abo
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We
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n
nes
un ly w ct is her
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as w hould
til ith re im
d tr
all f
ell a
w in so po
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e
st
safe
el o
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e
p
ly a
fe the lve rta
nd c r collea en to
el
d n
disc
ont
g
w tim . Th t ac
u
e
u
ribu
e
s
Contin
ar e gi is m tiv
te in . We s ss saf
i
uous ris a co hall a ety is
v
e
in en ea ty s
Just a
k asnsstreuc lways sues w
co or ns uc
simple
stivsemenques ith li
and use
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It is al
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fu
m
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t
r
t
l work
em
l ab
ol th at s p
ann ion w
habit
an
er d
sa th if w ro
thing un out taking tim
iscu hether agem
e
e out to
expecte
ent fety re e a duc
ssin
t
evalua
d occu
barrier
a
so r
g sa he job
te wha
rs. Onc
s to en
can t any w
t type of
sure th
e we ha
fety
isve urc e
le
at we d
b
ve esta
ac
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cidents issu
blished
s
thateca
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other
that, w
Caring about eacho no
ourselve
ha
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e can th
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s or othe
risk en use otheby othsomers at a
About taking responsibility and intervening when observing
risk
r safeety
. THIN
rs.
K, AS
orSothers
If you observe a colleague or manager doing something that might put them
ESS, A
CT
at risk, intervene and communicate you concerns.

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2 SAFETY CULTURE

Just Culture
Making mistakes is a natural part of human life. Our efforts to avoid
injuries, accidents or negative consequences for HSE depend on failures
being corrected sometimes through the intervention of another person.
The ability and willingness to intervene is an important aspect of an HSE
culture. Organisation and staffing also affect opportunities to intervene.
Our actions have consequences for ourselves and others. The way we
behave in an organisation normally arouses positive and negative
reactions, formal and informal. For a system of rewards and sanctions to
work well in practice, it must be perceived as fair and constructive.
In other words, reactions must be proportionate to the intentions behind
and the consequences of an action. We must distinguish between
intentional and unintentional behaviour. Organisations which apply
sanctions in the right way will thereby support trust and creativity.
We are all responsible for our actions but, under certain circumstances,
we are so far removed from these consequences that we find it hard to
imagine what they might be. This makes it important to think about HSE
in every phase from planning to execution and completion, and to try to
prevent undesirable consequences. Framework conditions are very
significant for our behaviour, but they do not absolve the individual from
taking personal responsibility for HSE work.
Just Culture is a tool used for dealing with non-compliance with DOF
Groups safety standards and is used to ensure that such breaches are
handled in an objective, proper and robust manner.
The Just Culture Process is a tool that can be used by a Line Manager to
engage individuals or groups to understand their involvement in decisions or actions that may have contributed to hazardous occurrences or
deviations. The Line Manager will then determine if an event, non
compliance or behaviour requires the implementation of Just Culture or
if it could be identified as an action item from an incident investigation.
Typical triggers, not related to incident investigations, may be negative
behaviours from monitoring of activities to identifying non compliance
with procedures or policies.
Key Benefits:
Provides a structured framework for management
to use in shaping workforce behaviours,
Is transparent, equitable and easy to apply,
Recognises where action needs to be taken,
Method of application builds trust & messages
with fair and reasonable expectations,
Promotes reporting.

Key Readings
A sound safety culture is a culture of
no blame where an atmosphere of
trust is present and people are encouraged to or even rewarded for providing
essential safety-related information
but where there is also a clear line
between acceptable and unacceptable
behaviour (Reason, 1997).

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49
SAFETY CULTURE 2

No

System
Induced
Error

No

Unacceptable
negligent
behavior

No

Adequate risk
assessment before
starting job?

Warnings/Negative performance appraisal

Reckless violation

Yes

Are procedures
workable?

Yes

Was it a
conscious decision
not to follow
procedure?

Supervisor is subject to
Just Culture flowchart

Just Culture Decision Tree, Typical Process of the Just Culture Methodology (Guideline- Just Culture).

Severe Sanctions

Malevolent
act

Yes

Were the
results
as intended?

No

No

No

Yes

Negligent
error

No

Coaching

Yes

System
produced error

Caused by inadequate,
procedures, training
selections,experience?

No

Would peers
make same
decision?

Yes

No

No
human error

Structural Review

Trainng
required

Yes

History of
deviations or
concernig
behaviors?

DOF Group

Yes

Were the
actions
as intended?

Yes

Was the job

understood?

Yes

Initiating event, behavior or

incident investigation identifies
need to use Just Culture tool

Just Culture Decision Tree

50
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2 SAFETY CULTURE

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51
SAFETY CULTURE 2

Guideline on the Application

of the Tool
The following provides clarification around the different decision and
outcome boxes below.
Was the job understood?

This is not always the starting point and depends on the circumstances.
The information gathered during the safety investigation will help understand if this
question should be considered.
If the question is asked and the answer is no, the supervisor is subject to the decision
tree.

Were the actions as intended?

Were you able to do what you were trying to do?

Were the results as intended?

Did your actions have the results you intended / expected?

Was it a conscious decision not

to follow procedure or policy?

The difference between believing you were following procedures and knowing you
werent.

Are procedures workable?

Workable = Practicable.
Were the procedures in any way inaccurate or not able to be followed?

Reckless violation?

Knowingly broke workable procedures, but didnt intend results.

System Induced Error?

When procedures arent workable or practicable or the system rewards the wrong
behaviour. The system needs to be reviewed to remove the system inducement that
caused the event.

Performed Adequate
Risk Assessment before starting?

For higher risk procedures, performed formal JHA, hazard assessment, etc For lower
risk procedures, used TIF or equivalent procedures to identify hazards. Was there an
appropriate level of rigour/ detail in the risk assessment or was it ticking boxes.

Would peers make the same decision?

Given the circumstances that existed, could a person from the peer group be sure
they would not have done the same thing. Peers would be persons performing the
same or similar job having similar training. In applying the question to more general
work tasks such as driving, peers would be deemed those driving with similar levels
of training.
This question captures instances where there is no detailed procedure and
performing a task requires certain training such as an electrician changing a switch.

Caused by unclear or inadequate

procedures, training, selection,
or experience?

Choosing a person not appropriately skilled or experienced for the job. This can be
determined from the individuals records or general knowledge of the person.

Negligent error?

Not in the right state of mind.

History of deviations or worrying

behaviour?

This can be determined from the individuals records or general knowledge of the
person. This question responds to a series of events which points to a pattern which
may indicate the need for training.

Training required?

This can be at Group (if passed peer test) and / or individual level.

No human error?

The need to learn from the event should not be lost. A wider structural review of the
people, procedures, systems and culture may be necessary to prevent recurrence

Decision Points Guideline

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Group Task
Based upon the following two cases, use the just culture
map to decide upon the correct reaction of management:

Case 1:
An employee has been seen going on to the aft deck
without a helmet on during operations, for the second
time in a week.

Case 2:
During a mobilisation, the vessel crew had to carry out
routine maintenance on the vessel. As part of the induction
to the company, and the vessel, the Permit system is
communicated to all personnel. It is a regularly used tool
on the vessel and personnel are well accustomed to the
procedure.
At the toolbox talk for the day, when the maintenance
schedule was discussed, no welding was anticipated.
However, other permits were issued for other maintenance
work and the permit process was reiterated to all present.
During the shift, a crew member noticed some damage
to the deck and decided to begin welding to repair the deck
as this was a small repair. He started without informing his
supervisor or requesting a hot work permit. This meant
there was no risk assessment conducted and no fire watch
was in place.
The welding was taking place near the muster point on the
starboard side of the vessel and below the muster point is
the captains day room. After 5 minutes of welding, the
vessels fire alarm sounded and the crew member ceased
welding and joined the rest of the crew at the muster
station. The vessels fire fighting team entered the captains
day room to find a small fire in the roof of the room (below
the point the crew member had been welding). There was
significant damage caused to the day room and the vessel
was forced to go to port for repairs.

HSEQ Workbook

DOF Group

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53
SAFETY CULTURE 2

Further Reading
For more information, see the
Just Culture Guideline in the BMS.

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Open Safety Dialogue

Open Safety Dialogue is a management tool used to enhance
management safety inspections by dialogue, and confrontation
if necessary, making agreements with individuals regarding safety
behaviour and revisiting the workplace to ensure that necessary
improvements have been made. Use of the above tools is to be
documented and followed up in the observation module in the BMS.
Open Safety Dialogue is a type of technique for advanced safety auditing based upon the following
principle:

Prepare

Observe

Discuss

Debrief

Discuss

Follow up

Time
Place
Activity

n of p

io
React

People working
Use all senses
t
Use the checklis
da
en
ag
an
te
ea
Cr
Establish trust
en)
Questions only (op
use an severity
ca
ry
inju
lish
tab
Es

ive measures
tat
ven
pre
h
Establis
ate
Praise as appropri
Make agreements
Lessons learned
Actions agreed
Mutual coaching
ance
Auditors perform
Establish trust
en)
Questions only (op
use an severity
ca
ry
Establish inju
tative measures
Establish preven
ate
pri
pro
ap
Praise as
Make agreements
nts
Check on agreeme
ments
ree
ag
l
na
rso
Own pe
provements
Organisational im

eople

n
ositio
ging p
job
e
h
t
Chan
g
angin
r
r
a
e
R
PPE
st for
Adju
n
etwee
in or b
t
h
g
u
Ca
ping
g/trip
Fallin y
kb
Stuc
face
s and
t
Head es and fee
, ey
ands
h
d
Ears
n
a
, skin
Lung

le

eop
n of p

Positio

PPE

he job
t for t
Righ
tly
r
r
o
c ec
Used ndition
co
Safe

Tools
ent
quipm
and e

uate?
Adeq
d?
blishe
Esta
?
d
e
in
ta
Main

dures
Proce
ard)
(stand
idy

ly & T

Order

hed?

s
stabli
ards e
d
n
a
t
S
d?
erstoo
Und
ed?
in
a
t
Main

ns:
uestio
q
l
a
?
c
i
Typ
e hurt
you b

could
y?
How
f injur
t it?
kind o
d?
t
a
reven
p
u
Wh
ppene
o
y
ld
u
e
o
t d ha b?
c
c
e
w
p
o
x
H
une
ur jo
t if the
out yo
Wha
me ab
ll
e
t
you
ong?
Can
go wr
d you?
ly?
could
toppe
s
t
I
a
h
k
e safe
W
ation?
ou thin e done mor
y
y situ
o
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n
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b
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r
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jo
Why
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n em
can th
do in a
How
ld you
u
o
w
t
Wha

DOF Group

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55
SAFETY CULTURE 2

Group Task
Practice the open safety
dialogue technique with one
of your fellow class mates.

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2 SAFETY CULTURE

Safety Rules
In the oil and gas industry, it is common for our
clients to issue safety rules that they want their
contractors to follow; different clients have different
rules. BPs golden rules and Shells life saving rules
are the best examples from the industry.
DOF Group accepts that clients impose these safety rules at our premises.
However, DOF Group has also established its own safety rules. Furthermore, we strongly recommend that each department manager carries out
a review to check whether it is necessary to have separate rules for their
own area of responsibility:

Own /
Local Rules

DOF Safety Rules

Client Rules

The life saving rules focus on modifying worker and supervisor behaviours
in the workplace by raising awareness of the activities which are most likely
to result in fatalities and simple actions individuals can take to protect
themselves and others.

HSEQ Workbook

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SAFETY CULTURE 2

OGP Life-Saving Rules

Core OGP Life-Saving Rules

Personal
Safety
Driving

Site
Safety
Control of
Work

International Oil and Gas Producers Association

Supplemental OGP Life-Saving Rules

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1. Obtain authorisation before entering a confined space

2. Protect yourself against a fall when working at height

3. Do not walk under a suspended load

4. Wear your seat belt

5. While driving, do not use your phone and do not exceed

speed limits

6. Follow prescribed Journey Management Plan

7. Work with a valid work permit when required

8. Verify isolation before work begins and use

the specified life protecting equipment

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SAFETY CULTURE 2

9. Prevent dropped objects

10. Position yourself in a safe zone in relation to moving

and energised equipment

11. Obtain authorisation before starting excavation activities

12. Conduct gas tests when required

13. Wear a personal flotation device when required

14. Do not work under or near overhead electric power lines

15. No alcohol or drugs while working or driving

16. Do not smoke outside designated smoking areas

17. Obtain authorisation before overriding or disabling safety

critical equipment

18. Follow prescribed lift plan

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DOFS 10 LIFE SAVING RULES

1. Always carry out a risk assessment and ensure
required safety precautions are implemented
prior to starting any work
2. Work with a valid work permit where required
and obtain authorisation before overriding or
disabling safety critical equipment
3. Verify isolation before work begins and use
the specified life protecting equipment
4. Never cross safety barriers or enter prohibited
areas and follow safety signs
5. Keep work sites clean, tidy and obstruction-free
6. Always plan every lifting operation and never
walk under a suspended load.
7. Obtain authorisation before entering a confined
space and conduct gas tests when required
8. Use fall protection equipment when working
at heights
9. No alcohol or illegal substances when
performing activities for the DOF Group
10. Whilst driving always wear vehicle seat belts,
never use mobile phones and do not exceed
speed limits

What a company expects from the employees:

Know the rules; both DOF rules and client rules, as well
as local rules at the workplace
Ask, if you do not know the Rule(s)
Notify your supervisor if you do not have the tools, equipment,
processes to comply with the Rules
You have an obligation to intervene by using your Stop Work
Authority if you see an unsafe act or condition, as long as it is
safe to do so
Correct your behaviour immediately if one of your co-workers
intervenes because of an unsafe act
Report all violations of Life-Saving Rules via the safety
observation system or incident reports
Utilise existing HSE systems, e.g. safety meetings, toolbox talks,
observation programme, etc. to keep Life Saving Rules fresh

HSEQ Workbook

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SAFETY CULTURE 2

Classroom safety rules

Group Task
Develop 5 safety rules
for this classroom.

Key points from this module are

Culture can be defined as the ways of thinking,
behaving and believing that members of a social
unit have in common. A safety culture is a special
case of such a culture, one in which safety has a
special place in the concerns of those who work
for the organisation.
DOF Safety Culture Program is based upon four
elements: Safe Behaviour, Just Culture, Open
Safety Dialogue and HSE Rules.
Just Culture is a tool used for dealing with noncompliance with DOF Group safety standards
and is to ensure that such breaches are handled
in an objective, proper and robust manner.
Open safety dialogue is a type of technique
for advanced safety auditing.

The Behavioural Based Program is based upon

the importance of having consistent and robust
barriers in place at the workplace. Through crew
gatherings as well as follow up on the vessels,
the barriers are believed to play a key role in
avoiding accidents and incidents at the workplace: Correct prioritisation, Compliance,
Open dialogue, Continuous risk assessment
and Caring about each other.
The life saving rules focus on modifying
worker and supervisor behaviours in the workplace by raising awareness of the activities
which are most likely to result in fatalities and
simple actions individuals can take to protect
themselves and others.

DOF Group

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Module

RISK
MANAGEMENT
INTRODUCTION 64
RISK PERCEPTION

65

RISK MANAGEMENT PRINCIPLES

68

The Risk Management Process

68

Risk Control Measures

69

Risk Reduction Principles As Low As Reasonably Practicable (ALARP)

70

Risk Management Effectiveness over Time

71

Risk Rating (DOF Group Risk Matrix)

72

Risk Register

73

RISK MANAGEMENT IN THE BUSINESS CYCLE

76

Risk Management in Business Acquisition

76

Risk Management in Project Execution

77

Risk Management within Engineering

78

Risk Management - Project Operations

78

Risk Management in Marine/Vessel Operations

78

RISK ASSESSMENT TOOLS

80

Conceptual and Design Review

80

Constructability Review

80

Failure Mode Effect Analysis (FMEA)

81

Hazard Identification (HAZID) and Risk Assessment Studies (HIRA)

82

On-Site Risk Assessments

82

Permit to Work (PTW)

83

Toolbox Talk/Pre-start Meetings

84

MANAGEMENT OF CHANGE (MOC)

85

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Aim of the Course

Key Readings

Promote the importance of managing risk;

A risk is the likelihood of a hazard

causing harm, loss, injury or other
adverse consequences.

T
o ensure personnel are aware of and understand the
wide range of risk management techniques and their
appropriate application;
Provide an opportunity to attend a risk assessment;
T
o train personnel in the use of appropriate risk
assessment and risk management techniques as
a practical means of improving safety within all work
activities.

Introduction
Experiences gained in the offshore industry
demonstrate the inherent risks within the sector.
The capsizing and subsequent sinking of the Bourbon
Dolphin in 2007 illustrates the consequences of
accidents if risks are not correctly managed.
HSE regulations worldwide require all players to analyse their own
activities in detail in order to map how dangerous situations can occur
and escalate. The potential consequences shall be identified and relevant
risk reduced and / or preventative measures taken accordingly.
The DOF Group addresses risks at all levels and stages within the
business cycle. This ranges from business acquisitions and procurement
through to project execution and marine operations.

Risk can never be eliminated, but

it can be reduced and managed.
A hazard is anything that has
the potential to cause harm,
loss or damage.

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RISK MANAGEMENT 3

Risk Perception
The concept of risk has been established to help us
understand and cope with danger and uncertainty.
Risk perception is how we, as individuals, take in,
feel, and apprehend the threat. Our perception of
risk varies in relation to both the individual and the
context.
A misjudgement of risk may lead to inappropriate decisions and an unsafe
behaviour or human error risk perception is a critical factor in how people
behave when faced with risk.
We accept a certain level of risk in our lives as necessary to achieve certain
benefits, and the higher the benefit the more likely we will accept the risk.

Perception

Internal factors
Experience / Training
Memory
Stress
Mood

Decisions

Safe or at risk behaviours

Safety programs often focus on
decisions & behaviours
From Perception to Decision and actual behaviours

External factors
Environment
Exposure
Groups
Signs

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Studies reveal that people will accept risks 1,000% greater if they are
voluntary (e.g. driving a car) than if they are involuntary (e.g. a nuclear
disaster).

Car accident

Nuclear disaster

The majority of people in the general public express a greater concern for
problems which appear to possess an immediate effect on everyday life,
such as hazardous waste or pesticide-use than for long-term problems
that may affect future generations, such as climate change or population
growth.

Pesticide use

Climate change (draught)

DOF Group

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67
RISK MANAGEMENT 3

Task
A driver is asked to move a forklift
from one side of a busy yard to
another whilst lifting a wooden
crate containing fragile equipment.

Please list the Hazards that may

be present.

Alternatively, discuss risk perception

related to:

Driving abroad
Travelling by air
(airplane/ helicopter)
Working at heights

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Risk Management Principles

The Risk Management Process

Key Words

The risk management process is designed to

identify, assess magnitude and likelihood, control
and mitigate the consequences of any hazard in
the business activities of the DOF Group.

Risk management is important to:

Reduce accidents
Reduce costs
Improve quality
Improve staff moral
A
chieve good management
practice
Improve resource allocation

The risk management process can be applied to all phases of business

management and operations and are as follows:

1 Identification of all the risks including those induced by a change

to procedures and or / planned work.

2 Evaluation of the identified risks.

3 Determine the level of the identified risks.

4 Determine suitable measures required to control the risk.

5 Implementation of control measures.

6 Monitor effectiveness of control.

In many cases, risk assessment does not involve a complicated scientific

formula. It is about making informed decisions based on information
about the hazards, who / what may be harmed, how they may be harmed
and the existing control measures. Recording and monitoring of risk
assessments and the risk assessment process provide a method for continual
improvement.

Risk can never be eliminated, but

it can be reduced and managed

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69
RISK MANAGEMENT 3

Risk Control Measures

Hierarchy of Controls
Risk elimination or reduction shall be preferred prior to the adoption
of protective measures.
Elimination or reduction means proactive measures such as choosing
another line of business, a different method of construction or equipment,
or an improved operational procedure.
Protection means reactive measures which reduce the risk, such
as personal protective equipment and emergency response.

Personal Protective Equipment (PPE)

Administration

Engineering

Substitution

Elimination

Task
Please discuss the hierarchy of
control measures in the illustration
above with regards to the picture
on page 62.
Which type of controls are in place
here?

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Risk Reduction Principles

As Low As Reasonably Practicable (ALARP)
Risks shall be limited in accordance with national legislation, internal
requirements and acceptance / client criteria which have been specified
for the business / operations. In addition, the risk shall be further reduced
to the extent reasonably practicable.

Increasing individual Risks and Societal Concerns

This means that the risk shall be reduced beyond the regulations'
minimum level or internal acceptance criteria, if this can take place
without unreasonable costs or drawbacks. This is the ALARP-principle.

Unacceptable
Region

High Risk

Tolerable
Region
(ALARP)

Medium Risk

Low Risk

Broadly
acceptable
Region

Key Readings
ALARP is short for as low as
reasonably practicable. The basic
idea behind this concept is that risk
should be reduced to a reasonable
level that is as low as possible without requiring excessive investment.

Risk cannot be tolerated

(except in extraordinary
circumstances).

Risk tolerable if reduction is impracticable

or cost is grossly disproportionate to the
improvement gained.
Risk tolerable if cost reduction would
exceed the improvement gained.

No additional measures are

necessary except maintaining
usual precautions.

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RISK MANAGEMENT 3

Risk Management Effectiveness over Time

The earlier a risk is identified, the greater the ability is to reduce it.
Risks identified late in a task will be more difficult to manage. i.e. as
a HAZID is conducted with work procedures written.

Optimal

Influence on Risk

Effectiveness of risk reduction

Cost of risk reduction

Too late

Time

When a specific risk has been identified and a suitable and sufficient
control measure implemented, the control measure itself should be
assessed using one of the risk management tools that have been adopted
by the DOF Group.

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Risk Rating (DOF Group Risk Matrix)

The process to determine Risk Rating is:

What is the consequence or severity of the identified risk

(severity or consequence)

What is the likelihood or probability of the identified risk

occurring (likelihood or probability)

The Risk Rating is a combination of these two criteria:

Risk = Consequence x Probability

The Consequence Criteria are defined in the Matrix at page 74 in terms

of Safety (harm to people), Financial Impact as well as Environmental
Impact. The highest consequence figure for any of these three criteria
should be used to determine the Risk Rating.
The Probability Criteria are expressed in terms of the risk assessment
teams knowledge, lessons learned and experience.

My ambition is to make this Group a world leader and the

preferred service provider, recognised by our shareholders
as a dependable, reliable and competent partner. Placing excellence, safety and quality at the heart of all our activities will
vastly contribute towards achieving this ambition.
Mons Aase, CEO

DOF Group

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73
RISK MANAGEMENT 3

Risk Register
The Risk Register records details of all the risks identified at the
beginning and during the life of the project. Risks are detailed with:
Likelihood of occurring
Seriousness of impact on the project
Initial plans for mitigating each high level risk
The costs and responsibilities of the prescribed mitigation strategies
and subsequent results
A Risk Register is a Risk Management tool commonly used in Project
Management and organisational risk assessments.
This Register should be maintained throughout the project and will
change regularly as existing risks are re-graded in the light of the
effectiveness of the mitigation strategy, and new risks are identified.
A Risk Register is used to:
Provide a useful tool for managing and reducing the risks
identified before and during the project;
Document risk mitigation strategies being pursued in response
to the identified risks and their grading in terms of likelihood
and severity.
Provide the project sponsor, steering committee/senior
management with a documented framework from which risk
status can be reported;
Ensure the effective communication of risk management
issues to key stakeholders;
Provide a mechanism for seeking and acting on feedback
to encourage the involvement of the key shareholders; and
Identify the mitigation actions required for implementation
of the risk management plan.

DG-HS-ST-0002

- Rev. No:

- Date issued:

High (5)
Multiple fatality
is credible

Stig Clem entsen

Document Owner:

*Currency is in US $

Serious economic
liability on the
business.
Major Loss

Potentially harms
or adversely
affects the
environment and
has the potential
for w idespread
public concern
implicating DOF
operations.

More than one

fatality or more
than one
permanent
disabling injuries,
occupational
illnesses and/or
diseases.

Medium (4)
Fatality or
multiple serious
injury is
credible

Extensive Damage / Loss

of Asset / equipment
requiring long term repair
or asset w rite off.
Operations / Project
activities terminated

Major damage to asset /

equipment requiring
specialist repair service
and facilities.
Operations / Project
programs delayed > 7
days

Localised damage to
assets requiring specialist
repair service (onsite) and
equipment.
Operations / Project
programs delayed (2-7
days)

Localised damage to
equipment requiring onsite
repair. Parts and services
available or sent to site.
Operations / Project
program delayed( <2
days)

Minor damage to asset /

equipment not requiring
immediate repair undertaken outside of
project
Operations / Project
Program continuity (no
delay)

Assets and Operations

John Cam eron

10

Conceivable but w ould

require multiple failures of
systems and controls

20

16

12

25

20

15

10

Andre Storeb

Document Approver:

Page:

1 of 1

The task must not proceed. It should be redefined or further control measures put in place to reduce risk. The controls should be re-assessed for adequacy prior to
task commencement.

Overall Risk Rating : High

Overall Risk Rating : Medium

Task should only proceed w ith appropriate management authorisation after consultation w ith specialist personnel and assessment team. Where possible, the task
should be redefined to take account of the hazards involved or the risk should be reduced further prior to task commencement.

15

12

Likely to occur and the team

have direct know ledge of a
similar event

High (5)

>Medium (4)
More than average i.e. the
team do not have direct
know ledge but are aw are a
similar event has occurred
and represents a credible
scenario

Medium (3)
Less than average i.e. easy to
postulate a scenario for
accident but considered
unlikely

May be acceptable, how ever, review task to see if risk can be reduced further

Overall Risk Rating : Low

Not credible i.e. the team

have never heard of event
occurring in industry

Low (2)

DISCLAIMER: This printed document is an uncontrolled copy and cannot be used unless the content and revision (version) is verified.

Document Originator (Author):

15 25

7 14

1- 6

>$2,000,000

$500,000 $2,000,000

$250,000 $500,000

$10,000 $250,000

<$10,000

Financial

< Low (1)

Likelihood (Probability)

DOF Group

Risk Priority Code:

Significant
Damage Loss

Potentially harms
or adversely
effects the
environment.
Requires
specialist
expertise or
resources for
correction

Single fatality / life

threatening /
serious health
effects or
permanent
disablement
through w ork
injury or
occupational
illness or disease
LTI

Moderate Loss

Minor Loss

Loss

Com pany
Integrity

Presents limited
harm to the
environment and
requires general
experience and
resources for
correction

Presents limited
harm to the
environment and
requires minor
corrective actions

Presents no harm
to the
environment and
requires minor
corrective actions

Environm ental
(any incident
that.)

Single Serious
injury w ith the
prospect of
complete recovery
MTI, RDI,.

Injury/ slight
health effect
w hich requires a
one off visit to a
medically qualified
person. (FAI)

Negligible, No
treatment , not
required to visit
medical personnel
/ first Aiders

Injury / Ill Health

RISK Event Potential Matrix

03/12/2012

Medium (3)
A single serious
injury is
credible

Low (2)
Only a minor
injury is
credible

Low (1)
Injury is not
credible

Document No:

Global Standard - Risk Matrix

Document title:

Severity (Consequence)

74
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3 RISK MANAGEMENT

Hazards Identified

Risk Level

Activity Description

Existing
Controls

Location:

No.

Hazard
Effect

Date:

Cons.

No

Prob.

Toolbox Talk carried out? Yes

Equipment:

Additional Control
Measures

Residual Risk

By Whom:

Cons.

Project/Task:

Risk

Date:

Prob.

Team Members:

Risk

Global Risk Assessment Worksheet

Action By

Ref. No.:

Action
Deadline

DOF Group
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75

RISK MANAGEMENT 3

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Risk Management
in the Business Cycle
Key Readings
Risk Management is used throughout the business cycle
Business Acquisition Phase
(Tender) Review;
Contract Award Phase
Budget allocation and review;
Project Initiation
Methodology and design basis;
Project Planning
Procedural / Engineering
development;
Project Execution
Construction / Installation/
Commissioning;
Marine operations

Risk Management in the Business Acquisitions

Identify
Opportunities

Getting to
bidders list

During the business acquisition stage of the business cycle, a risk

assessment is conducted as part of the tender process. The risk assessment is conducted at the Prepare Tender stage, as outlined above.
This involves both qualitative and quantitative based risk assessments.
The Business Acquisition risk assessment process encompasses a wide
scope of focus areas ranging from health and safety to financial and
scheduling. This process is outlined in the Prepare and Issue Tender
Process Map in the BMS

Prepare
Tender

Handover to
Project Manager

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RISK MANAGEMENT 3

Risk Management in Project Execution

Risk Management is used at various stages of project execution:

Project
Initiation

Methodology and design basis

Project
Planning

Procedural / Engineering development

Project
Execution

Construction / Installation / Commissioning

Project
Close-out

Lessons Learned

For all DOF Groups operations and projects, there are legislative, internal
and client requirements for execution of hazard and risk assessments for
onshore and offshore operational activities.
The environment in which project operations take place is governed by a
number of legislative, internal and client stipulations for risk assessment
and risk reduction measures. These vary depending on the location and
the scope of work. Environmental aspect assessment and subsequent
management is a proactive approach to fulfilling these legislative
equirements.
A Project Risk Register is a commonly used tool within the DOF Group
for managing projects and organisational risk assessments.
It acts as a central repository for all risks identified by either Projects or
Marine operations. Each risk identified includes information such as risk
probability, impact, risk reduction measures, risk owner and so on.
Actions identified within the Risk Register should be logged within the BMS.

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Risk Management within Engineering

DOF Groups methods for risk management within engineering
may include the following:
Conceptual Hazard Analysis - Design Review
Constructability Review
Hazard Identification & Risk Assessment
Qualitative Risk Analysis (QRA)

Risk Management Project Operations

Throughout all operational activities, DOF Group utilises one risk
assessment template which can be used both prior to and during
operational activities.
By using this tool for operational activities, the hazard and risk management process by which hazards are identified shall be implemented, their
significance assessed, and the necessary means of elimination/control/
mitigation determined. DOF Groups methods for risk management
within operations include the following:
Project risk assessment (based upon the procedure)
Risk assessment on site
Observation (Observation Cards)
Toolbox / Pre-start Meetings
Management of change process
Operational HAZID reviews and assessments

Risk Management in Marine / Vessel Operations

DOF Group is required by legislative, internal, field and client requirements to carry out a risk assessment for certain activities and operations.
Risk Management is used at various stages of Marine activities/operations:
Contract Award Phase Budget allocation and review;
Project Initiation Methodology and design basis
(New Builds and Re-fit)
Project Planning Procedural / Engineering development
Project Execution Construction / Installation / Commissioning
All marine based risk assessments are conducted utilising the DOF Group
Risk Assessment Template.

HSEQ Workbook

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Skandi Nova

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3 RISK MANAGEMENT

Risk Assessment Tools

Conceptual and Design Review
The objective of the Conceptual & Design Reviews is to enable the
clarification of engineering & design safety issues or potential safety
issues as they may relate to hazards/risks but also with respect to safety
scope definitions and specifications. This is achieved through utilising the
expertise and knowledge of project and client representatives in a formal
and controlled manner. When required, a design safety review will be
carried out on or before completion of principle design engineering
documents, general arrangement plans and process identification
diagrams etc. The Project Manager is responsible for undertaking
conceptual & design reviews and shall ensure that the appropriate
personnel attend and that the review is recorded within the risk register.

Constructability Review
Constructability reviews are normally held following issue of engineering
construction / installation procedures at revision A status. The review
addresses all elements of the work scope, which may include installation
engineering, fabrication, mobilisation, and offshore installation and
pre-commissioning. The purpose of the constructability review is to
highlight any issues to allow the development of solutions / control
measures with regard to design, installation engineering, HSE,
installability, quality, schedule, equipment, assets and resource provision.
The findings and actions arising from the constructability review are
entered into a project specific risk register. The Line / Project Manager
assigns responsibilities and deadlines for completion of actions.
The supervisory engineer is responsible for documenting the way in
which the action has been closed out and ensures this has been reflected
within the relevant construction / installation procedure(s).

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Failure Mode Effect Analysis (FMEA)

FMEA is a systematic analysis of the systems to whatever level of detail
is required to demonstrate that no single failure will cause an undesired
event. This should be conducted as early as possible to ensure the greatest
benefit.
There are a number of standards to which an FMEA can be carried out.
The use of standards is important so that the FMEA will be accepted by
all parties interested in it.
The Project Manager will appoint the FMEA Team. It will include as a
minimum an analyst expert in the use of FMEAs who is fully conversant
in the architecture and operation of the equipment, system or process
to be analysed. The FMEA is likely to be conducted by an external
contractor appointed by the Project Manager in consultation with
the Engineering Manager.
A successful FMEA activity helps a team to identify potential failure
modes based on past experience with similar products or processes or
based on common sense and logic, enabling the team to design those
failures out of the system with the minimum of effort and resource
expenditure, thereby reducing development time and costs.
Failure modes are any errors or defects in a process, design, or item,
especially those that affect the intended function of the product and or
process, and can be potential or actual. Effects analysis refers to studying
the consequences of those failures at different system levels.

The outcomes of an FMEA development are actions to prevent or

reduce the severity or likelihood of failures, starting with the highest
priority. These may be used to evaluate risk management priorities
for mitigating known threat vulnerabilities. FMEA helps select
remedial actions that reduce cumulative impacts of life-cycle
consequences (risks) from a systems failure (fault).

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Hazard Identification (HAZID)

and Risk Assessment Studies (HIRA)
Each DOF Group project and / or major operation and any other relevant
activity will be subject to a detailed HAZID & Risk Assessment (HIRA)
prior to commencing project operations. The overall aim is to identify
all foreseeable hazards arising from the work scope, ensuring these are
adequately controlled and risks quantified using the DOF Group Risk
Matrix.
HAZID is a formal in-depth study to identify the hazards, the risks, the
controls, and the evaluation of whether these risks are acceptable using
quantitative methods. A HAZID is carried out by a team. The team will
vary depending upon the exact scope of the HAZID but representatives
from Operations (Projects), Engineering, HSEQ Departments may be
required. Client Representatives, Subcontractor and Supplier representatives may also be of value. The timing of a HAZID is critical to maximising
the benefit i.e. the earlier in the project cycle the greater the benefit.
A HIRA register is compiled from the output from the HIRA. The Project
Manager assigns all resulting actions to individuals who will be responsible
for the close out. Once all actions are closed out, the HIRA will be issued
to project personnel and appended to work procedures to ensure effective
communication of the risk assessment throughout the project work team.

On-Site Risk Assessments

On-site risk assessments are conducted to evaluate any risk, assumptions
and uncertainty so as to ensure clarity. They will be utilised regularly
throughout the DOF Group to assess specific worksite risks and specific
tasks. They are conducted using the DOF Group Risk Matrix and Risk
Assessment Form which are located in the BMS.

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RISK MANAGEMENT 3

Permit to Work (PTW)

The Permit to Work system is required to maintain a high level of safety in
the operation and maintenance of the worksites.
The need for Work Permits is found primarily in non-routine work, likely
to involve risk or create hazards which can adversely affect the worksite
and its personnel.
A Permit to Work system is however only part of an overall safety system
for work which is dependent upon those who issue permits and those who
work with them.
Permit types:
Hot Work permits;

Preparation of Permit to Work

Operation and Safety preparations

Approval/authorization of work

Precautions prior/during work executions

Isolation / Electrical permits;

Confined Space Entry permit;
In addition to the above, some facilities may have permits for specific
activities which may include but not be limited to:
Work at heights / work over water permit;
Lifting operations;
Field / Operational zone entry permit
Diving / ROV operations

Permit issue

Completion

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Roles and Responsibilities Permit to Work

Vessel Master

Permit Holder

Area Authority

Overall responsibility for

ensuring the application
review of the permit
system onboard.

The permit holder is the

person conducting the work
or supervising the work and
is responsible for ensuring
the precautions are in place.

The responsible person in the

area the work is being carried
out such as shift supervisor.
Responsible for inspecting
work area and giving approval
for work to commence.

Area Technician
and Isolating Authority
Responsible for the plant or
the area where the work is
taking place and responsible
for isolation certificates.

Issuing Authority

Authorized Gas Tester

Person responsible for

managing the permits and
granting permits.

Responsible for conducting

tasks in support of the permit.
Authorised by the vessel
master to conduct this role.

Toolbox Talk / Pre-start Meetings

The Toolbox Talk (TBT) objective is to communicate all relevant Risk
Assessments and capture any specific controls not already identified
to the work party. All Personnel involved in the work activity must
participate in the TBT and sign as being present.

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RISK MANAGEMENT 3

Management of Change (MoC)

Further Readings

DOF Group strives to always work safely and efficiently. Part of this
process is managing change. All employees and contractors working
for DOF Group are responsible for monitoring the need for changes
within their field of expertise.

To learn more about risk

management, please complete the
relevant E-Learning modules related
to risk management.

Changes may be a result of a countless number of causes, i.e.;

See also the DOF Group Risk

Manual and the global Management
of Change standard for further
information.

Deviation from Standard Company Procedures and Vessel

Management Procedures
Modifications to vessels and equipment
Changes to the sequence of offshore operations
Deviation from specific safe working practice or work instructions
Use of an existing piece of equipment for a new task
Where this occurs, the Management of Change process will be followed to
ensure that any change and any consequences of the change are correctly
managed.

Key points from this module are

A risk is the likelihood of a hazard causing
harm, loss, injury or other adverse sequences.
Risk cannot be reduced to zero but it can be
managed effectively.
Internal factors such as experience, memory
and stress, in addition to external factors such
as environment and exposure affect our risk
perception and the level of risk we take in our
decisions.
A hazard is anything that has the potential to
cause harm, loss or damage. With risk management, we aim to remove and, if removal is not
possible, reduce the hazard.
ALARP is short for as low as reasonably
practicable. Reasonably practicable involves
weighing a risk against the trouble, time and
money needed to control it.

The Risk Rating is a combination

of consequence and probability.
Risk management is important to: reduce
accidents, reduce costs, improve quality,
improve staff moral, strengthen good
management practice and improve
resource allocation.
The steps of risk management are identifying
the hazards, assessing the risk, controling
the risk, monitoring and reviewing the risk.
Risk Management Tools: DOF Group currently
utilises the following Risk Management Tools:
HAZID and HIRA, DOF Group Risk Assessment
Form, Tool Box Talk

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Toolbox Talk Assessment / Checklist

All Personnel involved in the work activity must participate in the Toolbox Talk (TBT) and sign below as being present.
The TBT objective is to communicate the Risk Assessment and capture any specific controls not already identified to the work party.
Work Location:
Work Activity:
Date:

Discipline:

Permit, Work Instruction

or Procedure No:
CHECKLIST/PROMPT (Tick where appropriate)

TRA, Lift Plan, COSHH

or Manual Handling No:

Type of operation to be
executed
Methods/procedures to be
adopted
PTW precautions/controls

Work equipment
Production/operational constraints

Hazardous substances
used/present
Isolation requirements

Human factor assessment

Conflicting activities

Safety equipment location

Crane/lifting requirements

Environmental considerations

Individual responsibilities for

controls
Access/egress

Confined space entry

requirements
Manual handling

Waste management

Tests/monitoring

Potential hazards

Working environmental
conditions

OPERATIONS SUMMARY

EQUIPMENT SUMMARY

SAFETY TOPICS DISCUSSED

ATTENDEES
Print Name

TALK CONDUCTED BY

Signature

Print Name

Signature

Planned By

Print Name:

Signature:

Date:

Talk Carried
Out By

Print Name:

Signature:

Date:

Procedures
Risk Assessment
Other Documents

Page:

(CF-04.004 Toolbox Talk Assessment / Checklist - Rev. No: 1.01 - Date issued: 04/01/2012)

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RISK MANAGEMENT 3

Permit to Work

Permit no:
Position/name
Area Authority:

Hot work

Well operation

Dangerous/hazardous substances

Work on hydrocarbon system Working at height

Isolation
Entry (confined space)

Gas Tester:

Other:

Permit Holder:_____________________________________________ Ph./UHF ch.:_________________

Work description: _______________________________________________________________________

Area Technician:

_____________________________________________________________________________________
_____________________________________________________________________________________

Date:

From hr:

To hr:

Extended to hour:
Area Authority (sign):
Issuing Authority (sign):
Area Technician (sign):

_____________________________________________________________________________________
Equipment/tools:_______________________________________ Dept./Discipline:____________________
Area / location:________________________________________ Deck:____________________________

Operations and Safety preparations

A: Required performed by Area Technician

Depressurization

Draining/emptying

Requires Isolation
Risk Assessment ref. no.:

Attachment:

Requires approval from engine room

Cleaning/gas freeing

Isolation by single valve/double block & bleed

Isolation by blind/Isolation plan

Safety tag/lock

Venting/Extra ventilation

Prevent release of oil/gas in the area

B: Required Performed by Permit Holder

Portable gas detector no.________________ on the worksite

Verify mechanical isolation

Electrical isolation/locking Tag no

Fire Extinguisher/fire prevention

Welding machine safely located and earthed

Continuous guard/radio communication

Drains blocked/covered

Barrier/warning sign/PA-announcement

Measures against radioactive radiation

Inspection of the area every ____________hour

Cooperate with Bridge/Area technician

Follow requirements for work above sea/at height

Toolbox Talk
Other:
System Isolation:
Mechanical

Chemical data sheet known and available

Procedures/checklist for the operation known Ref no:

Control of temporary lifting equipment

Follow requirements for Entry (confined space)

Special personal protective equipment

Other requirements/preparations:

Electrical
Isolation certificate nr:

Isolation Safety System:

Locally
Bridge
System:
Location/sensors/fire sensors no.:
Compensating measures:

Approval / Authorisation of work

Area Authority:

Master/Responsible Officer:

Time:

Remarks/requirements:

Precautions prior to / during work execution

Gas test value

Remarks:

Enclosed space:

Time:

Time:

Time:

Time:

Time:

HC/LEL:
O2:
H2S:
Other:
Sign:

Permit Issue

Precautions (section 4) and safety preparations (section 2b) are implemented

and will be fulfilled:
Permit Holder (time and sign.):

Work site prepared according to requirements in section 2 and 4.

Area Authority (sign.):

The work is approved by Bridge.

Issuing Authority (sign.):

Completion
Work completed Work not completed Work place cleaned & secured
Permit Holder (time and sign.):

All locks/tags removed

Yes

No

Equipment ready for operation

Yes

No

Area Authority (sign.):

Original: Permit Holder/ Work site

Yellow: Bridge

Pink: Area Auth./Permit board

Issuing Authority (sign.):

Original to be filed onboard for at least 6 months

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Module

EMERGENCY
RESPONSE
MANAGEMENT
INTRODUCTION 90
CRISIS AND EMERGENCY RESPONSE MANAGEMENT
PRINCIPLES AND ORGANISATION

92

Principles 92
Crisis and Emergency Response Organisation

93

Crisis and Emergency Response Levels and Principles

94

When Do We Mobilise?

95

CRISIS AND EMERGENCY RESPONSE MANAGEMENT TOOL:

CRISIS MANAGER

97

HUMAN RESPONSE TO EMERGENCIES AND CRISES

98

The Effects of Stress

98

Advice for Emergency Response Personnel

100

Common Behavioural Patterns in a Critical Situation

101

Routines for Notifying Media and Next-of-Kin

102

POST TRAUMATIC SUPPORT

104

Normal Reactions to Abnormal Situations

104

Supportive Measures after a Critical Incident

106

Advice for Self Treatment

109

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Aim of the Course

Key Readings

To promote the importance of managing crisis

and emergency situations

Crisis a sudden, unexpected

situation, which represents
a threat to the company.

To ensure personnel are aware of and understand

how the DOF Group handles crises and emergencies

Emergency a sudden state

of danger.

To help persons understand the possible human

reactions under stress and in crisis

Accident a sudden event leading

to injury to personnel, or damage
to the environment or to assets.

To provide knowledge on post traumatic reactions

To provide remedial support
To provide knowledge on handling the media
To provide knowledge on handling Next of Kin

Introduction
The DOF organisation must be able to handle the
situation in case of crises or emergencies. Crisis and
emergency response and management are based on
a thorough analysis of possible situations, defined
lines of responsibility and command, pre planned
actions, and ready access to adequate resources.
Key focus
Key to the management of any crisis or emergency situation within
the DOF Group is a prepared organisation and focus on the following:
People: Ensuring the safety of all personnel involved within the situation,
and of those that may be affected.
Environment: Minimising any impact on the environment;
Assets: Minimising the impact on DOF Groups facilities and assets
and restoring normal business operations as soon as possible;
Reputation: Avoid or manage adverse publicity regarding the situation
and defend the DOF Group, its shareholders and the industry at large;
Liability: Ensure plans are established to ensure business continuity
is maintained or re-established as soon as possible.
The effectiveness of the systems, plans and equipment for crisis and
emergency response management shall be periodically reviewed and
assessed, through drills or other means, in an effort to reflect changing
circumstances and ensure lessons learned are incorporated into future
plans and undertakings.

The main purpose of crisis and

emergency preparedness is to prevent
or limit the consequences of accidents and
near accidents. In addition, efforts shall be
made to maintain business continuity.

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EMERGENCY RESPONSE MANAGEMENT 4

Conditions for Solving Problems

We have to accept we have a problem

We have to define the problem

We need to gather information

We need to find alternative solutions and their consequences

We have to accept the chosen solution together

The Cougar Ace had ballasting problems and capsized on her way to Vancouver.

Task: Discuss
What are the major obstacles to
decision making in an emergency
situation?

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Crisis and Emergency

Response Management
Principles and Organisation

Key Readings
The company must establish
measures for the five phases of
crisis and emergency response:

Principles

1. Notification

Performance Requirements

2. Combating

1. The DOF organisation shall be prepared to handle crises

and emergencies.

3. Rescue
4. Evacuation

2. This entails that all personnel shall know how crisis and emergency
response is organised and practiced at company level and at their
own work place.

5. Normalisation

3. Equipment and facilities shall be appropriate, and personnel

shall be trained such that crisis and emergency responses can
be executed effectively;
4. Periodic scenario training exercises are to be undertaken
to verify the effectiveness of the emergency response system,
and are subjected to review to identify areas for improvement;
5. Training exercises shall include participation with external
organisations (e.g. clients, regulators, contractors, etc) who could
normally be involved during a crisis or emergency;
The effectiveness of the crisis and emergency response system is reviewed
subsequent to any situation when the emergency management team was
mobilised, in order to identify areas for improvement.

To be prepared is to be able to handle

the unexpected, through training in
the expected.

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EMERGENCY RESPONSE MANAGEMENT 4

Crisis and Emergency Response

Levels and Principles

Incident

Level

Level

Level

Tasks: Emergency Response Teams

(ERTs)
Fire Fighing
First Aid/Medical stabilisation
Rescue
Damage Control/Limitation
Recovery

Emergency Response Team (ERT)

Tasks: On Scene Commander (OSC)

On Scene Commander (OSC)

Providing Site Incident Response and
leading site ERT to effect rescue ad
resolve incident.
May call upon external local support
Notification to EMT Duty Manager

Prioritise issues and tasks

Co-ordinate of immediate support services
Casualty evacuation and reception
Liaise with contractors & site client reps
Notification and reporting from ERT
Recovery operations

Emergency Management Group

Duty Manager

Tasks: ERT Duty Manager

Regional Management Team

Tasks: Regional Emergency Management

Group

Emergency Team Leader (ERT)

Providing additional tactical support
to the OSC;
Identifying strategic elements of
the emergency will notify the Crisis
Management Team & client/Regulatory
bodies

Receive call and record site information;

Notify Regional Management Team

Coordinate:
Identification and resolution of issues;
Additional support & advice to site;
HR aspects of the emergency;
Notification & reporting from EMT;
Recovery and Repatriation
Liaise with client Emergency groups

Corporate Management Team

Corporate Management Team

Providing strategic management of crisis

issues with coordination of elements of
tactical response to the crisis

Manage:
Identification and resolution of issues;
Media & external affairs;
HR aspects of the crisis;
Notification & reporting to board;
Management of Regional & Corporate
impacts & Liabilities;
Liaise with Client Crisis group
on executive levels
Business Continuity Recovery

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Crisis and Emergency Response Organisation

DOF Group has defined 3 response levels:
Level

Emercency Response (Local)

An abnormal situation, which can be managed and contained using

the existing resources and authorities at the site, and for which external
resources are (initially) not required.
Level

Emergency Management Regional/Units

A situation for which, the site resources require additional support from
the regional crisis and emergency management organisation.
Level

Corporate Management Team

An incident or emergency that has the potential to significantly impact

company/project operations, reputation, or pose a substantial economic or
legal liability.

When Do We Mobilise?
Level

Examples of Emergency Events

Medical

Non-urgent Medivac.

Vessel/Facility

Person overboard and recovered safely.

Fire

Near miss where possible fire or explosion could

have occurred.

Enviroment

Marine Fuel Oil spill between 80 litres (0.5bbls) and

10,000 litres (70bbls).

Weather

A cyclone is moving closer and is within 48 hrs of

the site or at a distance of 350 to 600 nm from the site.
Site preparedness and undertake evacuation as per
project ERP requirements

Helicopter/
Aircraft

Near miss on takeoff or landing on a vessel or on land.

Helicopter is up to 15 minutes overdue for arrival with
no communications established.

Security issues

Known security breach activities near site.

Potential civil unrest.
Attempt to cause damage or sabotage.

Emergency Response, Level 1, is announced

using the local alarm system and declared by
the local manager. Upon declaration of an
emergency response, the local manager
(usually Site Manager / Vessel Master /
Offshore Manager) shall notify the EMT Duty
Manager (DM) and keep the DM informed of
the situation.

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EMERGENCY RESPONSE MANAGEMENT 4

Level

Examples of Emergency Events

Medical

Severe causalities or illness.

Multiple casualties.
Urgent Medivac. Single fatality.

Vessel/Facility

Overdue vessel and no communications established.

Evacuation of a facility / vessel. Person overboard and
missing.

Fire

Major fire or explosion.

Enviroment

Marine fuel Oil spill between 10,000 litres (70bbls)

and < 1,000,000 litres (< 7,000bbls).

Weather

Site has not been evacuated and or evacuation not

successful / appropriate. (Site is affected directly by
Severe Weather, i.e. Cyclone/Typhoon.)

Helicopter/
Aircraft

Communication failure. Emergency landing by helicopter

on a vessel or on land.
Helicopter is more than 30 minutes overdue for arrival
and no communications established.

Security issues

Attempted illegal boarding of facilities.

Deliberate damage to facilities. Detainment or arrest.
Physical forced entry into office or facility areas to cause
disruption.

Emergency Management, Level 2, is declared

by the ERT Duty Manager.
The emergency management team is the team
to provide regional operational level support at
the scene of the incident.

Level

Examples of Emergency Events

Medical

Multiple fatalities.

Vessel/Facility

Collision causing possible vessel loss.

Bomb threat / explosion. Abandonment of a facility/
vessel.

Fire

Major oil spill > 1,000,000 litres (7,000bbls).

(Note this event is not feasible with current vessel
fuel capacity.)

Enviroment

Major oil spill > 1,000,000 litres (7,000bbls).

(Note this event is not feasible with current vessel
fuel capacity.)

Weather

Total loss of communications with vessel / site. EMT cannot identify situation at vessel / site after severe weather
has passed location. Potential loss / major damage to
assets / multiple fatalities.

Helicopter/
Aircraft

Helicopter crashed en-route to or from a vessel.

Security issues

Boarding of vessel / facilities. Possible industrial

espionage.
Threat to kidnap or extortion.
Kidnapping of personnel from vessel / facilities.

Crisis Management, Level 3, is declared

by the regional Executive Vice President (or
delegate).
Crisis Management is the centrally coordinated
corporate strategic response, with the support
of the Corporate Management team, to higher
level Government, Non Government Organisations (NGOs) and Regulatory bodies.

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CEO

HSEQ

HR

Operations
Marine

CFO/Media

Subsea

DOF Brasil
NORWAY

UK

HOUSTON

CANADA

ANGOLA

PERTH

Level

3
DOF
Management

ERT Lead

ERT Lead

ERT Lead

ERT Lead

ERT Lead

ERT Lead

ERT Lead

ERT Lead

Vessel Manager

Project Manager

Project Manager

Project Manager

Project Manager

Project Manager

Project Manager

Vessel Manager

HSEQ

HSEQ

HSEQ

HSEQ

HSEQ

HSEQ

HSEQ

HSEQ

MEDIA

MEDIA

MEDIA

MEDIA

MEDIA

MEDIA

MEDIA

MEDIA

HR

HR

HR

HR

HR

HR

HR

HR

Next of
Kin Group

Technical
Support Group

Coordination and communication

regarding Crisis Management is
through our Crisis Manager Tool

Incident
Site

The Sealand Express was anchored off the coast of Cape Town South Africa in 2004

Level

Media
Support Group

Level

Coordination and communication

regarding Crisis Management is
through our Crisis Manager Tool

Legal

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EMERGENCY RESPONSE MANAGEMENT 4

Crisis and Emergency

Response Management Tool:
Crisis Manager
Crisis Manager (CM) is an electronic tool for
handling crises and emergencies. All fact sheets
from the entire DOF ASA Group are incorporated
into the system. CM covers necessary actions to
handle all types of crises and emergencies on levels
2 and 3. All level 2 organisations can communicate
with each other within the system if needed. The
system can handle several situations simultaneously.

Analyze & Plan

Learn & Exercise

Alert, Email, Voice,

SMS, Smartphone

All levels
1.3 - Strategic
1.2 - Command

Media, Regulatory,
Next-of-Kin, Stockholders

Plan

Educate

Mobilize

Manage

Inform

Process Plans

Learning Solution

Notify and Execute

Operations Center

Info Publisher

Define contingencies
and develop incidentspecific plans.

Train, exercise, test

and certify team
members.

Duty planner build,

maintain groups,
alert teams, roles
and instantly notify,
execute predefined
action plans.

Assign and execute

tasks, view real-time
updates, manage
staff, resources,
measure and monitor,
reporting, Dashboards.

Update intranet,
extranet and Internet,
social media.

Source, IntraPoint

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Human Response
to Emergencies and Crises
Characteristics of a Critical Situation:
Entails a threat
Usually arises quickly, is unpredictable and new
Happens dramatically
Creates stress - Usual coping strategies and resources are not sufficient;
Intense interest from the outside world media are first to know

The Effects of Stress

Everyone who experiences a dramatic situation is touched by it, including
emergency response workers and managers. Stress can be constructive in
the sense that creativity may be triggered and productivity increased.
On the other hand, stress in such situations is usually combined with fear,
and may lead to destructive reactions, bodily as well as mentally, among
persons involved.

Negative stress

Motivation

Constantly behind in work

Promotion

Divorce

Having kids

Strong work pressure

Bought a new house

Computer problems

Positive Stress

Negative Stress

Capacity

Positive stress

Won a prize
New job / position

Actual Performance

Stress is a perceived discrepancy

between demands from the
surroundings, and resources at hand.

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EMERGENCY RESPONSE MANAGEMENT 4

Task: Discuss
Please discuss in small groups the
difference between positive stress
and negative stress.
Use personal experiences from your
own workdays.

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The effects of stress may display as a variety of negative signals,

physiological, emotional, and mental. Common for these reactions is that
they may adversely affect rational thinking and adequate behaviour.
These reactions also affect our decisions.

Common Reactions in a crisis

Physiological

Emotional

Mental

Unease

Fear / anxiety

Confusion

Increased pulse

Irritability

Rigid thinking

Heavy breathing

Anger, aggression

Mental tunnel vision

Thumping heart

Sadness

Sleeping difficulties

Nausea / vomiting

Crying and despair

Hearing problems

Perspiration / shivers

Unreality

Reduced concentration
and attention

Restless

Overwhelmed

Overactive

Helpless

Apathetic

Advice for Emergency Response Personnel

When youre needed, you need the procedure in your head,
not your head in the procedure
Think, keep control over yourself
Be compassionate
Ask for help if you need it
Know the basic routines used by police, hospitals, clients
and DOF with regards to notifying next of kin
Media are to be treated courteously and firmly

Successful stress management is based

on prevention and planning, a solid
understanding of roles and responsibilities,
support for colleagues, good self-care,
and seeking help when needed.

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EMERGENCY RESPONSE MANAGEMENT 4

Common Behavioural Patterns in a Critical Situation

People may react individually, depending on the situation, but primarily,
humans react to threats in three ways: Fight, Flight or Freeze.
Fight
People will combat the situation.
Flight
People will escape from the situation
Freeze
Most people do not perceive the threat, and await instructions/further
information, or people are paralysed by the threat, leading to apathy.

10-30%

50-75%

1-3%

10-25%

Peoples ability to react and cope constructively is based on their

experience, practice, and knowledge. Being trained may greatly
influence a persons behaviour during a critical situation:

Different behavioural patterns. Scientific studies conclude

differently, but peoples reactions towards catastrophes are
shown in the illustration above. Source: Lars Weisth

Trained

Untrained

Discuss in Groups

Fight
Stalking actions

Actions motivated by ego

Discuss the Fight, Flight and Freeze

reactions in case of a;

Precise actions

Uncoordinated movements

Severe emergency situation in DOF

Calm mindset

Hyper, unfocused, overreacts

Flight
Orderly retreat

Unrestrained running

Situational awareness

Unaware of surroundings

Mental alertness

Panicked state

Freeze
Hunters crouch

Paralysation

Heightened awareness

Denial

Weapon at the ready

Submissive, apathetic

Robbery
Car accident

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Routines for Notifying Media and Next-of-Kin

Who talks to media in crisis situations
The CEO and EVP are normally responsible for handling media.
If the CEO and EVP are unavailable, their deputy handles the media.
During an emergency situation, the Duty Officer handles media
until the CEO/EVP are operational.
Next-of-kin
Police are normally responsible for notifying NOK
Hospitals are normally responsible for notifying NOK about things
that happen to patients while theyre in the hospital
The Local Department of Foreign Affairs has main responsibility
for notifying foreign governments about injury and death of foreign
citizens

Photo: NATO

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How do I give information to my close ones?

Because of the differences in experience related to the incident, family
members can show a wide range of reactions. These are mainly strong
concern and worries related to your well being. These variations may be
difficult to handle, and can lead to you misunderstanding each other.
Subsequently, they may lead to arguments, or to the fact that family
members find it hard to support one another.
Helpful hints as to how you can support one another
Take an interest, and show that you care
Show acceptance and respect for how different family members react
and cope
Acknowledge the concern of family members; however, reassure
them that measures are in place in order to heighten security and
safety at work
Support and aid each other in maintaining daily routines, social
activities and acting as a support for each other

Next-of-kin and survivors of the Bourbon Dolphin accident at sea, mourning at

the Sounds of Sands beach in Lerwick. Photo by Henning Lillegrd.

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Post Traumatic Support

Normal Reactions to Abnormal Situations
Normal reactions to abnormal situations usually develop through
the following phases:

Shock phase
From minutes to a few days
People look OK, but they are chaos inside.
Flashbacks, physical symptoms, emotional explosions.

Reaction phase
From a few days to 4-6 weeks
Trying to make sense of what happened.
Nerves, psychological defence mechanisms.

Restitution phase
6-12 months many years
Starting to look to the future again, spending less energy on
what happened.

This picture is never black and white, and the outcome of a critical
situation may largely depend on the way the situation has been handled
by management, response personnel, and colleagues.
There is a wide range of reactions, positive as well as negative, that people
could possibly experience:

Type

Negative reactions

Positive reactions

Cognitive

Confusion, disorientation, worrying,

insistent thoughts and mental images,
self-reproach

Decisiveness, sharpened senses, courage,

optimism, belief

Emotional

Shock, grief, sadness, fear, anger,

irritability, numbness, shame and guilt

Experience of togetherness, challenged,

mobilisation / activation

Social

Social isolation, avoidance and reduction

in level of activity, conflict with others

Social belonging, participation in helping

others

Physiological

Fatigue, headache, muscle tension,

stomach ache, increase in heart rate,
jumpiness, sleep disturbance

Alertness, state of action, increased level

of energy

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Insistent Reactions
Frightening thoughts and mental images of the incident
when awake or when dreaming
Increased emotional or physical reactions when reminded
of incident
Flashbacks

Avoidance and Isolation

Avoid talking about, thinking of and experiencing feelings
related to the incident
Avoidance of incident reminders (people or places)
Persistent numbness and lack of interest
Alienation and social isolation

Physiological Activation
Persistent jumpiness, nervous and on guard
Irritable and quick tempered
Difficulties falling asleep and sleeping, concentration difficulties

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Supportive Measures after a Critical Incident

There is broad agreement on guidelines for factors
which contribute to positive outcomes following
exposure to extremely stressful and traumatic
situations.
Most acute stress reactions experienced in the wake of a crisis are common,
and will often diminish and disappear. Watchful waiting is therefore an
important aspect. This means that the organisation and management must
be alert to identify and address concerns for personnel who struggle in the
weeks following an incident of this dimension. In the immediate follow-up,
information and care are essential, rather than advanced therapeutic
measures. This is described as psychological first-aid. Fundamental
principles of psychological first-aid include providing security, reassurance,
producing a sense of coping, stimulating a sense of belonging and providing
a prospective of hope and optimis.

Furthermore, it is of utmost importance that the organisation is able to

provide the workers with facts regarding the incident from a management
perspective in order to reduce the degree of speculation. If personnel are
deprived of facts about the incident, they are likely to produce fantasies in
order to fill in gaps to make the story complete. The fantasies and speculations will normally be of a more dramatic character than the actual facts. If
the information related to the incident and measures taken are well
prepared and clearly portrayed, this may also reduce speculations regarding
future incidents.
For a successful handling, the organisation must demonstrate the ability
to be emotionally caring and understanding regarding the personnels
experience and reactions in the aftermath of the incident. In addition, the
ability for self-help and the support of work colleagues, friends and family
could be of great importance.

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However, if reactions are severe and persistent, specific measures may be

necessary. The best practice for selecting those who need extra monitoring
is to implement individual, supporting conversations, where quality of
sleep and rest, social function, and function within family and work are
assessed. This may be performed immediately after the incident in order
to identify personnel with the most severe reactions. Furthermore, it is
important to monitor personnel after 4-6 weeks.
Personnel experiencing severe reactions after this period and personnel
who do not experience that their reactions are decreasing in frequency
and strength must be identified and followed up closely. For this group
of people, therapeutic interventions may be of relevance to reduce the
probability of developing posttraumatic stress syndrome.

Posttraumatic stress syndrome (PTSD) is a severe anxiety disorder

that may develop after exposure to a stressful incident experienced as
traumatic. A situation may be experienced as traumatic when the
individual feels overwhelmed, has no control over the situation or feels
that his/her life is threatened. The main symptoms of PTSD are reexperiencing the dramatic incident through flashbacks or nightmares,
avoidance of stimuli associated with the trauma, and increased arousal
such as difficulty falling or staying asleep, anger, and extreme heightened
alertness. This diagnosis is severe and results in a dramatic reduction in
everyday functioning. The disorder requires professional follow-up and
therapeutic interventions.

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Recommendations
Information

Frequently provide facts on the security and safety

situation establish trust and confidence.

Present measures taken to continuously improve security and safety.

Focus on how information is delivered.

Be clear and confident with relation to the companys emergency measures and
plans for dealing with aspects concerning worst case scenarios.

Avoid vague and imprecise information which can lead

to speculation.

Allow competent and confident personnel to inform the employees. (Important

element of crisis communication under and after an incident.)

Be aware of the fact that employees are influenced distinctively based on their
competence, opinions and attitudes towards a subject. (Office based employees
may require different information than operative personnel.)

Invite employees to address their concerns continuously.

Make sure the company has competent and qualified personnel to address and
follow up these concerns in a qualitative manner.

Continue to encourage the employees to perform safe operations.

Psychological interventions

Provide the employees with information regarding expected reactions

and how to deal with these if persistent.

Continue to inform about the importance of having focus on and monitoring

oneself with respect to reactions, without impelling reactions on employees
who do not experience reactions. The latter is also regarded as normal.

Management should follow up the employees with regards to their functioning.

Be specific and clear related to follow up measures at company level.

Make available a support system where employees may seek assistance

and help to cope with the effects of the incident.

Meeting with the employees within 4-6 weeks where they are given information
about reactions and what to expect.

Ensure follow up of personnel at risk for developing chronic stress reactions.

Provide the opportunity for employees to contact an externally engaged

professional. Previous experience shows that employees may feel at risk,
confiding themselves to an internally engaged supervisor.

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Advice for Self Treatment

Helpful hints

What to avoid

Plan and participate in positive

activities (sports, hobbies, reading
etc)

Detailed conversations related to

incident which sufficiently increase
level of distress

Adequate rest and healthy meals

Stick to usual schedule

Regular breaks

Complete and extreme avoidance

of thinking and talking about the
incident because it arouses anxiety
levels

Conversation and/or spending

time with individuals who can
provide support

Use of alcohol and drugs

in order to cope with distress/
sleep disturbance

Practical management of distress

(e.g. relaxation exercises, listen
to calming music, positive selfinstruction, sleeping techniques)

Blame others

Isolation from colleagues, family,

friends and social activities

Neglect yourself

Reckless and sensation seeking

activities

te
Relaxation

chniques

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level of rela

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Children and Adolescents

Childrens reactions are not qualitatively distinct to the ones experienced
by adults. However, children tend to experience reactions of shorter
duration when expressing emotions. Childrens reactions are also
influenced by their parents reactions and may comprise elements of
confusion and misunderstanding.
Common reactions:
Act out, strike
Anger and frustration
Uneasy and restless
Being oppressive
Cry (especially close to the time of departure)
Nightmares

Helpful Hints in Dealing with Children/Adolescents

Be supportive and help the child to verbally formulate the emotions you
believe they are experiencing. For example; You are angry or sad/ upset
because you are afraid that something will happen to me while I am gone.
Be also aware that parents, as a result of experiencing a traumatic
incident, may act over protectively during the period following the
traumatic event.

Key points from this module are

T
he main purpose of crisis and emergency
preparedness is to prevent or limit the consequences of accidents and near accidents.
In addition, efforts shall be made to maintain
business continuity.
A
clear understanding of roles and procedures
is critical to helping individuals manage stress.
Training and preparedness in incident management procedures are therefore key to stress
management.
D
OFs five checkpoints for crisis and emergency response management are: notification,
combating, rescue, evacuation, normalisation.
S
tress management is key to emergency
management. Successful stress management

is based on prevention and planning, a solid

understanding of roles and responsibilities,
support for colleagues, good self-care, and
seeking help when needed.

Advice for emergency response personnel:

When youre needed, you need the procedure
in your head, not your head in the procedure.
Think, keep control over yourself
Be compassionate
Ask for help if you need it
K
now the basic routines used by police,
hospitals, clients and DOF with regards
to notifying NOK.

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Task: Discuss

End of Section Quiz

1. One of your employees

has been involved in a serious
accident.

Please cross the correct answer.

The situation is yet unclear,

however, you know that he/she is
injured and on his/her way to the
hospital. You are contacted by his/
her NOK. What must you keep in
mind? Act out a conversation with
NOK another person in your group.
2. Similar exercise with a colleague
who has been through a severe
accident and shows signs of
PTSD.

T=True F=False
1. You should try to live as normal a life
as possible after exposure to a traumatic
situation.
2. Defusing is one possible method of on-scene
support which may be used in a disaster.
3. Crisis Manager is an electronic tool for
handling crises.
4. Early intervention after a stress reaction
is not necessary for maximum benefit to be
derived from the intervention.
5. Stress management has no influence on
emergency management.
6. DOF has four checkpoints for ERT:
Notification, Mobilisation, Handling
and Normalisation.
7. We have some control over what happens to us
psychologically after exposure to a disaster.
8. After exposure to a disaster situation, dont
attempt to reassure yourself or others
that everything is okay.
9. Adequate sleep and a balanced diet are
essential after exposure to a traumatic
situation.

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Module

HSEQ CASE
MANAGEMENT
AND INSPECTION
TECHNIQUES
NOTIFICATION 116
REPORTING

117

INVESTIGATIONS

120

KELVIN TOP-SET

122

Structured Investigation Planning Based on Indicators

123

INSPECTIONS

126

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Aim of the Course

Key Words

By the end of this module, you will be able to:

Standard Definitions

Know how to report incidents

Describe the management of accidents, incidents
and HSE observations
Meet the corporate requirements for accident
and incident management
Have a basic understanding of the Kelvin TOP-SET
investigation method

Reporting
The Investigation Process
Inspections
Interviewing
Skills
Kelvin TOP-SET
Completing DOF Forms

Understand the basic principles of safety inspection

techniques
Define methods for reporting accidents and incidents
and hazardous occurrences

After the crash of Gol Transportes Areos Flight 1907, Brazilian Air Force personnel recover the flight data recorder of the flight. Copyright: Wikipedia

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Terms
Accident

Term to define an unplanned event that results in harm to people (injury),

damage to property or the environment or loss of process.

Incident

Term to define an unplanned event (also known as a near miss) not resulting
in loss which, under slightly different circumstances, could have resulted in harm
to people, damage to property or the environment or loss of process.

Near Miss

Term to define a hazardous condition, which under slightly different circumstances

could have caused an accident or incident as defined above.

Lost Time Incident (LTI)

An incident or injury in which the involved person is unable to resume normal duties
the day/shift following the accident. The day of the accident is not counted when calculating absence, but any days which would not have been working days are counted.

Injury

Term to define the result of an action/event which caused harm to a person(s).

Dangerous
Occurrence

An occurrence which may have to be reported to the authorities.

Occupational
Disease

A disease caused by your occupation to be reported to authorities according

to local requirements and definitions

Major
Accident

An accident or incident that has caused a fatality, damage to assets or the

environment or loss exceeding 100,000 US.

Restricted Work Day

Case

As a result of an injury, a person returns to work to perform work of a less

strenuous nature.

Medical Treatment
Case

An injury that required treatment by a qualified Medical Practitioner or hospital

by administering more than first-aid and where the injured person was deemed
by them to be fit to return to work.

First-Aid Case

An injury that required treatment by a qualified Medical Practitioner or hospital

by administering more than first-aid and where the injured person was deemed
by them to be fit to return to work.

Investigation

The process to identify the cause of an accident, incident or near miss.

Report

A written document recording information about an accident, incident or near miss.

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Notification
Oral or written information concerning an accident
or incident immediately after it has occurred.
Should an incident occur, the Worksite Supervisor should follow the
Accident and Incident Process Flowchart and complete the appropriate
Incident Report.
All accidents or incidents shall be reported on the approved DOF Incident
Report, be it personal injury, environmental or asset damage.
All accident and incidents shall be notified to the Project Manager
or Vessel Supervisor onshore in a timely manner as listed below:

Type of Incident

Time frame

Fatality

Inform immediately
Local emergency team

High Potential Incident

Inform immediately
Project Manager or Vessel Supervisor

Lost Time Incident (LTI)

Inform immediately
Project Manager or Vessel Supervisor

Medical Treatment Case (MTC)

Inform within 6 hours

Project Manager or Vessel Supervisor

First Aid Case

Inform within 24 hours

Project Manager or Vessel Supervisor

Non Work Related Case (NWRC)

Inform within 24 hours

Project Manager or Vessel Supervisor

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Reporting
The main objectives for reporting are:
To prevent further similar occurrences. To ensure that legal
requirements are met.
To highlight areas of operation where occurrences are a concern
in order to effectively manage and reverse the trend.
To measure DOFs performance in meeting the requirements noted
within our policies.
To guide Senior Management to set objectives for accident
prevention programs.
To meet the DOF Groups requirements for accident management.
Reporting
DOF is governed by both internal and statutory reporting requirements.
Statutory Reporting: Various regions globally may be required to report
certain types of Accidents or Incidents to their local governing authorities. Please contact your Local Business Unit HSEQ Department for
further information.
Overall principles of reporting

AT
SITE

Report in Docmap
Notification Form
Notify Client Rep.

Notify Client
HSEQ
ONSHORE Case management

Notify Government

Incident/Injury Notification Form

Site / location
Date / time of incident
Incident type/ classification
Incident description
(brief description of incident)
Incident / Injury Notification Form

The above template once completed needs to be sent to both the Project
Manager/Vessel Supervisor and the HSEQ Manager within your Business
Unit prior to the Incident Report being completed.

CLOSE
OUT

HSE observations at site

Other by responsible managers

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Observation/Action Module in Docmap

Source: Front page of DOF Group Business Management System.

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Report Format in Docmap

HSE Reports

Description

01 Safety Observation

Safety Observations, including unsafe acts and conditions, positive

safety behaviour. The clients on board Construction Support Vessels
(CSVs) will follow-up SOBs, HOCs etc., relevant for client operations.

02 Near Miss

Incidents/conditions/situations, which under slightly different

circumstances could have led to an accident.

04 Personal Injury

All accidents that as a minimum require first-aid treatment.

06 Property and
Environmental Damage

All material damage to vessel, rig/installation, port, cargo

or equipment. All type of spill resulting in harm to the environment.
Incidents were the crew manage to recover the spill onboard shall
also be reported.

08 DP Incident

IMCA Report: DP incident - loss of automatic control, loss of position

or any incident which has resulted in or should have resulted in a red
alert DP undesired event loss of position or other event which is
unexpected /uncontrolled.

09 Lifting Operation Incident

IMCA Report: All incidents related to lost objects, falling objects,

crane failure or other lifting equipment failure or incidents.

Quality Reports

Description

03 Non-Conformity

Non-conformities in connection with operation and management.

Examples: breach of procedures and rules, results from audits,
customer/media/public complaints, non-conformities related to
shipments and suppliers, etc.

05 Equipment Failure

Breakdown/failure of machinery and/or equipment etc.

07 Suggestion for
Improvement

Any suggestions for improvement

10 Audit and Inspection

Report

Handling of all audits and inspections

11 Experience Transfer

Good practice and learning to be shared, on and offshore.

12 Management Meetings

Meeting Minutes from: Safety, PEC (Working Environment

Committee), Departmental or Other meetings with relevant actions

13 Financial Report Review

Follow-up of findings within finance department reporting

Source: Index of observation module in BMS

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Investigations
The main objectives of investigations are:
To establish direct and indirect causes of the accident,
incident or near miss
To identify the sequence of events leading up to and those
which contributed to the accident, incident or near miss
To determine and implement effective control measures
to prevent future recurrences
To demonstrate management commitment to the
workforce with respect to their actions and determination
to prevent accidents
Not to apportion blame
Levels of Investigation
Depending on the severity of the accident or incident, there shall be
4 levels of investigation. Where practicable, accidents should not be
investigated by involved personnel.

Level

Accident, Incident
Consequences

Investigation team
appointed by

Injury / Damage, Near Miss,

Environmental Incident

Responsible Manager

Lost Time Injury / Serious Damage

Department Manager

Multiple Injuries / Damage to Safety

Critical Equipment

HSEQ Manager

Fatality / Loss of an Asset

Managing Director

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Investigation Techniques
There are four basic forms of information, which need to
be gathered during each investigation, comprising the following:
1.

Interviews with victims and witnesses

2.

Positional evidence

3.

Damage to plant, equipment, and facilities

including Environmental Impact

4.

Documentation

1. Interviews

2. Positional Information

C
onduct the investigation on
the same day of the occurrence,
if possible

Record the circumstances, which led

up to the occurrence, what happened
at the time of impact and what happened afterwards. This should enable
the investigation team to picture the
scenario.

P
ut each person at ease in an
appropriate location at the site; ask
for information, dont threaten or
demand
Interview witnesses / victims
individually and record the persons
own version, avoid using leading
questions
Provide feedback to colleagues

3. Signs of Damage

4. Documentation

Check if the correct tools for

the job were used

Photographic evidence

Technical evidence

Check the extent of the damage

Additional written statements

Check if any previous damage was

evident

Certification details

Records of inspection

What safeguards were in place

e.g., PPE, guards, barriers,
warning signs etc.

Maintenance records

Extracts from medical log

Work instructions/Procedures

Permits to work

Training records

Risk assessments

Take photographs (when

permitted) of the scene

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Kelvin TOP-SET
DOF Group has standardised the companys
incident investigation process by utilising
TOP-SET courses, software and investigation
services which are specifically designed
to provide us with the skills and tools to:
Get reliable, consistent results from incident investigations
every time
Uncover the real root causes of incidents through efficient
root cause analysis
Solve complex problems using a simple step-by-step process
Produce logical, accurate incident reports
Increase safety performance and improve safety culture
Save our company time and money
Source: All text in this section is taken from Kelvin TOP-SET webpages
Note: Kelvin TOP-SET is providing DOF Group with investigation courses
as well as electronic investigation tools.

Incident or Problem

Take Action
& Review

Key Readings
This step-by-step process provides a reliable investigation structure which includes
planning, investigating, analysis, creation
of recommendations and reporting.
Open thinking and information gathering
without bias (i.e. divergent thinking) are
encouraged in order to seek out quality
data on which to analyse and report.
Rather than focusing on Root Cause
Analysis as a box ticking exercise,
TOP-SET gives users the confidence and
competence to investigate any type/scale
of incident in any industry from slips,
trips and falls to major process failures by
leading them through the full and straightforward investigation process.
The TOP-SET method is not only efficient
and effective, it is an incredibly userfriendly
tool.
The Kelvin TOP-SET process - More than just Root Cause Analysis
- it is a complete incident investigation system

Team Selection
Reporting &
Recommendations

Kelvin
Root Cause
Analysis

Formulation
of Incident
Statement

TOPSET

Investigation
Planning

Storyboarding
Data Gathering
Interviewing

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Structured Investigation
Planning Based on Indicators
The Kelvin TOP-SET system uses a set of indicators, which are commonly
found in incidents, as a thinking framework which can be used during the
investigation process.

T
O
P
S
E
T

Technology
Similar
Events

Organisation
People
Environment
Similar Events

Organisation

TIME

Environment
Time

People

A detailed planning chart containing around 400 indicators, which fall

under the TOP-SET headers, is used to guide investigators through the
planning stage in a simple and effective manner. It is this focus on a
standardised approach to planning and structuring investigations that
gives TOP-SET investigations their accuracy and consistency.

Technology

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Key Readings
TOP-SET Root Cause Analysis;
What happened?
Actual and potential consequences
Immediate causes
Triggers
Actions
Conditions
Root causes

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Task
Fill out an Incident / Injury Notification
Form and Accident / Incident Report
Form for the following accident:
1. First of all, locate the above forms
on the BMS.
2. Then search for the relevant
governing documents for reference.
3. Read the incident description
below.
4. Fill in the forms.

Joe Bloggs, 29, from Canada was onboard the Skandi Aker for a well
intervention project off the coast of Angola as an ROV Pilot Tech.
He was working a 6am to 6pm shift and was 16 days into a 28 day trip.
At 6.30 am, Joe was walking to the ROV hanger to commence his shift.
As he was walking into the hanger, Joe tripped on a step, fell and hit his
head on the step. Joe suffered a 5 cm laceration to his forehead and was
unconscious. Joe regained consciousness by the time the Medic had
been called and had arrived at the accident scene.
First-aid was given at 6.41am. He was then moved to the vessel hospital.
Due to the severity of his concussion, the medic made the decision to
medivac Joe Bloggs at 7.10. The vessel master ordered a helicopter which
arrived at the vessel at 7.45 and departed the vessel at 8.05 am.
Two of Joes ROV colleagues, John Smith and Scott Brown, witnessed
the incident and called the medic when the incident occurred. Both have
provided statements immediately after the incident to the offshore
manager. They commented that Joe had tripped on a rag lying at the
foot of the step (see photo below).
The wave height was 2.5 m, temperature 10 degrees Celsius at the time
of the incident.
Joe was released from hospital after receiving stitches and 36 hours
of observations and was ordered to not work for two weeks.
This was the fourth slip, trip or fall onboard the vessel this reporting year.

Should there be a full investigation? Are there any initial lessons

learned?

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Inspections
Why do we need safety inspections?
Safety Inspections can give a general impression
of safety in the business. They are a useful tool to
identify dangerous working practices.
Most injuries are caused by dangerous actions; using information from
the inspection reports in conversations with staff can probably decrease
the number of injuries.
How to carry out an inspection?
Start the inspection with a positive attitude. During the inspection,
it is also important to pay attention to what correct actions. Giving
recognition for correct actions always inspires employees to increase
their efforts related to safety and the department's daily efforts to
maintain a safe and efficient working environment.

Five key elements:

1. Inspect

2. React

The inspection reports should always start by pointing out what is in

order before you start to write down the things that require change.
If, during the inspection, you discover dangerous conditions, these must
be followed up immediately, if necessary with temporary measures until
the situation can be addressed more permanently. Such temporary
measures may, for example, be to close down hazardous areas or put up
warning signs until the area is secured.
The checklist is simply based on one main area you are going to inspect.
This could for example be order and cleanliness, safety equipment or
loading and lifting equipment. For each section, there is a simple checklist
that can be used as a reference.
We recommend making note of key words during observations to support
the standards set for the inspected area.
Inspect frequently - Inspect using common sense
One condition for achieving safe working conditions is that you are able to
identify and eliminate risk factors. As such, inspection is an important
tool. Looking for potential hazards should be part of our daily work.
Safety levels always reflect what managers are willing to accept within
their remit. As a conscious role model and motivator, you have the
capacity to increase safety at work. You can raise the level of safety
through systematic inspections and follow-up.

3. Communicate

4. Monitor

5. Raise the Standard

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HSEQ CASE MANAGEMENT AND INSPECTION TECHNIQUES 5

Inspection in itself has little or no value unless it is followed by reactions,

and the way you react is essential when establishing standards for safety.
The reaction - or lack of reaction, will quickly tell the organisation whats
OK and what is not acceptable. Every time you carry out an inspection,
you should ask yourself the following questions: Are all the conditions in
this area safe and acceptable? If the answer is no, you must immediately
write down comments on the deviations you have noticed.
Monitoring is essential to achieve results. If you fail to monitor, all
previous work might be wasted.
The inspections may be "universal" or focus on limited areas and specific
issues. Inspections can be carried out in many ways, depending on
whether it is an office or a vessel you are going to inspect.

Here is a process for performing an inspection:

1 Become familiar with safety rules

2 Ask questions

3 Take notes

4 Communicate clearly

5 Draw conclusions

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Observation Techniques
1.

Stop for 10-30 seconds when you enter a new area to see
how people are working

2.

Be aware of work procedures that may have been corrected

because you have entered the area

3.

Observe activities

4.

Remember: UNDER, OVER, BEHIND, INSIDE, BETWEEN

5.

Adopt a questioning attitude. Ask why?

What would happen if ...? Have you learned ...?

6.

Use all the senses: SEE - HEAR - SMELL FEEL

7.

Observe all phases of a job

8.

Be curious

9.

Get constructive ideas - not just problems

10. Give praise when you find good examples of safe work
performance

Key points from this module are

All accidents or incidents shall be reported on the

approved DOF Incident Report, be it personal injury,
environmental or asset damage.

Most injuries are caused by dangerous actions;

using information from the inspection reports in
conversations with staff can probably decrease
the number of damages.

Use a checklist for the inspection

Inspect frequently - Inspect with common sense:

Inspect, React, Communicate, Monitor, Raise the
standard.

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Report Details:

Time:

The following form has been taken from DOF Subsea Asia Pacific

Reported By:

Security

Hazard

Company:

FAC

Severity:

DOCID505676.xlsx

MEDICAL PROVIDER :

WORK INJURY

OCC ILL
LWC

Nature of Injury / Illness:

Facility Name & Contact:

Body Part affected:

(Only use items from pick list)

Injured Party's Occupation

NON-WORK INJURY

MTC
RWC
Location (if other than site)

Injured Party

Injury Class:

First Name:

Family Name:

Community Impact

Asset / Equipment Damage

Not Specified

Non-Conformance

Maintenance & Other Records

Days into Swing:

Hours into Shift:

04.01.2013

19:25

Treating First Aid / Medic / Doctor (site or other)

Injured Party's Employer

DOF Subsea
Contractor

(Medic, First Aider or Supervisor to complete. Include treatment details of treating Doctor. Use drop down lists for Occupation, body part & nature of injury/illness )

INJURY

Immediate Action taken (to prevent further incident / injury - Include initial medical treatment details for injured persons)

Environmental

Illness

Production / Operational Loss

INCIDENT CLASSIFICATION (Select Tick box)

Procedures / JHAs

Incident No:

DOF Group

SECTION B

(use ALT / ENTER to continue new line)

Witness Statement

Dept:

Drawings

Near Miss

Photo's

Injury

Attachments:

DESCRIPTION

Project No:

REPORT NUMBER

(Include the event or sequence of events, name of equipment/environment, etc. Attach sketches other documents as needed.)

Name:

Reported To (Supervisor / Manager):

Company:

Dept:

Name:

select from cell drop down - or specify other)

Date:
Activity being performed :

Date:
Date Reported

Country:
When Did Incident Occur ?

Project Name:
Vessel / Site:

SECTION A

Immediate Notification - Pg 1

INCIDENT & INJURY REPORT FORM

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5 HSEQ CASE MANAGEMENT AND INSPECTION TECHNIQUES

Appendix Incident & Injury Report Form

DESCRIPTION
RISK
& EVENT POTENTIAL

ENVIRONMENTAL IMPACT

NO

KNOWLEDGE/TRAIN'G/EXPER'CE

EXPOSURES

ENVIRONMENT

PROTECTIVE MEASURES

TOOLS & EQUIPMENT

WORK ENVIRONMENT/DESIGN

TOOLS & EQUIPMENT

MAINTENANCE

Description of Root Cause Findings

ENGINEERING / DESIGN

LEADERSHIP & SUPERVISION

MOTIVATION

WORK STANDARDS

LACK OF KNOWLEDGE

PSYCHOLOGICAL CONDITION

PHYSICAL CONDITION

ROOT CAUSES (Refer to Cause Analysis chart to select appropriate Category box)

USE OF TOOLS & EQUIPMENT

PROCEDURES/PROCESSES

04.01.2013

PURCHASING /
PROCUREMENT
ABUSE / MISUSE

LACK OF SKILL

19:25

(if not in drop down list, please specify actual event causing incident/
injury

IMMEDIATE CAUSES (Select Category tick box and then select from drop down list and provide detail of immediate cause)

EVENT / MECHANISM

HSEQ Workbook

DOCID505676.xlsx

SOCIO - POLICTICAL

(Where any of the above are assessed as "HIGH" or "SEVERE" the incident is deemed
as a Serious Potential)

FINANCIAL

(Supervisor / Site Manager to check Section's A & B are complete. Complete Part C, send within 24 hours to Project / Operations Manager & HSE Department)

INVESTIGATION

YES

ASSETS / OPERATIONS

Incident No:

REPORT NUMBER
Project No:

Using the DOF Subsea Risk & Event Potential Matrix, identify through assessment the potential of the incident (may be more than one)

SERIOUS POTENTIAL INCIDENT ?

INJURY / ILL HEALTH

SECTION C

Immediate Notification - Pg 1

INCIDENT & INJURY REPORT FORM

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HSEQ CASE MANAGEMENT AND INSPECTION TECHNIQUES 5

DESCRIPTION
CORRECTIVE ACTIONS

Incident No:

REPORT NUMBER
Project No:

Name

Position

DOCID505676.xlsx

Client Representative Comments:

Position

SITE Manager

Department:

Position

Signature:

Signature:

Signature:

INCIDENT REPORT SITE APPROVAL

HSE Department

Supervisor

Corrective Action Item

Signature

Actionee Target Date

Date

Date:

Date:

04.01.2013

Actionee
Initial

Date:

Date
Completed

19:25

Mgmt
Initial

DOF Group

No

All actions must be Actionable (i.e. specific and clear what to do), Achievable (i.e. it will be obvious when it is done) & Appropriate (i.e. directly address immediate and root causes). All actions must
have an actionee & target date. When actions are completed, these must be signed by the actionee and verified by Management)

SECTION D

Immediate Notification - Pg 1

INCIDENT & INJURY REPORT FORM

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5 HSEQ CASE MANAGEMENT AND INSPECTION TECHNIQUES

Yes

Name:

Changed?

No

Additional Actions

04.01.2013

Date

Date:

19:25

Incident No:

REPORT NUMBER
Project No:

HSEQ Workbook

DOCID505676.xlsx

No

HSE Department Comments

INCIDENT REPORT & INVESTIGATION CLOSE OUT

Signed
Title:
Upon Close out, copy of Incident report to be forward to site for site close out

HSE Department
Immediate & Root Causes are identified
Actions are Actionable, Achievable & directly Address all causes
Report entered into Incident database
Reportable to Regulator?
Yes

SECTION F

Approval Sign:

Team Leader:

Manager Name:

Is An Expanded Summary or Detailed Cause Analysis Investigation & Report Required?

Department

No further Actions

Agreed

DESCRIPTION
MANAGEMENT
REVIEW & APPROVAL

If the Project / Department Manager has additional actions these must be entered in Part "D"

Please Check Potential Categories in Part C and confirm agreement:

Manager comments: (Completed by Project Manager or Department Manager)

SECTION E

Immediate Notification - Pg 1

INCIDENT & INJURY REPORT FORM

DOF Group
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HSEQ CASE MANAGEMENT AND INSPECTION TECHNIQUES 5

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Module

ENVIRONMENTAL
AWARENESS

DOF GROUPS ENVIRONMENTAL MANAGEMENT SYSTEM

137

PROJECT/ACTIVITY ENVIRONMENTAL MANAGEMENT PLAN

139

ENVIRONMENTAL PRINCIPLES

140

ENVIRONMENTAL HAZARDS AND RISK MANAGEMENT

141

OPERATIONS AND CONTROL MEASURES

143

GLOBAL ENVIRONMENTAL IMPACTS

144

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Aim of the Course

Key Words

By the end of this module, you will be able to:

Environmental Policy

To outline DOFs commitment to environmental

management

Environmental Aspects / Impacts

To provide a basic overview of workplace-related

environmental issues

Environmental Management
System
International Legislation

To outline how DOFs activities can impact on the

environment

SEEMP

To identify possible solutions of how environmental

impacts can be eliminated or controlled

Environmental Principles:

To understand the role every employee has to play in

reducing our environmental impact

Carbon Disclosure

- Sustainable Operations
- Polluter pays principle
- Duty of care

To achieve better awareness to make better decisions.

To achieve a basic overview of current global
environmental issues

Key Readings
The DOF Policy
The DOF Group shall:
Implement and operate in compliance with the ISO 14001 standard;
Ensure environmental management is given equal consideration
throughout all operational planning and execution;
Assess and control the aspects and impacts of our operations upon
the environment;
Consider all environmental incidents to be preventable;
Apply applicable laws and regulations and where deficient apply
company and industry best practice;
Reduce and restrict the production of waste products known
to be detrimental to the environment;
Minimise our impact on the environment through pollution
prevention, efficient use of natural resources and the reduction
and recycling of waste;
Establish and regularly review environmental objectives and targets,
aiming for continuous improvement;
Monitor our environmental performance and address deficiencies
where identified;
Consider environmental improvement areas as high priorities
during projects and new-buildings;
Openly communicate environmental performance with industry
organisations and the wider community.

What is an environment?

Our environment is our surroundings.

This includes living and non-living
things around us. The non-living
components of our environment
are land, water and air. The living
components are germs, plants,
animals and people.

Environmental aspects

An element of DOF Groups activities, products or services that can

interact with the environment.

Environmental impact

Any change to the environment

whether adverse or beneficial, wholly
or partially resulting from an organisations activities, products, or
services. Fundamentally, it is the
physical change to the external
environment resulting from
environmental aspects.
Environmental management requires
you to:

Understand the environmental

liabilities related to your work.

Understand your legal

responsibilities towards them.

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ENVIRONMENTAL AWARENESS 6

Responsibility and Application

All DOF Group employees and subcontractors have an individual
responsibility to ensure that they and their colleagues cooperate with
the Group to achieve its environmental objectives.
This Policy applies to all DOF business units and operations.

DOF Groups Environmental

Management System
The Environmental Management System (EMS) is integrated in DOFs
Management System. The system also takes into account industry bodies,
guidelines, codes of practice and best practice techniques at local, regional,
national and international levels.
For more information the EMS please refer to Manual - Environmental
Management.

Strategic Objectives
Minimising environmental impact and improving environmental performance
are an important part of Group and Regional HSEQ improvement plans.
All strategic objectives related to environmental management are established
using the DOF Group principles whilst ensuring;
Consistency with the policies of the company;
That they support the management of significant environmental aspects;
That they support continued compliance with legal and other requirements;
Consideration for the views and expectations of external shareholders
of the organisation;
Added value for Health, Safety and Quality elements of the Business
Management System;
Transparency.
Strategic Objectives are supported by programmes and plans that detail
roles, responsibilities, processes, resources, timeframes and actions.

Competencies, Training and Awareness

Training ensures that all employees understand the importance of and are
capable of conducting their duties in an environmental satisfactory way. All
employees shall be informed of and understand the significant environmental
aspects relevant for their duties. Objectives and targets included in the
HSEQ Plan shall be communicated to all through town hall meetings,
department meetings and communication on the Portal.

The DOF Group is committed to

ensuring that its activities shall have
minimal impact upon the environment.
DOF Environmental policy

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International Legislation/MARPOL
Marpol 73/78 is the International Convention for the Prevention of
Pollution from Ships, 1973 as modified by the Protocol of 1978. (Marpol is
short for marine pollution.)
Marpol 73/78 is one of the most important international marine environmental conventions. As of 31 December 2005, 136 countries, representing
98% of the worlds shipping tonnage, were parties to the Convention. The
Convention was designed to minimise pollution of the seas, including
waste, oil and exhaust pollution. Its stated object is: to preserve the marine
environment through the complete elimination of pollution by oil and
other harmful substances and the minimisation of accidental discharge of
such substances.

SEEMP (Ship Energy Efficiency Management Plan)

SEEMP is an IMO requirement which became mandatory as of January
2013.
The fundamental aim is to reduce emissions and fuel consumption for the
global shipping industry.

Planning
Implementation

Its purpose: reduce the quantity of energy consumed on vessels by a range

of different measures such as clean hulls, weather routing, new technologies,
propeller polishing, engine load etc.
Another major part of SEEMP is understanding where energy is used
and what is efficient and inefficient. This is achieved by recording data
and analysing energy consumption onboard each vessel.
Within DOF Group, SEEMP follows the continual improvement model
of: Planning, Implementation, Monitoring and Self evaluation and
improvement. This ensures DOF Group can continually set new targets
and ensure that we can continue as a Group to improve the efficiency of
our vessels.
DOF Group has high quality SEEMP in place onboard all vessels. Using a
variety of energy reducing measures, we believe we have the potential to
save 10.1% of fuel used across the DOF fleet.

Carbon Disclosure Project

DOF Group participates in the Carbon Disclosure Project (CDP) on an
annual basis. With the CDP, DOF Group has to identify, record, report,
evaluate and reduce the amount of CO2 emitted by the Group.
There are two scopes for which DOF Group has to report:
Scope 1: Direct emissions: Vessels, generators and any operation
where DOF Group is directly responsible for the emissions.
Scope 2: Indirect emissions: Purchasing of electricity, business
travel, logistics and any activity where DOF Group indirectly
emits CO2.

Self-evaluation
and improvement

Monitoring

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Project /Activity Environmental

Management Plan
In certain cases, it may be necessary for activity-specific or projectspecific environmental management plans to be constructed. The content
will be defined by specific factors such as client requirements, project
work scope, ecological/social factors and local legislative/statutory
requirements.
The contents of a project/activity environmental plan should include;

Communication of Group policies, values, visions and principles

Environmental legislation and other requirements

Description of work scope/activity. Including;

Location

General details

Operational details

Description of the environment with consideration to;

Natural systems
Cultural systems
Socio-economic environment
Particular sensitivities
Description of environmental risks and impacts;

Specific environmental performance objectives and standards

Implementation strategies;

Our vessels have environmentally

friendly and clean designs, (DNV)
and in 2012, DOF established
Ship Energy Efficiency Management
Plans (SEEMP) for the whole fleet.
This project, undertaken with DNV,
will see all vessels hold a high quality,
ship-specific SEEMP.

Identification of sources of risk and impacts

Risk assessments/aspect evaluation data

DOF has one of the most modern

fleets in the market. All regions and
vessels are certified by DNV to the
latest ISO 14001 standard.
We utilise the most up-to-date
and environmentally friendly technologies available in the development
of our new build program. We have
introduced a new generation of
low-resistance hull lines, designed
for speed and economic fuel
consumption.

Roles and responsibilities

Training and competencies
Measurement and monitoring of data
Emergency response
Record keeping

Economic

Reporting;
Routine reporting
Incident reporting

Social

Environmental

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Environmental Principles
There are a number of principles used by DOF Group to help frame our
approach and commitment to the management of the environment in
which we work.
Sustainable Operations
Polluter Pays Principle
Precautionary Principle
Duty of Care

Sustainable Operations
For DOF Group, sustainability is a key concept. This refers to the ability
of an organisation to endure in the long term within its external environment. The DOF Group recognises that effective environmental management can only be achieved with the addition of social and economic
considerations.
What are Sustainable Operations?
Economic, Social and Environmental Factors.
The successful balance of these three elements ensures that the DOF
Group will remain commercially feasible, socially acceptable and in
compliance with the capacity of the external environment. This is known
as Sustainable Operations.

Polluter Pays Principle

This principle is based in our socio-economic commitment and means
that DOF Group will remedy pollution incidents directly caused by the
Groups operational activities.

Precautionary Principle
The precautionary principle requires DOF Group to asses and anticipate
potential environmental harm caused by activities and ensure these are
understood and reflected within work activities.

Duty of Care
DOF Group has undertaken to ensure that all partners are committed
to environmental management and abide by the same or very similar
principles as the DOF Group. This forms part of the supply chain
management and is crucial for DOF Group in being able to achieve its
environmental objectives.

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ENVIRONMENTAL AWARENESS 6

Environmental Hazards
and Risk Management
The DOF Group has a series of systems to identify foreseeable hazards
and risks for Group activities - including those that can interact with the
external environment.
The principle of As Low As Reasonably Practicable (ALARP) is the
tolerated level of environmental risk. Other principles such as the
Precautionary Principle and Sustainable Operations can also be used
within environmental risk management.
There are a number of ways in which environmental interactions can be
identified and included in assessment processes.
Environmental impact is included in project risk assessment where there
is an obvious potential for impact to the environment. This is captured in
project risk assessments using the DOF Group Risk Assessment Form as
outlined in the Risk Management training module.

Identification of Hazards and Environmental

Aspects
To identify environmental aspects, DOF Group utilises a set of guidelines
for identification of environmental aspects. For more information, please
consult the Environmental Management Manual and corresponding
documentation with Generic Environmental Aspects/Impacts Analysis
for on- and offshore.
When identifying environmental aspects, you must:

1. Identify what activities are under your

control/responsability
2. What are the inputs and outputs of the activities

3. Identify the aspects and impacts

4. Assess the impacts using the scoring
criteria outlined below

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Scoring Environmental Aspects

Environmental aspects are scored within the following areas on a scale
of 1-5 (for more detail on scoring criteria, please see Guideline
- Identification of Significant Environmental Aspects ):

Frequency

Consider the frequency of each aspect occurring. When assessing

frequency, you should consider abnormal operating conditions
(such as shutdowns and start-ups) and emergency situations as
well as normal conditions.

Scale

Refers to the geographical scope of the impact, i.e. the area

affected by any incident and the sensitivity of the area (nature
reserve, drinking water supply etc).

Severity

Consider the sensitivity of the area affected and also the possible
hazardous nature of the pollutants involved, in terms of the
damage that may result.

Duration

Refers to the length of time that the impact or damage remains

within the receptor.

Non complaince potential

Evaluates the potential of legislative non-compliance through

the operational activity

Cost to company

Consider the impact on the companys image (to public and

customers) and assess the potential cost to the company in areas
such as cleanup, fines, remedies and potential loss of business.

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Operations and Control

Measures
DOF Group utilises a number of control measures
Continuous Review

This process identifies and assesses environmental interactions

and is continuously assessed within an evolving framework to
reflect the current activities within the Group.

Procedural/ Organisational
Barriers

These are proactive barriers which are driven by industry best

practice and the principles and commitments of the DOF Group.
The aim is to proactively avoid irreversible environmental damage
through governing documents and project-specific procedures.

Technical Barriers

Technical barriers are where technology is utilised to prevent

environmental damage. DOF Group utilises this control measure
on all vessels in the fleet to minimise the impact the vessels have
on the environment.

Emergency Response
As part of DOF Groups commitment to environmental management,
DOF Group has established emergency plans for responding to an
environmental incident.
All DOF vessels have a Shipboard Marine Pollution Emergency Plan
(SOPEP / SMPEP) which provides guidance on how to manage marine
pollution incidents. Additionally, there are also project-specific
arrangements which are tailored to specific work scopes.

Incident Reporting
All DOF Group personnel have an obligation to report an environmental
incident, no matter how small. The reporting method varies depending
on local legislation and client requirements. They are however all aligned
with DOF Groups requirements which are outlined in: DOF Groups
Guideline for Incident Management.

Responsibilities
All individuals have a responsibility within the DOF Group towards the
environment as outlined in the DOF Group policy. All personnel must
complete the Environmental Awareness e-learning module to gain a
greater understanding of individual roles and responsibilities.

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Global Environmental Impacts

Water pollution is the contamination of water bodies (e.g. lakes, rivers,
oceans, aquifers and groundwater). Water pollution occurs when
pollutants are discharged directly or indirectly into water bodies without
adequate treatment to remove harmful compounds.
Pollution of water resources is a key environmental concern. Water
pollution affects plants and organisms living in these bodies of water.
In almost all cases, the effect is damaging not only to individual species
and populations, but also to the natural biological communities.
Water pollution is a major global problem which requires ongoing
evaluation and revision of water resource policy at all levels (international down to individual aquifers and wells). It has been suggested that
it is the leading worldwide cause of deaths and diseases, and that it
accounts for the deaths of more than 14,000 people daily.
Air Pollution A substance in the air that can cause harm to humans
and the environment is known as an air pollutant. Pollutants can be in
the form of solid particles, liquid droplets, or gases. In addition, they may
be natural or man-made. Air pollution is the introduction of chemicals,
particulate matter, or biological materials that cause harm or discomfort
to humans or other living organisms, or cause damage to the natural
environment or built environment, into the atmosphere
Biodiversity The variety of life on Earth, its biological diversity
is commonly referred to as biodiversity. The number of species of plants,
animals, and microorganisms, the enormous diversity of genes in these
species, the different ecosystems on the planet, such as deserts, rainforests and coral reefs are all part of a biologically diverse Earth.
Appropriate conservation and sustainable development strategies
attempt to recognise this as being integral to any approach. Almost all
cultures have in some way or form recognised the importance that nature
and its biological diversity has had upon them and the need to maintain it.
Rapid environmental changes typically cause mass extinctions.
One estimate is that less than 1% of the species that have existed on Earth
are still alive. A larger number of plant species means a greater variety of
crops; greater species diversity ensures natural sustainability for all life
forms; and healthy ecosystems can better withstand and recover from
a variety of disasters. This is why we need to preserve the diversity in
wildlife.

Rivers

Lakes

Lakes

Streams

Reservoirs

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ENVIRONMENTAL AWARENESS 6

Contaminated Land refers to land contaminated by hazardous

substances (such as lead and other heavy metals, chemicals etc.) which
may pose a risk to human health and/or the environment. Common land
uses which are known to cause contamination include service stations,
cattle dips, tanneries, wood treatment sites and landfills.
Land that is contaminated contains substances in or under the land that
are actually or potentially hazardous to health or the environment. Areas
with a long history of industrial production will have many sites which
may be affected by their former uses such as mining, industry, chemical
and oil spills and waste disposal. Contamination can also occur naturally
as a result of the geology of the area, or through agricultural use
Waste Production Waste can be defined as any substance or object
which the holder discards or intends or is required to discard. Waste
represents an enormous loss of resources in the form of both materials
and energy.
In addition, the management and disposal of waste can have serious
environmental impacts. Landfills, for example, take up land space and
may cause air, water and soil pollution, while incineration may result
in emissions of dangerous air pollutants, unless properly regulated.
DOF Group follows the waste hierarchy below, where the aim is to reduce
waste and the last resort is disposal.

Reduce

SUSTAINABILITY

Reuse

Recycle

Disposal

e.g. Process modification or

design change material

e.g. Cleared drums for hazardous

waste storage, reuse of batteries,
refurbishment of WEEE, reuse of
surplus paints
e.g. Batteries, WEEE, scrap metal,
oil, plastic

e.g. Incineration, landfill, marine

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Further Readings

Key points from this module are

For further reading, please

consult: Manual Environmental
Management

All DOF Group employees and subcontractors have

an individual responsibility to ensure that they and
their colleagues cooperate with the Group to achieve
its environmental objectives

DOF Group operates under the ISO 14001 standard

Environmental Management requires you to:

Please ensure you complete the

DOF Group Environmental Awareness
E-Learning module!

Understand the environmental liabilities related

to your work

Understand your legal responsibilities towards

these liabilities

Identifying environmental aspects and impacts is a

key part of setting up an environmental management
system (EMS)

An environmental aspect is any element of your

companys activities that can interact with the
environment

An environmental impact is an effect that an aspect

has on the environment

There are two methods of evaluating environmental

hazards depending on whether the interaction has
been identified as part of an Environmental Aspect
Process or a Risk Assessment

SEEMP means: Ship Energy Efficiency Management Plan, which aims to reduce the quantity of
energy consumed on vessels by a range of different
measures such as clean hulls, weather routing, new
technologies, propeller polishing, engine load etc.

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Skandi Vega

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Module

INTERNAL
AUDITING
INTRODUCTION

150

TYPES OF AUDIT

152

AUDITING PROCESS

154

Responsibility 155
Create Audit Schedule

155

Unscheduled Audits

155

Prepare Audit Audit Notification

155

Evaluation of Compliance Audit Preparations

156

Conduct Audit

156

Tips Regarding Auditing

157

Interviewing Dos and Do Nots

158

Define and Communicate Findings

158

Questioning Techniques

159

Active Listening Techniques

160

Write and Distribute Audit Report

163

MONITORING AND EVALUATION

164

Monitoring HSEQ

165

LESSONS LEARNED

168

Experience Transfer

168

MANAGEMENT REVIEW

170

Purpose 170
What should be discussed in Management Review Meetings?

170

How often should we have Management Review Meetings?

171

What record do we need of our Management Review Meetings?

171

Agenda used for Management Review in the DOF Group

172

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Aim of the Course

Key Words

This course aims to provide an overview of the audit

structure within the DOF Group.

The importance of auditing

Having completed the module, the candidate is qualified

to participate as a member of the audit team in internal
audits as well as supplier audits.

Marine audits (ISM code, ISPS

code, IMCA audit, OVID)

The course will also provide an overview of some key

elements used in the ongoing review, monitoring and
evaluation structure of the company.

Audits of management system

DOF auditing system

ISO/OHSAS audits
Supplier audits
Global audits
How to plan, perform and finalise
an audit
Call for audit scope, objectives
and criteria

Introduction
Periodic audits of procedures and systems of work
shall be conducted by company-recognised auditors
to ensure the objectives, targets and operational
plans are being appropriately implemented and
maintained. The assistance of employees may be
called on as necessary.
DOF shall ensure that activities, products or services that do not conform
with the HSE-MS requirements are identified. All deficiencies and corrective actions arising from meetings, incident investigations, audits and
inspections will be raised and promptly tracked to ensure close-out.

Plan the audits, develop

checklists etc.
Perform the audit opening
meeting, interviews, close-out
meeting
How to report the audit
Follow up audits
Monitoring and review
KPIs
Leading and lagging indicators

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Terms and Definitions

Audit

Systematic, independent and documented process for

obtaining audit evidence and evaluating it objectively to
determine the extent to which audit criteria are fulfilled.

Auditee

Organisation, department or process owner being audited.

Auditor

The person, group or independent body conducting the audit.

Audit Scope

Extent and boundaries of an audit.

Corrective Action

Action to either eliminate the cause of a non-conformity

or other undesirable situations.

Preventative Action

Action to either eliminate the cause of a potential non-conformity or other potential undesirable events.

Non-conformity

Non fulfilment of a requirement.

Process

Set of interrelated or interacting activities which transform

inputs or outputs.

Procedure

Specified way to carry out an activity or process.

Quality

Degree to which a set of inherent

characteristics fulfils requirements.

Audit Criteria

Set of policies, procedures or requirements used as

a reference against which audit evidence is compared.

Audit Evidence

Records, statement of fact or other information which

is relevant to the audit criteria and is verifiable.

Audit Findings

Results of the evaluation of the collected audit evidence

against audit criteria.

Observation

An observation is an individual audit finding based on objective evidence for which there is no related requirement.

Quality Management
System

Management system to direct and control an organisation

with regards to quality.

Record

Document stating results achieved or providing evidence

of activities performed.

Noteworthy Effort

A noteworthy effort is a positive individual audit finding based

on objective evidence for which there is no related requirement.

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Types of Audit
Auditing is an independent, objective assurance and consulting activity
designed to add value and improve an organisations operations. It helps
an organisation accomplish its objectives by bringing a systematic,
disciplined approach to evaluate and improve the effectiveness of risk
management, control, and governance processes.
Auditing is a catalyst for improving an organisations effectiveness and
efficiency by providing insight and recommendations based on analyses
and assessments of data and business processes. With commitment to
integrity and accountability, internal auditing provides value to governing
bodies and senior management as an objective source of independent
advice. Professionals called internal auditors are employed by organisations to perform the internal auditing activity.
The scope of auditing within an organisation is broad and may involve
topics such as the efficacy of operations, the reliability of financial
reporting, deterring and investigating fraud, safeguarding assets, and
a review of processes.
Process Audits shall be based on requirements in:
ISO 9001, ISO 14001, OHSAS 18001
DOF Business Management System
Purchase Orders
Framework Agreements
Client Contracts
Each business unit shall as a minimum be audited every year, based on
ISO 9001, ISO 14001, OHSAS 18001 and the BMS. Process audits shall be
recognised as the major tool for continual improvement compliance with
laws and regulations among internal processes.

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Types of Audit
Quality Audits

Are performed to verify conformance to standards through review of objective

evidence. A system of quality audits may verify the effectiveness of a quality
management system. This is part of certifications such as ISO 9001, ISO 14001
and OHSAS 18001.
To benefit the organisation, quality auditing should not only report nonconformance and corrective actions but also highlight areas of good practice
and provide evidence of conformance. In this way, other departments may share
information and amend their working practices as a result, also enhancing
continual improvement.

Project Audits

Are an evaluation of a specific project, measured according to DOF Group and

contract requirements. The HSEQ Manager shall ensure that the project audit plans
are also maintained in the common regional audit schedules. This to avoid double
audits by suppliers or own organisation and to secure proper planning.

Supplier Audits

Should be based on recognised management system standards and the DOF Group
requirements for suppliers and subcontractors. Supplier audits are a tool for
evaluation, approval and improvement of suppliers providing services to DOF

Global Audits

Are an in-depth audit of a region or business unit within the DOF Group.
The main objectives of this review are:

Marine Audits

To verify compliance with Group policies

To assess whether the internal control framework designed

by management to cover the main risk areas of the business
is sufficient and working as intended

To review the operational and reporting processes

All ships operated by DOF Management, also including the main and branch offices,
are subject to Annual Internal ISM/ISO/ISPS audits.
The audits on board, and ashore, are to be held at intervals not exceeding twelve
months. In exceptional circumstances, this interval may be exceeded by not more
than three months subject to flag state approval.
Internal ISM/ISO/ISPS audits shall be carried out in accordance with the Internal
Audit Plan and Internal Audit Check list.
The audits will be conducted by approved auditors and the criteria for the audits
shall be the relevant internal requirements and regulations/standards.
The completed checklists shall be reviewed by the auditor and involved personnel
onboard. An Internal Audit Report will be completed and documented in the incident
NC reporting system.

Compliance
Audits

Complaince audits are the process of systematic examination of a quality system

carried out by an internal or external quality auditor or an audit team. DOF Groups
main complaince audits come in the form of ISO certification audits.

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Auditing Process
Systems and processes for auditing shall be in line with the requirement
of the quality assurance audit standards, guidelines and processes.
The audit process is designed to verify that the HSEQ management
arrangements are being operated and are effective in accordance with
specified performance standards.
Audits may be undertaken by:
Internal company auditors
Client
Regulatory bodies
The audit results will be collected and reported to the HSEQ Manager
(for process compliance) and implementation of corrective action plans
established. These shall include:
Corrective actions and findings are recorded and prioritised.
Affected employees are made aware of audit results and corrective
actions.
Corrective actions are reviewed for appropriateness prior
to implementation.
Follow-up action is monitored for timely close-out.
The review of any audit report, corrective action plan and audit close-out
is undertaken by the DOF Line Management Team.

Before

Scope for audit

Call for audit
Checklist to follow
Questions to be asked

During

Opening meeting
Interviewing
Auditor's time define findings
Close-out meeting

After

Write the report

Communicate
Follow-up
Close-out

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Responsibility
The HSEQ Manager of each DOF business unit is responsible for their
audits being planned, carried out and reported. Audits may be carried out
of HSE and Quality systems or both in combination.
DOFs internal auditors shall have completed auditor training on the
relevant standards or similar training which is approved by the HSEQ
Manager. Auditors conducting supplier audits shall have lead assessor
training or equivalent. When required, the lead auditor shall request
assistance from other auditors or technical staff to cover special processes
and to evaluate technical capability.
The Designated Persons Ashore (DPAs) are responsible for developing an
annual internal audit plan for their relevant fleet and to ensure that the
audits are executed as planned. The Head of the HSEQ Department is
responsible for ensuring that such internal audit plans are developed and
are followed up by the DPAs.

Create Audit Schedule

An audit schedule for planned internal, supplier audits and evaluation of
compliance audits shall be prepared at a regional level and presented to
business units on an annual basis. Schedules shall have input from senior
management and be subject to the approval of the Vice President HSEQ
as well as being agreed upon at business unit level. The audits are
scheduled on the basis of importance to the companys operations and
results from previous audits.

Unscheduled Audits
The HSEQ Manager can plan and assign unscheduled audits to be
conducted when:
Problems are encountered with the operation of the BMS
Significant changes have to be made to the BMS
A problem requires investigation
Deemed necessary throughout any stage of a project
The HSEQ Manager shall ensure unscheduled audits are carried out in
the same way as scheduled audits except that the period of notice to
auditee may be reduced.

Prepare Audit Audit Notification

Where appropriate, the audit leader shall prepare thorough checklists,
developing an Audit Checklist template to be used during the audit which
covers the general scope of the audit. The checklist and any other relevant
documents shall include objective evidence to be verified. The auditor
shall also give consideration to previous audit findings, performance and
non-conformance which may require follow-up.

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Evaluation of Compliance Audit Preparations

No audit checklists exist as such for an Evaluation of Compliance Audit
due to the complexity and quantity of requirements DOF Group subscribes to as a group.
Compliance shall be audited against the criteria of listed legal and other
requirements in the Legislation and Other Requirements Compliance
Register. The Legislation and Other Requirements Compliance Register
should be specific to the business unit undertaking the Evaluation of
Compliance Audit.
It should be ensured that the evaluation of compliance process encompasses all legal and other requirements subscribed to and listed in the
Business Unit Legal and Other Requirements Register on at least an
annual basis.

Conduct Audit
The audit leader shall conduct the audit with due professional care.
The audit shall be initiated with an opening meeting for introduction
and general information. The audit team will then continue the audit by
examining work areas and interviewing personnel, using standard audit
techniques.
For an Evaluation of Compliance Audit, the standard audit techniques
employed may have to be extended and varied in order to provide
evidence of compliance to a particular requirement.
Evidence of activities carried out shall be compared with relevant
documented procedures and records. If any informal (not documented)
procedures are in use, these shall be investigated to the extent necessary.
When non-conformities or non-compliances are detected, more detailed
inspections shall be carried out in cooperation with the department and/
or function in question, in order to identify the cause of the non-conformity.

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Tips Regarding Auditing

Its important that you know exactly why you are conducting an interview
and which goal(s) you are aiming for. Stay focused on questions and
techniques which will help you achieve these goals.
Do your homework. You will be expected to have a basic knowledge of
your subject. You wouldnt turn up for an interview with a band and
ask them how many albums they have released you should know
this already. If you show your ignorance, you lose credibility and risk
being ridiculed. At the very least, the interviewee is less likely to open
up to you.
Have a list of questions. This seems obvious, but some people dont
think of it. While you should be prepared to improvise and adapt, it
makes sense to have a firm list of questions which need to be asked.
Of course many interviewees will ask for a list of questions beforehand, or
you might decide to provide one to help them prepare. Whether or not
this is a good idea depends on the situation. For example, if you will be
asking technical questions which might need a researched answer, then it
helps to give the subject some warning. On the other hand, if you are
looking for spontaneous answers then its best to wait until the interview.
Try to avoid being pinned down to a preset list of questions as this could
inhibit the interview. However, if you do agree to such a list before the
interview, stick to it.
Ask the subject if there are any particular questions they would like
you to ask.
Back-cut questions may be shot at the end of a video interview.
Make sure you ask the back-cut questions with the same wording
as the interview even varying the wording slightly can sometimes
make the edit unworkable. You might want to make notes of any
unscripted questions as the interview progresses, so you remember
to include them in the back-cuts.

Listen. A common mistake is to be thinking about the next question

while the subject is answering the previous one, to the point that the
interviewer misses some important information. This can lead to all
sorts of embarrassing outcomes.

Dialogue: Keep the dialogue clear, precise and professional whilst

engaging the auditee and putting them at ease.

Body language: ensure you keep a good body posture. Dont appear
too relaxed or too tense.

Dress code: dress smartly and appropriately.

Respect the role of the lead auditor.

Clearly communicate findings and document with specific accuracy were

the deficiency has been found as well the specific requirement.

Key Readings
An Audit Interview is:

A personal, controlled conversational meeting in which an

auditor obtains the required
information from the auditees

An interview is a structured
conversation with a clear
agenda

It is not a law enforcement

interview

It is not an interrogation

It is not a survey

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Interviewing Dos and Do Nots

Dos

Donts

DO NOT say things that are judgmental.

DO NOT interrupt in mid-sentence.

DO NOT put words into the interviews mouth.

DO NOT show what you are thinking through

changed tone of voice.

DO NOT offend the interviewee in any way.

DO test the interview schedule beforehand

for clarity, and to make sure questions cannot
be misunderstood.

DO state clearly what the purpose of the

interview is.

DO assure the interviewee that what is said

will be treated in confidence.

DO ask if the interviewee minds if you take

notes or tape record the interview.

DO record the exact words of the interviewee

as far as possible.

DO keep talking as you write.

DO keep the interview to the point.

DO cover the full schedule of questions.

DO watch for answers that are vague and

probe for more information.

DO be flexible and note down everything

interesting that is said, even if it isnt on the
schedule.

Define and Communicate Findings

Upon completion of the audit, the preliminary results shall be summarised
and presented to the auditee: This is normally done in a summary or audit
closing meeting.
The audit leader shall ensure that the difference between non-conformities and improvement actions are fully understood and that all findings
are agreed upon with the auditee. Target dates for implementation of
corrective actions can also be agreed upon. Should it not be practical to
establish the date(s) for implementation, then such dates shall be advised
by the auditee to the auditor within five working days. Each finding shall
preferably have a persons name indicated; the person responsible for
corrective action.

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Questioning Techniques
The prepared checklist should provide the basic questions to which the
auditor seeks answers. Nevertheless it is only an aide memoir. If asked the
right questions in the right way, an auditee will often provide much of the
information required. Auditors will develop their own style of investigation, but in the use of questioning there are some well proven approaches.

Technique

Example

Invitation
to Talk

Try asking for a description:

Would you please explain to me what happens here?

Direct
Questions

Six simple words:

What do you do next?
How are these reports distributed?
Who approves the issues of these licences?
When (or how frequently) is this plan reviewed?
Where are these items stored when not in use?
Why is it done that way?

Closed
Question

If the auditees reply to a question is vague a closed question bridges the gap:
Does the department keep any records or customer complaints?
(Auditor)
Yes (Auditee)

Technique

Example

Silent
Questions

The silent question is surprisingly effective in getting the auditeeto volunteer

information. The auditor, simply by asking a question and then waiting, (while looking
directly at the auditee) exerts psychological pressure which encourages a reply.

Nave
Questions

By playing dumb the auditor may succeed in throwing off the image of
a fault-finding policeman.
Im afraid this looks very complicated to me.
Do you think you could explain it in terms I can understand?
Most people will respond helpfully to such a question.

Hypothetical
Questions

In trying to determine whether or not a process will continue to meet requirements

under unusual circumstances, it is worth asking:
What if so and so occurs?
How would the office cope in the event of a power failure?
Of course this form of question is appropriate only where the potential circumstance
are realistic and relevant to the activity being examined.

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Active listening techniques

Encourage
Restate
Reflect
Summarize

Encorage
Purpose

Convey interest. Keep person talking.

Action

Do not agree or disagree. Non committal

with a positive tone of voice.

Example

I see. Uh-huhThat is interesting.

Restate
Purpose

Shows that you are listening and that you

grasp the fact.

Action

Restate persons basic ideas, emphasize

facts.

Example

If I understand, your idea is to.? In other

words, this is your decision.

Reflect
Purpose

Shows that you are listening and understand how they feel.

Action

Reflect the persons basic feelings.

Example

I got the impression that You feel that .

Is not functioning as intended?

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Summarize

Task

Purpose

A Practice an interview around

a self chosen theme with your
friend/colleague.

Action

Example

Pull import and ideas, facts etc.

Establish a basic for further discussions.

Restate, reflect and summarize major

ideas and feelings.

These seems to be the key ideas you

have expresse.

B Exercise on using the four

active listening techniques
demonstrated in class;

Encourage

Restate

Reflect

Summarize

C Present your experience in

plenum.
Time: 10 minutes x 2 = 20 minutes

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Write and Distribute Audit Report

The Audit Report shall faithfully reflect both the tone and content of the
audit. The Audit Report template shall be used. Once complete it shall be
checked by the co-auditors and the HSEQ Manager, signed and dated by
the audit leader and the HSEQ Manager and then issued to the auditee.
The report shall clearly identify:
Audit Report Number
Audit Date
Audited Organisation & the Representative
Audit Team Members

Task
Group of 3-4 persons:

Fill in a call for audit

Make a checklist either for

a supplier audit / project audit

Make a final report

Ice-breaker:

Purpose and Scope of the Audit

Persons Interviewed
Identification of audited systems, activities, legislative or other
requirements and documents

Description of findings, non-conformities, non-compliances and

areas for improvement

Take one participant into the

corridor and make him read
a written notice.

The participant tells

another participant what
was on the note, and then
the next etc.

The last person to

receive the message
writes the message down
and the group sits down to
compare their notes.

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Monitoring and Evaluation

Policies and Strategic
Objectives

Organization
Responsibilities
and Resources

Auditing and
Improvement

Implementation
and Monitoring

LEADERSHIP
AND COMMITMENT

Risk Evaluation
and Management

Planning

What are monitoring and evaluation?

Although the term monitoring and evaluation tends to get run together
as if it is only one thing, monitoring and evaluation are, in fact, two
distinct sets of organisational activities, related but not identical.
Monitoring is the systematic collection and analysis of information as a
project progresses. It is aimed at improving the efficiency and effectiveness of a project or organisation. It is based on targets set and activities
planned during the planning phases of work. It helps to keep the work on
track, and can let management know when things are going wrong.
If done properly, it is an invaluable tool for good management, and it
provides a useful base for evaluation. It enables you to determine whether
the resources you have available are sufficient and are being well used,
whether the capacity you have is sufficient and appropriate, and whether
you are doing what you planned to do.
Evaluation is the comparison of actual project impacts against the agreed
strategic plans. It looks at what you set out to do, at what you have
accomplished, and how you accomplished it. It can be formative (taking
place during the life of a project or organisation, with the intention of
improving the strategy or way of functioning of the project or organisation). It can also be summative (drawing learning from a completed
project or an organisation that is no longer functioning). Someone once
described this as the difference between a check-up and an autopsy!

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What monitoring and evaluation have in common is that they are geared
towards learning from what you are doing and how you are doing it,
by focusing on:
Efficiency

Tells you that the input into the work

is appropriate in terms of the output. This could be input in terms of
money, time, staff, equipment and
so on.

Effectiveness

Is a measure of the extent to

which a development programme
or project achieves the specific
objectives it set.

Impact

Tells you whether or not what

you did made a difference to the
problem situation you were trying
to address. In other words, was
your strategy useful.

Monitoring HSEQ
A set of Key Performance Indicators (KPI) has been developed to
effectively monitor HSEQ performance.
The metrics are aimed at driving further improvements in our HSEQ
performance. This is achieved by maintaining a balance of leading and
lagging indicators that will be used to monitor overall performance
throughout the year.
Lagging safety statistics Total recordable incident rate (TRIR)

Fatal accident rate (FAR)

Lost time incident frequency rate (LTIFR)
A breakdown of direct causes of LTIs into a number of categories
Direct causes of lost time injuries (LTIs)
Leading safety statistics Safety observations frequency rate (SOFR)
Injury events, reporting activity level (RAL)
Management visits rating (MVR)
Lessons learnt rating (LLR)

The Global inputs and outputs for HSE, Quality and product realisation
are provided in the tables on next page.

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HSE Metrics
HSE Input/Outputs

Global Targets 2013 Metric

Number of LTIs

Lost Time Injury

Frequency Rate (LTIFR)

< 0.4 / 1 000 000 man-hours

Total Recordable
Case Frequency Rate
(TRCF = LTI, RWC,
MTC)

< 1.5 / 1 000 000 man-hours

First-Aid Cases

< 10 / 1 000 000 man-hours

Accidental Spill of
more than 100 litres to
external environment

Safety Observation
Rate

400 / 200 000 man-hours

Observation Close-Out

90% of observations closed by

Worksite Management within 90
days

Environmental Aspects

> 2 significant environmental

aspects under active improvement
regime in all regions

Working Environmental
Surveys

Conduct bi-annual working

environment survey and establish
regional goal accordingly

Emergency Response
Exercises Level 2s

2 per region per year

HSEQ Management
Visits

4 visits / 200 000 man-hours

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Quality Metrics
Quality Input/Outputs

Global Targets 2013 Metric

Lesson Learned

6 reports / 200 000 man-hours

Internal Audits

90% of audits completed by

the end of the year

Product realization metrics

Quality Input/Outputs

Global Targets 2013 Metric

Available operative time

for VESSEL Time in %
when vessels are in an
operating mode and
under contract with a
client = < 3 %. Downtime for client due to
vessel availability.

> 97%

Available operative
time for ROV Time in %
when ROV is in an operating mode and under
contract with a client
= < 3%. Downtime for
client due to ROV
availability.

> 97%

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Lessons learned
Management within the DOF Group should continually seek to improve
the effectiveness and efficiency of the processes within the organization,
rather than wait for a problem to reveal opportunities for improvement.
Improvements can range from small-step ongoing continual improvement to strategic change required within an organisation or a worksite.
The DOF Group manage this through Experience Transfer and this
should be performed regularly during operations and always after a
completed project.
The Experience Transfer allows us to identify and manage improvement
activities. These improvements may result in change to the product or
processes and even to the quality of documentation within the Business
Management System. It is also important that the lessons learned are
shared within specific areas of the group.

An organization is genuinely committed to living

the Lessons Learned philosophy, if:

An organization is genuinely committed to living the Lessons

Learned philosophy, if:

They use the Lessons Learned process to develop and improve

procedures, practices, and processes to an optimised level.

They commit sufficient and appropriate resources and time

to develop suitable solutions to eliminate problem areas and to
embed best practice initiatives.

The Lessons Learned can be properly qualified, accurately

and consistently quantified in order to manage and implement
the necessary changes associated with the area(s) under review.

The outcomes / solutions to be implemented are pertinent to,

and fully address, the area(s) under review.

Statement from Edward Leet Quality Manager Asia Pacific.

Key Readings

The phrase Lessons Learned

is a common one that we are all
familiar with, it conjures up a
process whereby experiences
and actions are discussed and
solutions developed that will
prevent the issues reoccurring.

The official name of lesson

learned in the DOF Group is
Transfer of Experience and
are to be catrured within our
BMS system in the observation
module.

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Lesson learned
Yes, I was burned but I called it a lesson learned
Mistake overturned so I called it a lesson learned
My soul has returned so I call it a lesson learned
Another lesson learned
Its alright, its alright, its alright
Its alright, its a lesson learned
Its alright, its alright, its alright
Song lyrics by Alicia Keys

Photo: Victoria Will / Invision / AP / NTB Scanpix.

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Management Review
Policies and Strategic
Objectives

Organization
Responsibilities
and Resources

Auditing and
Improvement

Implementation
and Monitoring

LEADERSHIP
AND COMMITMENT

Risk Evaluation
and Management

Planning

Purpose
The purpose of the Management Review is to ensure the continued
suitability, adequacy, effectiveness and improvement of the BMS. This
section describes how the Management Review is organised, planned,
executed and how decisions are followed-up.
For further reading, please refer to Internal Quality Management System
Audit Checklist (ISO 9001:2008) clause 5.6 and Audit Checklist ISO
14001:2004 clause 4.6.

What should be discussed during Management

Review Meetings?
Management review is an extremely important criterion for the success
of your management system and your most significant source for
improvements. You should focus your attention on trends, objective
evidence and data-based decisions, not on daily operations.
We recommend the following topics be included in your management
review agenda:

Follow-up Actions: from previous management review meetings

Quality Assurance Report: including non-conforming/hold/rework

product data, and regulatory issues

Equipment/Maintenance: may include calibration information,

repair & maintenance trending data, equipment downtime

Subcontractors: subcontractor problems and actions, subcontractor

trends

Customer Complaints: summary of complaints for trending

of feedback, issues and resulting actions

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Corrective and Preventive Actions: type & source of issues, areas

most commonly having issues, trends of root causes, reoccurring
problems

Internal Auditing: audit results, audit schedule, non-conformances

by area and ISO clause

Planning: upcoming projects, status of ongoing projects, significant

changes including staffing

Resources: people & training, facility, and equipment

Improvement: review of management system policy, objectives and

overall management system effectiveness and improvement of the
system and your product.

Different standards do require some additional topics for management

review. Please review your standard requirements.

How often should we have Management Review

Meetings?
There is no specific requirement for the frequency of management review
meetings. We recommend quarterly meetings. This allows you to stay on
top of upcoming issues and collect data between meetings that is meaningful. We have found that annual meetings are not adequate for all
business units. With annual meetings, you may not be able to prevent
issues or resolve issues in a timely manner.

What record do we need of our Management

Review Meetings?
Try to keep good, detailed records of what was discussed, what conclusions were reached and what actions are needed. If you have set up your
meetings around your objectives, then for each topic at the meeting ask
the following questions:

What is your measurement?

What is your objective?

How are you doing?

Are there any trends?

Is there any action needed (e.g. people, process, materials,

equipment)?

Is there anything else we should consider?

This allows you to spend time on the items needing attention. Keep notes
of your answers.

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Further Readings

Key points from this module are

For further information about audits,

search for Audit in our BMS system:

Periodic audits of procedures and systems of work

are key to ensure that objectives, targets and operational plans are being appropriately implemented and
maintained

There are several different types of audit;

Internal Audit Schedule

External Audit Schedule
Template - Audit Notification
and Agenda

Checklist - Audit
Form - Legislation and Other Requirements Compliance Register
Template - Audit Report
Checklist - Internal Quality
Management System Audit (ISO
9001: 2008) - Clause 8.2.2
Internal Audit
Checklist - ISO 14001: 2004
audit - Clause 4.5.5 Internal Audit
Checklist - OHSAS 18001: 2007
audit - Clause 4.5.5 Internal Audit

- Quality Audits
- Project Audits
- Supplier Audits
- Global Audits
- Marine Audits
- Compliance Audits

Being well prepared and aware of the Dos and Donts

is vital to conduct successful audit interviews

Lessons Learned

Monitoring and Evaluation

Management Reviews are conducted on a regular

basis to ensure the continued suitability, adequacy,
effectiveness and improvement of the BMS.

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Appendix Audit Notification / Agenda

Appendix Audit Notification / Agenda
NOTIFICATION
To:

Insert Name / Title, Company

From:

Insert Name / Title, Company

Audit class:

Internal

Project No: Insert no. Audit No: Insert no.

Supplier (External) (Tick off)

AUDIT ORGANISATION:

DATE(S) OF AUDIT AND PLANNED DURATION:

Insert organisation

Insert date(s) and time/duration

AUDIT LOCATION:

REPRESENTATIVE OF AUDITED ORGANISATION:

Insert location (address)

Insert name and position (title)

REFERENCE DOCUMENTS:

DISTRIBUTION:

Insert document no. and title

AUDIT CRITERIA: (Tick off the criteria used)

ISO 9001
ISO14001

Business Management
System

OHSAS 18001
ISO 20000
ISO 27002
Laws and regulations
Other criteria,
specify:

AUDIT OBJECTIVE:
Insert description of audit objective

Frame Agreements
Client Contracts
Financial Standards
Best practice

Insert audit team members (identify lead auditor)

REQUIRED INFORMATION:

Insert name, position (title) and company

Purchase Orders

AUDIT TEAM:

Required information for preparation/document control

PARTICIPANTS:

Insert participant's name and position (title)

HSE:

Insert any HSE related expectations if applicable

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INTERNAL AUDITING 7

Appendix Audit Report

Audit Report

AUDIT GENERAL IMPRESSION

Date:

m.yyyy

Insert key points of overall impression from audit

ert no.

AUDIT RESULTS
No. of NCRs:

No. (No. Major / No. Minor)

No. of Observations:

No.

No. of Noteworthy efforts:

No.
MAIN FINDINGS (Main NCRs and Observations):

Insert main findings

High 5
4
3
2

POSITIVE INDICATORS (Main Noteworthy efforts):

Insert main positive indicators

Low 1
Degree of control

AUDIT INSTRUCTIONS FOR CLOSURE

Deadline for feedback:

dd.mm.yyyy (See also attached findings list)

Required feedback on non-conformities (Major / Minor);

Corrective action and implementation plan to be presented.

Feedback on observations;
Response requires comments or intention of follow-up. Area can be subject for next audit.

Note: All NCRs and observations to be closed out in Docmap.

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Appendix Audit Checklist

REFERENCE

AUDIT QUESTION

FINDINGS

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INTERNAL AUDITING 7

Appendix Audit Checklist

REFERENCE

AUDIT QUESTION

FINDINGS

Acknowledgement
This workbook has been developed by Camilla Heggy, David Filshie,
Stener Irgens, Stein-Hkon Halmy, Jacqui Newman, John Burnham,
Anita Martinsen, Stig Clementsen and MK Norway.

IC ECOLAB
RD

EL

NO

Copyright DOF Group 2013

73

241

pr

int

e d m att

er

Print specification meets certified

environmental standard of Norway

DG-HSEQ-WORKBOOK-2013