Framework Diagram – Safety Case Assessment

inc. Material Changes & Dismantlement Submissions

NPI
APP – Non Production installation PI – Production Installation
i A - Material Change/Dismantlement IMT – Inspection Management Team
MC/Dm Responsible Informed Approved by Administered by
D
(Day Numbers)Completion Window

Submission

Acceptance
Assessment
Technical Assessment
Management

Topic Specialist
(CUBS)Topic Specialist Administrator
(IMT Admin)Co-OrdinatorSafety Case
Duty Holder (Operator/Owner)

(DCM)Deputy Case Manager

Notes

Topic Team Leader (TTL)

Activity by

OSDR Decision Maker

Step

(CM)Case Manager
Responsible Person
(Time recording category: Assessment)

(TS) Note : will include IMT for

Management & Verification
NPI
PI
MC / Dm

MANAGEMENT ROLES
Case Manager – responsible overall for managing assessment teams to process allocated safety cases in accordance with this procedure.
Deputy Case Manager – responsible for managing the co-ordinated effort of topic specialists’ assessment of assigned safety cases.
Topic Team Leader – responsible for the management and quality of safety case technical assessments allocated to the topic team.

Submit Safety Case for assessment

Upload Case Via Portal

0 Include relevant Initial Review Template
1 0 and Topic Assessment Templates where
0 appropriate Initial Review & Topic Assessment
Templates
Submission of concurrent Safety Cases for an
installation is not permissible

iii i
If you require the role to be reassigned
send an email to scr05@hse.gsi.gov.uk .
Assign Roles via Portal and create COIN
1 CUBS in OPRED will manage EI and EO
Case
2 1 assignment.
1
A COIN Case is only for work recording
purposes only

Initial review template is on the OSDR

Community/a link is available direct from
the Portal . The template will be
uploaded to and issued via the portal
Undertake Initial Review

2 - 15 If Case has limited prospect of

3 2 - 15 acceptance: return submission via portal.
2 - 15
APP
i Upload and issue Assessment
Instructions via the portal
Prepare and Issue Assessment
Instructions Assessment Instruction Template held on
OSDR Community/link from the portal

i
Confirm, via portal if in agreement with
16-30 Confirm and advise if agree with Assessment Instruction. You must
4 16-30 assessment instruction respond within 10 working days of receipt
16-30 of the Assessment Instructions

5
TSs must adhere to the scope identified
in the Assessment Instruction.
16 - 40
a) Read and assess Safety Case
16 - 170
16 – 40 as per Assessment Instructions.
Reassessment of previously accepted
information is not required.

16-40 TAR and TAT to be uploaded onto the

16-85 b) Start completing the Topic Portal. Progression of the TAR will only
16-40 Assessment Report (TAR) and relevant be feasible when and if any NAIs raised
Topic Assessment Template. By have been resolved.
exception, seek informal Clarification(s)
as required. L154 Regulatory Guidance
(http://www.hse.gov.uk/pubns/books/l154.
htm)
APOSC
GASCET

Clarifications to be handled via the

Deputy Case Manager and can be
TRIM: 2016/14640 Revised: 23rd November 2017 Page 1 of 3
Owner: ED7
 A
Framework
D Diagram – Safety Case Assessment
inc. Material Changes & Dismantlement Submissions

NPI
APP – Non Production installation PI – Production Installation
i A - Material Change/Dismantlement IMT – Inspection Management Team
MC/Dm Responsible Informed Approved by Administered by
D
(Day Numbers)Completion Window

Submission

Acceptance
Assessment
Technical Assessment
Management

Notes

(Operator/Owner)Duty Holder

(DCM)Deputy Case Manager

Co-OrdinatorSafety Case

AdministratorTopic Specialist

Topic Specialist

(TTL)Topic Team Leader

Activity by

OSDR Decision Maker

Step

(CM)Case Manager
Responsible Person
(Time recording category: Assessment)

IMT for Management &

NPI

(TS) Note : will include

PI
MC / Dm

recorded within Communications on the

Portal or via the Topic Assessment
Template, inserting correspondence /
contact files where appropriate.

Where there is a difference of

professional judgement refer to
Differences of Professional Judgement
Framework and complete and upload the
Difference of Professional Judgement
template onto the portal via
Communications save in PDF format

APP Upload individual NAIs onto portal (each

APP c) Where Non Acceptance Issues (NAIs)
NAI generates a unique reference
are identified create NAI Note(s) upload
number (NAU template on community site
and process this via the portal
and link available via portal)

17-59
Respond formally to NAI(s) and address
17-104 Via Portal
17-59 any Clarification(s)
APP
Review NAI response(s) from Dutyholder
NAI inadequate response template
16-59 if you are not satisfied with the response
upload and forward via the portal.
you should return to the Dutyholder
Monitor progress with Topic Assessment
Reports, Responses viewed via
i
Milestones on portal. Where there is a
delay in response or an inadequate
response from the Duty Holder
(Operator/Owner) the Case Manager
should consider the impact on the
acceptance decision date and whether an
60 - 66
extension may be necessary. Any
6 105 - 120 Undertake Stocktaking Exercise.
60 - 66 extensions to the acceptance decision
date should be agreed by the Case
Manager, and you must inform the
DutyHolder (Operator/Owner) of the
change in acceptance date. The
dutyholder will require to agree any
changes to the acceptance deadline date
and this should be reflected in the Portal
via Communications.

APP
Attach finalised Topic Assessment
Report, including completed Topic
16 - 80 Assessment Template, and other relevant
Assess response(s) as necessary and
7 18 - 170 communication onto portal
18 - 80 finalise the Topic Assessment Report.

Attach Safety Case Assessment

APP
i 81 - 85 Review TARs, prepare Safety Case Recommendation to portal.
8 171 - 175 Assessment Recommendation and Where there is a finely balanced decision
81 - 85 inform ‘Decision Maker’. refer to Finely Balanced Decisions
Framework
9 86 - 90 Take decision. Process managed via the portal.
176 - 180
Before making the decision via the portal
i ii 86 - 90
you must complete the decision makers
template and upload this via the Portal
through use of Communications.
Decision Makers Template on the OSDR
Community Site

TRIM: 2016/14640 Revised: 23rd November 2017 Page 2 of 3

Owner: ED7
Framework Diagram – Safety Case Assessment
inc. Material Changes & Dismantlement Submissions

NPI
APP – Non Production installation PI – Production Installation
i A - Material Change/Dismantlement IMT – Inspection Management Team
MC/Dm Responsible Informed Approved by Administered by
D
(Day Numbers)Completion Window

Submission

Acceptance
Assessment
Technical Assessment
Management

Notes

(Operator/Owner)Duty Holder

(DCM)Deputy Case Manager

Co-OrdinatorSafety Case

AdministratorTopic Specialist

Topic Specialist

(TTL)Topic Team Leader

Activity by

OSDR Decision Maker

Step

(CM)Case Manager
Responsible Person
(Time recording category: Assessment)

IMT for Management &

NPI

(TS) Note : will include

PI
MC / Dm
QA check undertaken by Safety Case
Coordinator

90+ Revise Safety Case to reflect any

Upload onto the portal controlled copy of
10 180+ Clarifications and Non Acceptance
90+ revised Safety Case
Issues

TRIM: 2016/14640 Revised: 23rd November 2017 Page 3 of 3

Owner: ED7