Key Information, Approach and Documentation

KEY INFORMATION, APPROACH AND DOCUMEN
Contractor information
Contractor:
Contractor's adress:
Contractor's Contact Person:

Contractor's ID Number (if relevant):
Contractor self-assessment date:
Capability assessment and audit approach

(Use the mouseover event to see instructions)
Capability assessment with desktop assessment only:
Capability assessment with audit performed by 3rd party:
Capability assessment with audit performed by<Client name>:
<Client name> information
Capability assessment date:

Capability assessment performed by (name):
Organisational unit:
3rd party audit date (if relevant):
<Client name> audit date (if relevant):
<Client name> audit performed by (name, if relevant):
Documentation
1. Assessment of no-need to perform re-qualification.
(Provide documentation, if relevant, of the following: The contractor has previously been assessed as qualified by the client
- No changes to contractor's management system which indicates that an audit is required (changes in organisation, key
personnel or ownership since last capability assessment)
- No previous experience with the supplier which indicates that an audit is required (poor safety performance, etc.?)
- No uncertanties to supplier's compliance with client selection criteria which indicates that an audit is required? )
2. Documentation of Contractor performance

(Paste documentation from incident records, Contractor organisation, Client organisation, etc. , if relevant)
3. 3rd party audit report
(Paste audit report, if relevant)
4. <Client name> audit report

(Paste audit report, if relevant)
5. Actions initiated by the Contractor

(Paste documented actions taken by Contractor, if relevant)
6. Previous capability assessments of the Contractor

(Paste old safety Capability assessment spreadsheets below)
Tip
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- File the document to be pasted in into your explorer/file manager
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and finally choose "OK"
ND DOCUMENTATION
(Fill in requested information)
(Mark with "X" as relevant)
(Fill in requested information)

SCORE CALCULATION
Scoring and acceptance criteria
SCORES
Unacceptable (D) Poor (C)
Normal 0 3
High 0 6
The minimum acceptance scoring total is xx, please include other considerations/criteria for suitability and for
In column C, please indicate items weighting (High/Normal). This will impact the score (formulas behind) - delete this
Score calculation
(Select from drop-down list in the magenta coloured cells as relevant)
Contractor's self assessment
Date 12/30/1899
Item Description Weight
Select "A, B, C or D" Score/Result
Element 1: Commitment and accountability
1.1 Commitment and accountability to HSE aspects Normal 0

Element 2: HSE Policies, standards and objectives
2.1 HSE Policies and standards Normal 0

2.2 HSE Objectives Normal 0
2.3 Policies, Standards and Objectives (PSO) Normal 0
Element 3: Organization, resources and capability
3.1 Organisational structure for HSE management Normal 0

3.2 Resources and capability Normal 0
3.3 Competence assurance Normal 0
3.4 Allocation of internal and external resources Normal 0
Element 4: Stakeholders and customers
4.1 Stakeholders and customers Normal 0

Element 5: Risk management
5.1 Risk assessment and control Normal 0

5.2 Health risk factors and impact Normal 0
5.3 Safety risk factors and impact Normal 0
5.4 Environmental risk factors and impact Normal 0
5.5 Security risk factors and impact Normal 0
5.6 Social responsibility risk factors and impact Normal 0
Element 6: Asset design and integrity
6.1 Asset design and integrity Normal 0

Element 7: Plans and procedures
7.1 HSE operations manual Normal 0

7.2 Contingency, emergency, crisis and continuity management Normal 0
Element 8: Execution of activities
8.1 Execution and control of activities Normal 0

Element 9: Monitoring, reporting and learning
9.1 Monitoring and learning Normal 0

9.2 Incidents, events and non-conformities Normal 0
9.3 HSE performance Normal 0
9.4 HSE events and incidents investigation and follow-up Normal 0
9.5 Statutory notifiable incidents or non-compliance notices Normal 0
Element 10: Assurance, review and improvement
10.1 Assurance process, including audits Normal 0

10.2 Management review and follow up Normal 0
Section A: HSE management – additional features
(i) Certification of your HSE-MS Normal 0

(ii) Memberships of associations Normal 0
(iii) Additional features of your HSE-MS Normal 0
0
Acceptable (B) Excellent (A)
6 10
12 20
considerations/criteria for suitability and for inclusion on the tender list.

act the score (formulas behind) - delete this sentence when it has been done.
3rd party audit Client audit

(Input from the 3rd party audit report) (Input from sheet C)
Date 12/30/1899 Date 12/30/1899
Scoring "B" and/or "A"

to all items?
(9.5 and section A Score/Result Select "A, B, C or D" Score/Result Score/Result
exempted).
Select "Yes" or "No" R
a
d
Fill in A,B,C or D to ###
the right to perform 0 0
the score calculation Normal
--->
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0 ###
0 0
<Client name> AUDIT EVALUATION
ONLY the magenta cells shall be filled in.
Note that thorough preparation prior to an audit is necessary. For

SCORES this purpose see D. <client name> audit checklist
Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)
Emphasis should be placed on the complete answers
substantiated by supporting documentation in the self-assessment
Normal 0 3 6 10 questionnaire.
High 0 6 12 20
Weight
type
Element 1: Commitment and accountability
1.1 Commitment and accountability to HSE aspects a) 1) How are managers personally involved in HSE aspects? (E1.2)
a) 2) What is the responsibility of managers in this respect? (P1)
b) How do managers ensure commitment from the workforce to perform activities in accordance with company policies, standards and
objectives, and in compliance with external requirements? (E1.3)
c) How does the contractor ensure learning from internal and external sources and promote continuous risk reduction and performance
improvement? (E1.8)
d) Provide evidence of accountability and commitment at all levels of the organization. (E1.5)
e) Is there a code of conduct in place to establish behavioural, ethical and compliance obligations for employees? If yes, please provide a
copy. (E1.4)
f) 1) What communication and engagement mechanisms are established? (E1.6)
Contractors self evaluation

f) 2) How is responsibility assigned for prompt, appropriate and engaging communication to those involved in delivering HSE performance?
(P1)
g) 1) Provide evidence to show that the HSE-MS is in place across the organization, with priorities established, authorities and
accountabilities assigned, and resources allocated. (E1.1)
g) 2) Who in your organization is accountable for the oversight and co-ordination of activities within the scope of their part of the HSE-MS?
Are they also accountable for monitoring effectiveness? (P1) Findings Select type of finding (hold
Provide evidence of processes in place to manage documentation ensuring the latest versions are approved, identifiable and available, with (fill in below): marker on field to see definitions):
defined retention, back-up and archival systems for management of information and related records. (E1.7)
tractors self evaluation
No evidence of personal Some evidence of personal Evidence of personal commitment Evidence of mindfulness and a
commitment on the part of all the commitment on the part on the part of all the organization’s strong, proactive HSE culture in
organization’s managers and of all the organization’s managers managers and workers. senior management and at all
workers. None of the personnel and workers. Some of the Accountability based on well- levels throughout the organization.
who direct and control activities personnel who direct and control defined authority levels,
understand their accountability for activities understand their acceptance of decision making
HSE-MS accountability for HSE-MS and a clear understanding of job
policies, systems, decisions, and policies, systems, decisions, and responsibilities.
outcomes. outcomes.

Normal 0
2.1 HSE Policies and standards: a) Who is the most senior person in the organization responsible for authorization of PSOs appropriate
to each activity? Provide name and title. (E2.2)
b) 1) Does your company have HSE policies and standards in place which establish risk- based requirements, including the commitment to
comply with applicable regulatory or other requirements? (E2.3)
If the answer is yes, please attach copies.
b) 2) How do you communicate your policies and standards to all of your employees? (E2.3)
b) 3) What are your arrangements for advising employees of changes in the policies or standards? (E2.3)
c) 1) How do you identify new industry standards or regulatory requirements that may be applicable to your activities? (E2.3)
c) 2) Describe the process used for producing, updating and disseminating standards. (E2.3)
c) 3) Are your company standards aligned with IOGP/industry guidelines or recommended practices? If yes, state which. (E2.3)

c) 4) Describe process for review of applicable regulations and standards at the local, national, regional and international levels to ensure
Policies and Standards are aligned and remain up-to-date. (P2)
c) 5) Where do you define the company standards you require your contractors to meet? (P2) Findings Select type of finding (hold
c) 6) How do you ensure these standards are met and verified? (P2) (fill in below): marker on field to see definitions):
No written HSE policies, HSE Policy statements and basic HSE Appropriate PSO are in place to Appropriate PSO are in place to
performance standards or performance standards exist on define the expected outcomes of define the expected outcomes of
objectives endorsed by senior paper but have not been well HSE-MS implementation. PSO HSE-MS implementation. PSO
management. communicated providing commitments and providing commitments and
to the organization, no HSE boundaries and assisting the boundaries, assisting the
objectives defined. company to meet regulatory company to meet or exceed
requirements and other voluntary regulatory requirements and other
commitments. voluntary commitments and
setting responsible expectations
where regulatory requirements do
not exist.

Normal 0
2.2 HSE Objectives: a) Does your company have HSE objectives which include measurable success criteria based on continuous
improvement; maintaining standards; or compliance with policy, regulatory or other requirements? (E2.4)
If the answer is yes, please attach a copy.
b) Describe how you communicate your HSE objectives to all your employees. (E2.4)
c) What initiatives or campaigns have been developed at an appropriate level of the company to meet short and long-term strategic Findings Select type of finding (hold
objectives? (P2) (fill in below): marker on field to see definitions):


not exist.

Normal 0
2.3 Policies, Standards and Objectives (PSO): a) How do you ensure that the PSOs defined address applicable aspects of your business
activities throughout their life cycle? (E2.1)
b) Are there different entities operating on the same facilities (including joint venture partnerships) and have PSO been harmonized to
ensure a consistent message and application? If yes, please provide an outline of harmonization. (E2.5)
c) Describe the process used to review PSOs, including how these are documented and approved by a competent authority. Please
provide an example. (E2.6)
d) How does your organization gather and consolidate feedback on PSO applicability and effectiveness and use this to identify shortfalls
against expectations? (P2)

e) Describe the process used to risk-assess and approve an exemption or deviation from an HSE MS requirement and how you ensure the Findings Select type of finding (hold
approval is by an appropriate level of management. (P2) (fill in below): marker on field to see definitions):
not exist.

Normal 0
Element 3: Organization, resources and capability
3.1 Organizational Structure for HSE Management: a) How is your organization structured to effectively implement the HSE-MS and
ensure compliance with legal and other requirements? Please provide an organization chart. (E3.1)
b) When organizational change is necessary, what process is in place to assess, mitigate and review actual and potential risks, as well as
impacts on operating activities and the HSE-MS itself? (P3)
c) How do you ensure people in roles identified as HSE critical can be replaced e.g. due to retirement, transfer or leaving the role for other
reasons? (P3) Findings Select type of finding (hold
(fill in below): marker on field to see definitions):

d) What mechanisms and programmes for joint participation and management consultation within the workforce do you have? (E3.5 & P3)
The organization has no defined Limited organization with defined The organization with defined “Acceptable” together with a
HSE responsibilities, HSE responsibilities, HSE responsibilities, process to ensure extension of
accountabilities and accountabilities and accountabilities and authorities is HSE-MS consistency towards
authorities. There is no evidence authorities. They have some structured contractors, who are a key
of equipment, processes and equipment, processes and people to deliver its planned objectives resource when deployed to
skilled people in place. in place, but limited specialist HSE effectively and efficiently. They increase the organization’s
resources. have the right equipment, capability.
processes and people in place,
with the right skills at the right
time.

Normal 0
3.2 Resources and capability: a) What recruitment, deployment, career development, retention and succession plans are in place? (E3.2)
b) What HSE training programmes do you have in place for the following: (E3.2)
b) 1) Managers and supervisors at all levels who will plan, monitor, oversee and carry out the work?
b) 2) HSE specialist personnel within your organization? Please specify the resources available. (E3.2)
b) 3) Other HSE personnel?
b) 4) Employees to ensure they have adequate knowledge of basic industrial HSE? (E3.2)
b) 5) Employees to ensure they have been instructed and have received information on any specific risk factors and risks arising out of the
nature of their activities e.g. job and site orientations? (E3.2)

c) Describe the process used to periodically review and update HSE training e.g. to meet HSE objectives and applicable legal or other HSE
requirements. (E3.2)
d) Where HSE training is given in-house, please describe the content and duration of courses. Findings Select type of finding (hold
e) What tools to do you use to identify and access HSE specific resources, skills and knowledge? (P3) (fill in below): marker on field to see definitions):
No formal HSE training Verbal instructions on company Capability of managers and “Acceptable” together with follow-
programme. No specialized HSE procedures only. Documents workforce is supported by up observation of employee’s
training for managers, supervisors provided for new employees but appropriate levels performance. Additional HSE
or specialists/ personnel. no on-the-job orientation by of competence, skills, experience training provided to address any
supervisor. Some specialized and behaviour to work effectively gaps identified and changes in job
HSE training for managers, and meet HSE-MS Expectations. responsibilities/ function.
supervisors or
specialists/personnel.

Normal 0
3.3 Competence assurance: a) Does your organization have a competence assurance process in place? If yes, please describe the scope
and content of your competence assurance process. (E3.3)
b) What clearly defined HSE competencies are required for the individual roles and jobs within teams? Please provide an example of
training matrix. (P3) Findings Select type of finding (hold
c) What measures are in place to review individual’s or team’s capability and address temporary any gaps? (P3) (fill in below): marker on field to see definitions):
No evidence of competence Some general competence A competence assurance process “Acceptable” Column together

assurance in place. profiles available, but exists to screen, select, train and with Critical roles in terms of
not specifying the training needed conduct ongoing assessment of operating risk may also be
or HSE the HSE qualifications, fitness-for- identified, documented, tracked
qualifications for specific job task, enabling and regularly reviewed. This
requirements. Records exist but behaviours, and supervisory ensures appropriate priority is
are not kept up to date. needs and abilities of the given to assessment, training
workforce to meet specified job requirements, fitness-for- task,
requirements. Records are development plans,
retained and kept up-to- date to mentoring and performance
assure that training has been review.
completed and competencies
have been assessed as adequate.

Normal 0
3.4 Allocation of internal and external resources: a) What system is in place to allocate appropriate and sufficient internal and external
resources to meet HSE objectives? (E3.4)
b) Does your company have a contractor management process or system? If yes, provide an outline of the process. (E3.4)
c) 1) How do you asses the HSE capability and capacity internally, and if external resources are needed, of your suppliers and contractors?
(E3.4)
c) 2) What programmes have you put in place to enhance opportunities for local sourcing of people, goods and services? (P3)
d) How do you ensure that plans are established amongst suppliers and contractors, for personnel identification in HSE critical roles and
how they can be replaced if they retire, transfer or leave their role for other reasons? (P3)
e) Do you provide HSE specific training, tools and initiatives to improve the risk awareness and performance of suppliers and contractors

who provide goods and services? If yes, please provide an outline. (P3)
f) What HSE training do you provide to managers and workers responsible for contracting activities and oversight of contractors? (P3)
g) 1) How do you agree upon the interfaces and other bridging mechanisms for activities involving multiple parties using different
management systems? (P3)
2) How do you identify alignment and relevant gaps (including roles, responsibilities and actions) in the different management systems of the Findings Select type of finding (hold
participants? (P3) (fill in below): marker on field to see definitions):
No written process for allocation Basic system in place for System in place for allocation of “Acceptable” together with follow-
of appropriate and sufficient allocation of appropriate and appropriate and sufficient internal up conducted on the HSE
internal and external resources. sufficient internal and external and external resources. performance of their contractor.
resources. For management of Contractors are selected with Contractor and their contractors
suppliers and contractors, consideration of HSE abilities. working together for achievement
selection process limited in HSE Relationships are established and of HSE objectives.
criteria. verification controls
to maintain sufficient and effective
supply of goods and services are
in place.

Normal 0
4.1 Stakeholders and customers: a1) How do you identify Stakeholders, including local communities? (E4.1)
a2) How are relationships established throughout the activities life cycle? (E4.1) a3) Which significant stakeholder groups does your
company have? (P4)
a4) What is your company’s local community engagement plan and strategy? (P4)
b1) What processes does your company have to assess, manage and engage with customers and other stakeholders regarding life cycle
risks and opportunities associated with the company’s products, assets and activities? (E4.2)
b2) Describe how compliance with regulatory requirements is part of these processes. (E4.2)
c) What mechanisms are in place to document, evaluate and address stakeholder and customer expectations and feedback, including
Leverandørens egenvurdering:
concerns and grievances? (E4.3)
d1) What kind of relationships has your company established with stakeholders and customers? (E4.4) Findings Select type of finding (hold
d2) Describe how communication and engagement is performed? (E4.4) (fill in below): marker on field to see definitions):
Open and sustainable Open and sustainable Effective relationships with “Acceptable” together with
relationships not established. relationships established. stakeholders and customers Contractor gaining short or long-
Contractor not able to manage the Contractor has identified relevant established. Relevant risks are term economic, social or
risks and opportunities that have risks but these are not fully identified and clearly environmental benefits from their
potential to affect its stakeholders understood, addressed and communicated, addressed and relationship
and customers. managed. managed. Contractor’s products with stakeholders and costumers.
and services
meet the expectations of its
customers in terms of HSE
performance and technical
support.

Normal 0
Element 5: Risk assessment and control

5.1 - Risk assessment and control: a) 1) What processes and methods does your company have in place to manage risks to an
acceptable level for the scope of your activities? (E5.1)
a) 2) How does your company ensure no operation is performed without a specific risk assessment? (E5.1)
a) 3) How does your company monitor that all control and mitigation measures are in place before performing any operation? (E5.1)
b) 1) How are conflicting interests dealt with, within your risk management process? (P5)
b) 2) Is there commitment to review and improve risk management and associated processes periodically, and in response to an event or
change in circumstances? (P5)
c) Provide evidence of documentation and communication of the risk management processes for significant risks, including risk acceptance
approval at appropriate levels of the organization, scheduled reviews and updating of risk registers. (E5.2)
d) How do you manage changes and assess associated risks, e.g. temporary/permanent changes that affect the organization, activities,

assets, operations, products, plans or procedures? (E5.3)
e) How are vulnerabilities and non-conformances recognized, including deviations from operating procedures or weak signals that provide
indications of potentially increasing risk? (E5.4)
f) How is learning from incidents, events, non-conformities and good practices from internal and external sources incorporated into risk
assessments and their review? (M5)
g) Has your company established risk control and regulatory compliance plans to manage ‘normal’ conditions, allowing the organization to
manage HSE risks locally while maintaining full compliance with relevant requirements and legislation? If yes, please specify which areas of Findings Select type of finding (hold
risk, context or requirements. (P7) (fill in below): marker on field to see definitions):
Company HSE-MS does not Company HSE-MS makes Company HSE-MS includes “Acceptable” together with
include identification, assessment reference to the need techniques for the assessment of recognition of positive impacts and
and treatment of HSE risk to conduct HSE risk assessment task based and specific HSE the optimization of benefits that
considering but has no techniques to perform subject risk identification, the business activity may provide.
all potentially affected parties, identification, assessment and assessment and treatment of HSE These could include the
including external stakeholders. A treatment of risk considering all risk considering development of people, local
culture potentially affected parties, all potentially affected parties, capacity building, environmental
of risk awareness that supports including external stakeholders. A including external stakeholders. A conservation opportunities and
decision-making at each level of culture of risk awareness that culture infrastructure.
the organization does not exist. supports decision- making at each of risk awareness that supports
level of the organization is not decision-making at each level of
established. the organization is established.

Normal 0
5.2 Health risk factors and impact: a) What are the preferred methods for undertaking risk assessments to effectively identify, assess and
treat risks related to ill health to an acceptable level?
b) What is the organization’s rationale for managing health risk and determining risk acceptability?
c) Do you have specific objectives, policies and programmes on specific health risks?
d) 1) Who is accountable and responsible for managing health risk?
d) 2) Briefly describe the resources available to support those accountable and responsible for managing health issues?
e) 1) What systems are in place to control health risk and monitor the effectiveness of these controls/barriers?
e) 2) Is regular workplace exposure monitoring for individual workers part of these systems?
e) 3) How does the contractor ensure that required restitution time is provided and that extensive use of overtime does not become a
working environment burden for its employees? Contractors self evalua
e) 4) How does the contractor evaluate the health risks presented by use, transport and disposal of chemicals?
treat risks related to ill health to an acceptable level?
b) What is the organization’s rationale for managing health risk and determining risk acceptability?
c) Do you have specific objectives, policies and programmes on specific health risks?
d) 1) Who is accountable and responsible for managing health risk?
d) 2) Briefly describe the resources available to support those accountable and responsible for managing health issues?
e) 1) What systems are in place to control health risk and monitor the effectiveness of these controls/barriers?
e) 2) Is regular workplace exposure monitoring for individual workers part of these systems?
e) 3) How does the contractor ensure that required restitution time is provided and that extensive use of overtime does not become a

working environment burden for its employees? Findings Select type of finding (hold
e) 4) How does the contractor evaluate the health risks presented by use, transport and disposal of chemicals? (fill in below): marker on field to see definitions):
No specific health policies, Basic Health risk and control Comprehensive Health policies, “Acceptable” together with
objectives and risk and control programmes are in place but not objectives and programmes cover recognition of positive impacts and
programmes in place. for significant health risks, eg. occupational and the optimization of benefits that
occupational related illness,etc. community health risks to the business activity may provide.
No evidence of comprehensive personnel associated with the These could
health programmes company’s activities. include infrastructure (e.g. water
wells and clinics) and community
health.

Normal 0
5.3 Safety risk factors and impact: a) What are the preferred methods for undertaking risk assessments to effectively identify, assess and
treat risks related to personal and process safety incidents and damage to assets and/or company value to an acceptable level? (P5)
b) What is the organization’s rationale for managing safety risk and determining risk acceptability? (P5)
c) Do you have specific objectives, policies and programmes on specific safety risks and ensuring compliance with applicable regulations?
(P5)
d) 1) Who is accountable and responsible for managing safety risk? (P5)
d) 2) Briefly describe the resources available to support those accountable and responsible for managing personal and process safety

issues (P5)
e) 1) What systems are in place to control personal and process safety risks and monitor the effectiveness of these controls/barriers? (P5)
2) What systems does your organization have in place for the provision and upkeep of PPE, both standard issue and items required for Findings Select type of finding (hold
specialized activities? (P5) (fill in below): marker on field to see definitions):
No specific safety hazard Basic HSE programmes are in Comprehensive HSE programmes “Acceptable” together with
management programmes in place, but not for significant risks, cover safety risks related to injury, recognition of positive impacts and
place. e.g. personnel injury, explosive process safety incidents and the optimization of benefits that
atmospheres, etc. No evidence of damage to assets and/or company the business activity may provide.
comprehensive safety value. These could include infrastructure
programmes. (e.g. roads) and road safety.

Normal 0
5.4 Environmental risk factors and impact: a) What are the preferred methods for undertaking risk assessments to effectively identify,
assess and treat risks related to local and global environmental impact to an acceptable level? (P5)
b) What is the organization’s rationale for managing environmental risk and determining risk acceptability? (P5)
c) Do you have specific objectives, policies and programmes on specific environmental risks and ensuring compliance with applicable
regulations? (P5)
d) 1) Who is accountable and responsible for managing environmental risk? (P5)
d) 2) Briefly describe the resources available to support those accountable and responsible for managing environmental issues? (P5)
e) 1) What systems are in place to control environmental risk and monitor the effectiveness of these controls/barriers? (P5)

e) 2) How do document and report the usage of chemicals, including new chemicals? (P5)
e) 3) What process covers performance of chemical risk (and substitution) assessments, to implement necessary mitigating measures and
to confirm relevant permit/license from public authorities? (P5) Findings Select type of finding (hold
e) 4) What systems are established for identifying, classifying, managing and reducing waste? (fill in below): marker on field to see definitions):
No specific environmental hazard Basic environmental programmes Comprehensive environmental “Acceptable” together with
management programmes in are in place but not for significant programmes cover environmental recognition of positive impacts and
place. risks risks associated with the the optimization of benefits that
e.g. spills, air emissions, pollution company’s activities. the business activity may provide.
prevention, chemical and/or waste These could
management, etc. No evidence of include the development of
comprehensive environmental environmental conservation
programmes opportunities.

Normal 0
5.5 Security risk factors and impact: a) What are the preferred methods for undertaking risk assessments to effectively identify, assess
and treat risks and threats related to security of people, assets, information and reputation to an acceptable level?
b) What is the organization’s rationale for managing security risk and determining risk acceptability?
c) Do you have specific objectives, policies and programmes on specific security threats and ensuring compliance with applicable
regulations and voluntary codes of practice?
d) 1) Who is accountable and responsible for managing security risk? Findings Select type of finding (hold
d) 2) Briefly describe the resources available to support those accountable and responsible for managing security issues? (fill in below): marker on field to see definitions):

e) What systems are in place to control security risk and monitor the effectiveness of these controls/barriers?
No specific security hazard Basic security programmes are in Comprehensive security “Acceptable” together with
management programmes in place but not for significant programmes cover security risks recognition of positive impacts and
place. security risks, to personnel associated with the the optimization of benefits that
e.g. hostage taking, terrorism, company’s activities. the business activity may provide.
mass evacuation, etc. No These could include the
evidence of comprehensive development of people, local
security programmes capacity building. Commitment to
the Voluntary Principles on
Security and Human Rights, when
applicable, conducting security
activities

Normal 0
5.6 Social responsibility risk factors and impact: a) a) What are the preferred methods for undertaking risk assessments to effectively
identify, assess and treat risks related to social impact (social responsibility to employees, the local community and other stakeholders) to an
acceptable level? (P5)
b) What is the organization’s rationale for managing social risk and determining risk acceptability? (P5)
c) Do you have specific objectives, policies and programmes on specific social risks such as community relations; cultural heritage aspects
and inter-cultural sensitivities; and the prevention of human rights violations? (P5)
d) Does your organization have workforce strategies and procedures in place to comply with internationally recognized labour standards
covering any of the following areas: Minimum wages, Working hours, Disciplinary practices, Employment Practices, Working Conditions,
Terms of employment for migrant workers, including Human trafficking? (P5)
e) 1) Who is accountable and responsible for managing social risk? (P5)
e) 2) Are there appropriate resources to support those accountable and responsible for managing social risk? (P5) Findings Select type of finding (hold
f) What systems are in place to control social responsibility risk and monitor the effectiveness of these controls/barriers? (P5) (fill in below): marker on field to see definitions):
No specific Social Responsibility Basic social Responsibility Comprehensive Social “Acceptable” together with

hazard management programme programmes are in place but not Responsibility programmes cover recognition of positive impacts and
in place. for significant Social Social Responsibility Risks the optimization of benefits that
Responsibility Risk factors, associated with the company’s the business activity may provide.
e.g. social disturbances, labour activities. These could include local capacity
action, community impact, etc. No building, education and the
evidence of comprehensive social development of local people and
responsibility programmes communities. Have additional
initiatives to co- operate across
the industry on development of
Social responsibility programmes.
Note: Where applicable laws or
requirements prohibit contractor
from upholding Human Rights
policy, Contractor seek ways to
ensure respect for human rights to
the greatest extent possible.

Normal 0

6.1 Asset design and integrity: a) How is base line information and the results of risk assessments used as input to asset design,
selection and integrity decisions (E6.1)
b) Which criteria, specifications and standards are defined to address risks and verify conformity throughout the life cycle of facilities,
equipment and materials? (E6.2)
c1) Which procedures does your company have to ensure facilities and/or equipment are operated within defined design and operating limits
at all times? (E6.3)
c2) How are these procedures communicated to personnel that operate, maintain, inspect and manage the facilities and/or equipment?
(E6.3)
d) Which processes are in place to identify and manage HSE critical risk controls/ barriers to prevent a major incident? (E6.4)
e1) Briefly describe the processes in place to maintain, replace, test, inspect, calibrate, certify and verify performance of facilities and
equipment? (E6.5)
e2) How are frequencies for these type of activities determined? (E6.5)
e3) How does your company manage deviations from specified criteria? (E6.5)

f) Has your company established an accessible register of HSE critical facilities or equipment and their minimum performance criteria? If
yes, please provide a sample. (P6).
Other relevant issues:
Findings Select type of finding (hold
Asset design and integrity Asset design and integrity Facilities and equipment are “Acceptable” together with
(including process safety) does (including process safety) does designed and constructed (or facilities and equipment exceeding
not address significant risks of not address all of the significant selected) to be suitable for their applicable standards and/ or that a
technical failure and/or the risks of technical failure and/or the purpose/task. They are operated, robust process is established to
operation of facilities and operation of facilities and inspected and maintained to ensure facilities, equipment,
equipment within defined design equipment within defined design achieve and sustain robust materials and operational
and operating limits. No and operating limits. Some standards of integrity and procedures are kept up to
elimination or risk control elimination or risk control performance throughout their life date with current standards/
measures in place. measures in place. cycle. requirements.

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7.1 HSE plans and procedures: a) Which plans and procedures are established, documented and maintained in accordance with
identified HSE legal and other requirements in line with the HSE risk level defined by the organization and the required risk controls? Please
provide a list/ copy. (E7.1)
b) What process is established to revise and approve plans and procedures at an appropriate level of authority? (E7.2)
c) What guidance and training does your company provide to enable effective implementation of plans and procedures as appropriate? Findings Select type of finding (hold
(E7.3) (fill in below): marker on field to see definitions):
How does your company ensure that the latest version of an approved plan or procedure is available at point of use? (E7.4)

No written HSE plans and Basic HSE procedures exist. No Contractor has written HSE plans “Acceptable” together with plans
procedures as necessary to details of how things are to be and procedures as necessary to and procedures as necessary to
manage HSE risks. done to ensure accuracy and manage HSE risks. Plans and ensure opportunities. Plans are
consistency of approach when procedures comprise clearly also developed to optimize
applying HSE risk controls. They defined requirements and HSE performance and drive
include some integrate the results of the risk continuous improvement.
operating/maintenance assessments to prepare
procedures, action plans, work for executing work and
instructions or other job aids. implementing risk controls/
barriers.

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7.2 Contingency, emergency, crisis and continuity management: a) 1) What arrangements does your company have for:
• Contingency
• emergency
• crisis
• continuity management planning? (E7.5)
a) 2) Provide some examples of situations which are included for each of the above? (E7.5) Findings Select type of finding (hold
b) How does your company ensure that required resources are in place with regular tests and drills, including incorporation of lessons

learned? (E7.5)
No evidence of attention paid to Basic emergencies covered by Company has a comprehensive “Acceptable” together with
contingency, emergency, crisis plans, e.g. fire, medical, spill, contingency, emergency, crisis systematic incorporation of
and continuity management. evacuation. No or irregular drills and continuity planning processes lessons learned.
conducted. Limited attention to covering all reasonably
contingency, crisis and continuity foreseeable situations. Required
management resources available and regular
tests and drills are conducted.

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8.1 Execution and control of activities: a) 1) What processes does your company use to prepare for activities and ensure operational
readiness and integrity of systems before commencing work? (E8.1)
a) 2) How does your company confirm that interfaces/handovers are established? (E8.1)
b) How does your company assure consistent application of processes to ensure activities and tasks are executed in accordance with
plans? (E8.1)
c) What kind of supervision activities exist to confirm each activity and/or task is executed in compliance with the plans and procedures and Findings Select type of finding (hold
delivers the expected outcome? (E8.3) (fill in below): marker on field to see definitions):

d) Describe your company culture related to “Stop and Intervene? (E8.4)
e) How does your company manage inadequate performance or unacceptable behaviour? (E8.4)
No consistent implementation of Some plans and procedures Company ensures that activities “Acceptable” together with
the plans and procedures, and no implemented. Limited intervention and associated risk controls are consistently achieves and/or
intervention when a risk when a risk control/barrier proves consistently executed with exceeds specified requirements.
control/barrier ineffective or stated requirements discipline by authorized and Contractor actively seeks and
proves ineffective or stated are not being met. Some competent persons, as defined in share experience and knowledge
requirements are not being met. resources allocated and/or the plans and procedures. Each across the industry.
Inadequate resources allocated or necessary resources not step of the execution of activities
not appropriately prepared appropriately prepared for the leads to the desired result and
for the task. No culture of task. intervention happens in a timely
discipline. Culture of discipline exits. manner when required.

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9.1 Monitoring and learning: a) What arrangements does your organization have to ensure the implementation of and compliance with the
HSE-MS (E9.1)
b) What arrangements does your organization have to ensure the achievement of its HSE objectives? (E9.1)
c) Please describe which processes your company has for (E9.3):
c) 1) learning from incidents, events and non-conformities from both internal and external sources
c) 2) benefitting from learning opportunities and good practices within the organization, your industry, and from other public sources
c) 3) implementation of appropriate remedial actions (with application of Management of Change processes as appropriate) to address

event/incident causes, strengthen risk controls/barriers and prevent recurrence Findings Select type of finding (hold
c) 4) verification of closure of actions or plans (fill in below): marker on field to see definitions):
d) How does your company communicate the learning from monitoring and reporting processes? (P9)
No system for formally monitoring Performance monitoring limited to Company has a system for “Acceptable” together with
HSE performance, risk controls/ incident statistics, monitoring effectiveness of the monitoring of performance in all
barriers function and that i.e. reactive only. Monitoring of HSE-MS and act on reliable and specified subjects with formal
operations are delivering planned risk controls/barriers function and accurate data. They actively seek review, follow up and
performance. No system that operations are delivering positive learning from activities, communication for continuous
established for information for planned performance not in place. feedback, innovation and improvement.
sharing and learning. Limited availability of information experience. They ensure
for sharing and learning. immediate learnings and
corrective actions are
applied and communicated.

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9.2 Incidents, events and non-conformities: a) How does your company report, record, classify and investigate Incidents, events and
non-conformities (with actual and/or potential consequences) to determine direct and underlying causes? (E9.2)
b) Does your company have established some sort of voluntary public reporting? If yes, please specify. (P9)
c) Please provide the following Company work-related activities statistics for each year for the last five years, including work performed by
Contractor personnel:
a. Number of fatalities
b. Number of lost time injuries
c. Number of Lost Workday Cases
d. Number of Medical Treatment Cases
e. Number of First Aid Cases
f. Number of Near Miss Incidents
g. Fatal Accident Rate (per 100 million hours worked)
h. Lost Time Injury Frequency (per million hours worked)
i. Total Recordable Incident Rate (per million hours worked).

d) Please provide company work-related Environmental performance statistics (as relevant to your operations) for each year of the last five
years for:
a. Gaseous emissions
b. Energy Consumption
c. Flaring
d. Aqueous discharges
e. Non-aqueous drilling fluids retained on cuttings discharged to sea
f. Spills of oil and chemicals.
e) Please provide Tier 1 and Tier 2 Process Safety Event statistics (as relevant to your operations) for each year of the last five year.
Other relevant issues: NOTE 1: If not using the IOGP definitions (refer to the most recent IOGP safety data reporting user guide), please
include your company definitions. Findings Select type of finding (hold
NOTE 2: In case of Tier 1 PSEs, fatalities and high potential near miss, please provide a brief description of incidents and follow-up of these.
No system for reporting, recording Limited reporting, recording and System in place for reporting, “Acceptable” together with
and classification of HSE classification of HSE Incidents, recording and classification of Voluntary public reporting.
Incidents, events and non- events and HSE incidents, events and Company transparently engages
conformities. Company supplied non-conformities. Data set is not non-conformities. Events/ incident stakeholders on its operating
insufficient information to establish complete. Trends show trends steadily improving and management approach, progress
trends. performance is not improving. evidence of mature reporting and performance. Complete
culture. information to analyse
performance is delivered

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9.3 HSE performance: a) 1) Which processes does your company use to define and establish leading and lagging key HSE performance
indicators (KPIs) using measures designed to improve performance and behaviours? (E9.4)
a) 2) How often does your company review HSE KPIs to ensure they provide meaningful information?
b) How does your company ensure quality in terms of consistency, accuracy and completeness of monitored and reported data (KPIs)? Findings Select type of finding (hold
(E9.5) (fill in below): marker on field to see definitions):
No system for HSE performance Limited HSE performance System in place to report data and “Acceptable” together with cultural

monitoring and/or analysis of the monitoring is carried out. Limited information (e.g. leading and reporting and surveys to ensure
data reported to produce useful analysis of the data reported to lagging indicators) that provide a understanding of
indicators is established. produce useful indicators. clear understanding of HSE organizational HSE culture.
performance to meet both Leading indicators are fostered in
company and stakeholder needs. the company.

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9.4 HSE events and incidents investigation and follow-up: a) Briefly describe types of HSE events and incidents which are
investigated? (P9)
b) Briefly describe the processes used for the investigation of HSE events and incidents? (P9)
c) Briefly describe the processes used for the follow up of HSE events and incident investigations, including the communication of lessons Findings Select type of finding (hold
learned and required actions? (fill in below): marker on field to see definitions):
d) Briefly describe the processes used for the analysis of HSE events and incident investigation findings?

No system for formally System in place for investigation System in place to investigate “Acceptable” together with follow
investigating HSE events/ of some HSE incidents. Limited events/incidents and analyse data up of remedial
incidents and/or analysis of data event (near miss) investigation. and information to identify causes actions and communication of
and information. Limited analysis of data and and suitable actions to address incident learning for effective
information to identify causes and weaknesses prevention. Near miss incidents
suitable actions to address and opportunities for investigated in the same manner
weaknesses improvement. as other incidents.
and opportunities for
improvement.

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9.5 - Statutory notifiable incidents or non compliance notices: a) 1) How does your company ensure compliance with any statutory
requirements for reporting and investigation in the jurisdictions you operate within.? (P9)
2) Has your company suffered any statutory notifiable events/incidents in the last five years (safety, security, occupational health,
environmental or social performance)? Answers with details including dates, country and location, summary of event/incident and follow-up Findings Select type of finding (hold
of remedial actions taken. (P9) (fill in below): marker on field to see definitions):
No system in place for compliance Limited compliance with statutory System in place for compliance “Acceptable” together with active

with statutory requirements for requirements for reporting and with statutory requirements for experience transfer within
reporting and investigation. investigation. reporting and investigation. industry.

Normal 0
10.1 Assurance process, including audits: a) 1) Briefly describe your company’s assurance process to evaluate conformity with
expectations; organizational capability; effectiveness of the HSE-MS in meeting objectives, stakeholder and business needs; and also
identify areas for improvement? (E10.1)
a) 2) Do you have a written procedure for HSE auditing? If yes, please attach a copy. (E10.1)
b) Who is involved in conducting HSE audits? How is the audit team selected to provide specific expertise and independence from the
activities being audited? What qualifications are required for auditors?
c) How are HSE audits scheduled and what scope of auditing is covered? e.g. internal, regulatory compliance, supplier/contractor, HSE
management system implementation. (P10)
d) 1. How does your company monitor trends? (M10)
Findings Select type of finding (hold

2. What does trend monitoring include? (M10)
e) How does your company track that audits are executed as per plan, with timely implementation of action items? (M10) (fill in below): marker on field to see definitions):
No systematic assessment of the Some assurance mechanisms Company systematically assess “Acceptable” together with a
HSE-MS to ensure effectiveness, established to assess that the the HSE-MS to ensure learning culture from assurance
suitability and fitness-for-purpose HSE-MS expectations and related effectiveness, suitability and processes and performed audits.
is sustained and improvement processes are properly fitness-for- purpose is sustained
plans are developed at each level understood, implemented and and improvement plans are
of the organization. executed. developed at each level of the
organization.

Normal 0
<Client name> AUDIT CHECKLIST
A follow-up discussion, relative to self-assessment response, may be needed with the contractor’s
management or function representatives
OGP423 - Checklist
Questions to:
Self Compliance Spes focus HSE/HR/ Item Finding

evaluation (Y/N) (Y/N) Gen. Saf. no Questions
Tec/Proc (a finding is a documentet non-conformity with reference to an observation)
Man. del.
man.
Element 1: Commitment and accountability to HSE aspects
Please explain briefly how the management is committed and accountable to HSE aspects
With HSE we mean health and working environment, safety, security, environment and social responsibility
(emphasise first time with General manager)
- Does your company have appointed owners to ensure their part of the managment system is reviewed and
continuously improved, including updates to reflect learning from incidents and audits?
- How are strategies and clear objectives that drive the organization to achieve high levels of performance shared?
• How do you reinforce the importance of a strong culture, recognizing teamwork and valuing individual behaviours?
0 X X 1.1 • Are all outcomes—good or bad— embraced as opportunities to learn and improve?
• Do you develop ‘constant vigilance’ to be acutely aware of things that could go wrong and facing up to these risks?
• Do you communicate clearly that procedural short cuts or rule-bending are not tolerated?
EVIDENCE:
- Leaders demonstrate ownership through direct involvement in, and application of, system processes, and
by constantly mandating the workforce’s adherence to the OMS. Accountability based on well-defined
authority levels, acceptance of decision making and a clear understanding of job responsibilities.

Please explain the content of your HSE policies and standards
With HSE we mean health and working environment, safety, security, environment and social responsibility
(emphasise first time with HSE manager)
- Does your organisation have documented policies documenting your commitment to respect human rights as they
are set forth in the International Bill of Human Rights and the fundamental rights set out in the International Labour
Organisation’s Declaration on Fundamental Principles and Rights at Work?
0 X X 2.1 - Are your business principles/code of conduct or the internationally recognised
HSE standards to which your organisation commit regularly communicated to all employees?
- Are your policies and procedures on HSE standards endorsed, promoted by your top level management and
regularly communicated to all employees?
EVIDENCE:
Documented policies and standards, including documentation of allignement with regulatory requirements
and other voluntary commitments (compliance register or equivalent).
HSE/HR/ Finding
Self OK Gen. Saf. Item
Spes focus Tec/Proc Questions
evaluation (Y/N) Man.
man.
del. no (a finding is a documentet nonconformity with reference to an observation)
Please explain your HSE objectives and how they are communicated
With HSE we mean healt and working environment, safety, security, environment and social responsibility
(emphasise first time with safety delegate or employee's representative).
0 X X 2.2
EVIDENCE:
- Defined HSE objectives.
- Documented method used to familiarize employees with the HSE objectives.
Please explain how Policies, Standards and Objectives (PSO) are defined and reviewed Relevant Norwegian laws and regulations (best
practice for involvement) :
Special attention needed in case of joint venture partnerships - how have PSO been harmonized to ensure a
consistent message and application?  Working Environment Act, Sections 1-1, 2-3, 3-1
0 X X 2,3 EVIDENCE: and 3-2 and Chapters 6 and 7.
- Documented OMS and supporting processes and practices.
- Supporting processes and practices openly communicated and accessible.
 Regulations relating to organisation, management
Documented feedback.
- Documented process/procedure to define, review PSO, including exempetion/deviation . and participation, Chapters 2 and 3
 Framework Regulations, Sections 13, 17, 34 and

Element 3:Organization, resources and capability 35
 Activities Regulations, Section 4
Please explain Organizational Structure for HSE Management

- How do you ensure you have the necessary personnel resources to secure HSE
performance? They have the right knowledge of equipment and processes - with the right skills at the right time.
- Does your company have clearly defined HSE responsibilities for managers, supervisors and employees?
- Who participates in HSE meetings and is all personnel encouraged to participate with a view to continual
improvement?
0 X X 3,1 - How is the organised safety delegate service, if applicable, involved in the contractor’s overall HSE work
EVIDENCE:
- Organisation chart with defined HSE responsibilities, accountabilities and authorities
- Documented mechanisms and programmes for joint participation and management consultation within the
workforce
Please explain what resources are available and the HSE training provided
- How do you ensure capability of managers and workforce? Is this supported by appropriate levels of competence,
skills, experience and behaviour to work effectively and meet HSE-MS Expectations?
0 X X 3,2 EVIDENCE:
- Documented training programmes
- Training matrix or training plan in accordance with applicable legal or other requirements.
Please explain your competence assurance process

EVIDENCE:
0 X X 3,3 - Documented competence assurance process.
- Records of performed training.
HSE/HR/ Finding
man.
Please explain how internal and external resources are allocated

- How do you take into account local content and indirect impacts?
EVIDENCE:
0 X X 3,4 - Documented system for allocation of appropriate and sufficient internal and external resources.
- Documentation of contractor management process and objective Contractor HSE selection criteria.
- Documentation of interfaces and other bridging mechanisms for activities involving multiple parties using
different management systems
Please explain how stakeholders are affected by, engaged with (or directly
involved in), company activities?
0 X X 4,1 EVIDENCE:
- Engagement plan.
- Documentation of relationships with stakeholders and customers.
- Documentation of identification and comminication of relevant risks and control.
- Documented feedback that Contractor’s products and services meet the
expectations of its customers in terms of HSE performance and technical support.
HSE/HR/ Finding
man.
Element 5: Risk assessment and control
Please explain how you identify, assess and mitigate potential HSE risks factors and impact
- Is there a methodology prescribed describing how hazard and risk assessments are undertaken and who has the
necessary expertise to carry these out?
- How is the workforce informed and involved in review of risks and associated controls prior to undertaking
activities?
- How are external stakeholders involved?
0 X X 5,1 EVIDENCE:
- Documented procedure in governing documents for health, safety, security, environment and social
responsibility risk assessment and mitigation for contractor activities.
- Risk register established.
- Documentation of risk awareness that supports decision-making at each level of the organization and that
workforce are informed and involved in review of risks and associated controls prior to undertaking
activities.
Please explain the measures taken to protect your employees for health risk factors and impact
With health hazards we mean : work related hazards (chemical, vibration, noise, radiation, workload, etc), substance
abuse, blood borne pathogens, pandemic diseases. Fatigue management.
- Do you have an occupational health programme which, identifies: Health Risk, Industrial Hygiene and Ergonomics,
Medical Emergency Management, Management of Illness, Fitness for Work Assessment and Health Surveillance,
0 X X 5,2 Health Impact, Health Reporting and Record Management, Health Promotion; applies to all work sites?
EVIDENCE:
- Documentation of performed risk assessment covering this area and any findings registered in risk register
accordingly, including control measures/actions with responsibilities and deadlines defined.
Documented health management plan.
Please explain the measures taken to protect your employees from safety hazards
With safety hazards we mean: hazards from lack of energy isolation, mechanical guarding, or working activities such
as work at height, lifting and hoisting, confined space entry, explosive atmospheres or other activities. Personal and
process safety. Road transport.
- Do you have an occupational programme which, identifies: risk reduction measures according to the As Low as
0 X X 5,3 Reasonable Practicable (ALARP) principle, HSE best practices (safe manner) used in construction, testing,
installation, maintenance and normal production activities; applies to all work sites?
EVIDENCE:
Documented safety management plan.
HSE/HR/ Finding
man.
Please explain the measures taken for protection from environmental hazards
With environmental hazards we mean: potential harmful effects on the natural environment and society of both,
unintentional incidents or planned activities due to emissions, discharges or land use threatening biodiversity or
cultural heritage.
- Do you have an environmental programme which, identifies: risk reduction measures according to the Best
Available Techniques (BAT) and Best Environmental Practice (BEP), HSE best practices (environmentally
friendly) used in construction, testing, installation, maintenance and normal production activities, emission and spill
0 X 5,4 management, use/substitution/discharge of chemicals and chemical composition in imported materials and
substances, radiation, energy efficiency (carbon footprint), waste management, transport of dangerous goods;
applies to all work sites?
EVIDENCE:
Documented environmental management plan
Please explain the measures taken for protection from security hazards
With security we mean the protection of personnel, information and facilities against malicious intent. Security risk is
the relationship between threat (Intent and capability to do harm), vulnerability (weakness or gap) and consequence
(value implication which may be the same as for safety).
- Do you have an security programme which, identifies: compliance with the Voluntary Principles on Security and
Human Rights (VPSHR), legislation and local expectation, capability and intent of local criminal/terrorist elements,
0 X 5,5 vulnerability and attractiveness to criminal/terrorist elements, physical protection measures, information protection
measures, personal protection measures; applies to all work sites?
EVIDENCE:
Documented security management plan
Please explain the measures taken for protection from reputational/ social responsibility hazards
With social responsibility we mean: responsible social performance covering social risk management (societal
expectations and concerns), efficient use of natural resources (social long term impacts), avoid harm to local
communities, respect for human rights and labour standards.
- Do you have a social responsibility programme which, identifies: social aspects, people’s livelihoods, access to
resources or land, resettlement of indigenous people, or loss of livelihood ( if applicable, in line with stakeholder and
0 X X 5,6 community expectations), consultation with, and provision of information to, affected
communities by contractor activities, prevention of human rights violations; applies to all work sites?
EVIDENCE:
- Established procedure, performed social responsibility risk assessment and system in place for control
and monitoring of social responsibility hazards.
Documented social responsibility management plan
HSE/HR/ Finding
man.
Please explain how you ensure Asset design and integrity
- What lifetime evaluations/considerations have been made?

0 X X 6,1
EVIDENCE:
- Documented procedures for operation, including inspection and maintainance records and plans.
- Register of HSE critical facilities or equipment.
Please explain your HSE manual or operating management system manual with integrated HSE requirements
0 X 7,1 EVIDENCE:
- An OMS manual or handbook is in place and up-to-date with version control, and that it is readily
accessible at point of use, with supporting processes and practices, and local plans and procedures
HSE/HR/ Finding
man.
Please explain your Contingency, emergency, crisis and continuity management plans
0 X 7,2 EVIDENCE:
- Documented ERP, crisis and contingency plans
- Documentation of drills and exercises, including plans.
HSE/HR/ Finding
man.
Please explain how you ensure safe, reliable and responsible execution of activities
- Please expalin execution steps
- What is done if risk control/barrier proves ineffective or stated requirements are not
being met?
0 X X 8,1
EVIDENCE:
Documentation of steps of the execution of activities leading to the desired
result and of intervention, if required, in a timely manner.
- Documented PTW system, reviews and observations. Monitoring reports
Please explain how monitoring and learning is done?
EVIDENCE:
0 X X X 9,1
- Documented routines/procedures for monitoring and learning. Documentation of OMS processes'
implementetation, consistently complied with and controlling assessed risks (monitoring report).
HSE/HR/ Finding
man.
Please explain how your system for reporting, recording and classification of HSE incidents, events and non-
conformities.
0 X X 9,2 EVIDENCE:
- Documentes system for reporting, recording and classification of HSE incidents, events and
non-conformities.
- Documented statistics for the last five years - evidence of mature reporting culture
Please explain your system for HSE performance
EVIDENCE:
0 X X 9,3 - Documented leading and lagging indicators.
- Documented processes for learning.
- Documentation of action tracking and implementation of remedial actions.
HSE/HR/ Finding
man.
Please explain how HSE events and incidents are investigated and followed-up
EVIDENCE:
0 X 9,4 - Documented system to investigate events/incidents and analyse data and
information. Documentation of identified causes and suitable actions to address weaknesses and
opportunities for improvement.
Please explain how does your company ensure compliance with any statutory requirements for
reporting and investigation?
These differ from country to country, therefore, this section is for infomation only.
Norway: Management Framework (PSA) Section 29 Notification and reporting of hazard and accident situations to
the supervisory authorities and Section 20 Registration, review and investigation of hazard and accident situations -
see guidance for details
0 X X 9,5
If the contractor has had occurrence of statutory notifiable incidents in the last five years, please ask how these were
handled, documented and what the learnings are. Incident frequency must be taken into consideration.
EVIDENCE:
Documentation of system for compliance with statutory requirements for reporting
and investigation.
HSE/HR/ Finding
man.
Please explain the assurance process, including audits
EVIDENCE:
0 X X 10,1 - Documented HSE assurance process including audits.
- Documentation of audit execution, eg. audit plans.
- Documentation of implementation of action items.
- Documented monitoring of trends
Please explain the process of management review and follow-up
- Are audit outcomes one of the primary inputs to management review?

0 X X 10,2
EVIDENCE:
- Procedure for Management review covering health, safety, security, environment and social responsibility
and example of Minutes of meetings from last management review.
HSE/HR/ Finding
man.
Section A. HSE management - additional features
This section is for infomation only. Please provide valid Certification of your HSE-MS?
- ISO 9001, ISO 14001, OHSAS 18001 (or ISO 45001),ISO 29001, API Q1.
0 X X (i) EVIDENCE:
- Documentation of management system in compliance with international standards or system verified by a
third party
This section is for infomation only. Please explain memberships of associations

-
0 X X (ii) EVIDENCE:
- Member of industry bodies/associations related to HSE. Membership in National organizations (e.g.
NOGEPA, NOROG, OPITO, NSOC-D, USOGA) or Industry organizations (e.g. IOGP, IPIECA, IMCA, IADC)
This section is for infomation only. Please explain if any additional features of HSE-MS
EVIDENCE:
0 X X (iii) - Documented HSE MS features which add value
NOTE : Delete any wording in red when the report is finalized.
HSE capabilty assessment audit
Company: 0 Audit date:

Contractor ID No.: 0 12/30/1899
Classification: Distribustion
Restricted Limited distribution
Publication date: Rev. date: Rev.no.:

??.??.20??
Lead auditor:
0
Issue (discipline/area):
HSE management system and implementation
Notes:
Valid from:
from publication date
Prepared by:
Name Date Signature
Recommended by:
Name Date Signature
Approved by:
Name Date Signature

Content
1. Agenda
2. Reason, purpose and requirements
3. Summary
4. Findings
1. Agenda
09.00 - 09.15 Introduction by <Client name> ASA

09.15 - 09.45 The Contractor presents its organisation
09.45 - 11.30 Interviews and document review
11.30 - 12.00 Lunch break
12.00 - 12.30 Facility walkthrough
12.30 - 14.00 Interviews and document review
14.00 - 14.30 Interviews with the safety delegate/employee representative
14.30 - 15.15 Internal <Client name> meeting
15.15 - 16.00 Close out meeting
2. Reason, purpose and requirements
<Client name> have completed an HSE-audit of ¤........<Contractors name> HSE- management system by
the ¤....(dd.mm.yyyy) at ¤......(place and country), based on the Contractor HSE capability assessment
questionnaire and scoring system in OGP Report No. 423 and <Client name>'s HSE acceptance criteria.
Participants from <Client name>:
Name: Role:
- Auditor
- Co-auditor
- Observer
- Observer
Participants from Contractor:
Name: Profession:
-
-
-
-
-
3. Summary
¤….(fill inn details as relevant, i.e. parent or sister company that the HSE- management system is based on and
implementation of management system status for the company being qualified, deviations to be specifically focused,
typical risks for the type of business, identified competences or capacity limitations, access to requested
documentation, perceived reliability to answers, obvious deviations to Contractors self assessment towards OGP 423
and verified state of contractor, etc.)
Choose the following sentence if the Contractor could not meet the HSE capability assessment expectations:
Contractor's HSE management system does not comply with the HSE acceptance criteria of <Client name> for being
HSE qualified. “Red” and “yellow” findings identified in section 4 must be closed before a new capabilty assessment
will be considered.
Choose the following sentence if the Contractor met the HSE capability assessment expectations:
¤.....<Contractor's name>'s HSE management system comply with the HSE acceptance criteria of <Client name> for
being HSE qualified. However, this HSE capability assessment requires that “red” and “yellow" findings identified in
section 4 are closed. “Green” findings may be interpreted as improvement areas, and does not require further follow
up by <Client name>.
Choose the following sentence if this is an HSE capability assessment performed in the sourcing phase (2):
In the event of an agreement with <Client name> an improvement plan, including closing dates, must be sent to the
<Client name>'s single point of contact (single poin of contact's <short name>@<Client name>.com) for approval
within ¤.....(dd.mm.yyyy).
All corrective actions considered closed must be documented. ¤.....(Contractor's name ) must submit relevant
documentation for approval within the agreed deadlines.
Choose the following sentence if this is an HSE capability assessment performed in the post award phases (4-7):
An improvement plan, including closing dates, must be sent to the <Client name>'s single point of contact (single
poin of contact's <short name>@<Client name>.com) for approval within ¤.....(dd.mm.yyyy).
All corrective actions considered closed must be documented. ¤.....(Contractor's name ) must submit relevant
documentation for approval within the agreed deadlines.
4 Findings
Findings are categorized as follows:

- Red : Critical condition with nonconformity with the requirement in OGP423.
- Yellow: Serious condition with nonconformity with the requirement in OGP423.
- Green : Insignificant condition with opportunity for improvement.
(¤…..Delete rows not filled in and state item number in first column on remaining items)
Item Type of
Findings OGP423 Item
no.: finding
0 0 1.1
0 0 2.1
0 0 2.2
0 0 2.3
0 0 3.1
0 0 3.2
0 0 3.3
0 0 3.4
0 0 4.1
0 0 5.1
0 0 5.2
0 0 5.3
0 0 5.4
0 0 5.5
0 0 5.6
0 0 6.1
0 0 7.1
0 0 7.2
0 0 8.1
0 0 9.1
0 0 9.2
0 0 9.3
0 0 9.4
0 0 9.5
0 0 10.1
0 0 10.2
0 0 (i)
0 0 (ii)
0 0 (iii)
Response to HSE capability assessement questionnaire:
Please paste the response spreadsheet and supporting
documentation. Additional documentation must be converted to
PDF format before pasting

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KEY INFORMATION, APPROACH AND DOCUMEN

Contractor's Contact Person:

Capability assessment and audit approach

<Client name> information

Capability assessment date:

2. Documentation of Contractor performance

4. <Client name> audit report

5. Actions initiated by the Contractor

6. Previous capability assessments of the Contractor

(Fill in requested information)

(Mark with "X" as relevant)

(Fill in requested information)

Element 1: Commitment and accountability

1.1 Commitment and accountability to HSE aspects Normal 0

2.1 HSE Policies and standards Normal 0

3.1 Organisational structure for HSE management Normal 0

4.1 Stakeholders and customers Normal 0

5.1 Risk assessment and control Normal 0

6.1 Asset design and integrity Normal 0

7.1 HSE operations manual Normal 0

8.1 Execution and control of activities Normal 0

9.1 Monitoring and learning Normal 0

10.1 Assurance process, including audits Normal 0

(i) Certification of your HSE-MS Normal 0

considerations/criteria for suitability and for inclusion on the tender list.

3rd party audit Client audit

Date 12/30/1899 Date 12/30/1899

Scoring "B" and/or "A"

Note that thorough preparation prior to an audit is necessary. For

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Contractors self evaluation

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Element 3: Organization, resources and capability

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Element 5: Risk assessment and control

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Contractors self evaluation

Unacceptable (D) Poor (C) Acceptable (B) Excellent (A)

Element 6: Asset design and integrity