Health and Safety Executive

Safety Case Handling and Assessment Manual - Assessment procedures

Introduction

1 These procedures describe the process of planning and implementing safety case assessment. The roles and responsibilities of OSD staff are in the chapter Roles and Responsibilities. It is important that staff discharge their responsibilities fully. Particular attention is required by line management to monitoring the application of the procedures to individual cases.

2 The procedures should be read in conjunction with the performance standards. Paragraph 119 lists a number of standard forms and letters - where a letter or form is required, these should always be used. See also the guidance on recording safety cases on COIN in the COIN guidance section of the intranet.

3 Resolution of differences of view on procedural or technical matters is a key function of line management at all levels in OSD. Every attempt should be made to resolve such differences by the individuals concerned, but where this is not possible the difference of view procedure shall be followed. In very exceptional circumstances, a formal second opinion may be sought to support the making of difficult decisions. To protect the professional integrity of individuals, the position of each party involved shall be recorded on COIN as a case note.

Assessment - general

4 The procedure should be read in conjunction with relevant technical guidance provided by topic teams and with the published guidance in APOSC [PDF 158KB] , GASCET [PDF 2.15MB] and in booklet L30. The guidance in APOSC should be taken account of, to the extent necessary to provide an adequate demonstration.

Requirement for a case

5 dutyholders should identify the need to submit cases, in compliance with SCR05. However for planning purposes IMT inspectors should seek to identify each requirement for a case, through their normal contact with operators, contractors, design houses, etc. Others who identify situations, which may require a case, shall inform the relevant IMT.

6 Events that will generate requirements for cases include start-up of new installations, movement of mobile installations prior to operation, modifications to existing installations (hardware or management changes) and dismantlement. All such events shall be identified as early as possible by the IMT, to permit early discussion with the dutyholder.

7 The case manager shall be the IMT leader responsible for the dutyholder of the installation. As soon as a case, or a new development which is likely to lead to a new case, is identified, the CM shall appoint a deputy case manager to be responsible for the case management functions described in the chapter Roles and Responsibilities. The DCM's main function is to manage and control the assessment process, from case submission to closeout. CMs and DCMs (and for topic teams TAMs and TAs) may delegate appropriate work to SCCs.

New installations

8 The most effective time for HSE to influence standards of health and safety is early in the project life, when change is most easily and cost-effectively implemented. The DCM shall therefore establish early contact with the dutyholder to address key design and operational matters (including concept selection), and case format, content and submission timing. Such contact should start before the design notification submitted under regulation 9. It should form part of the dutyholder intervention strategy described in the Offshore Intervention Guide.

9 For new installations the DCM shall develop an intervention plan, as described in the Offshore Intervention Guide. In each case the management of design and the occupational health topic teams should be involved at an early stage.

Assessment planning

10 The timescales in SCR05 require assessment procedures which support a timely conclusion of the process and a timely acceptance decision. For effective planning it is important that the type of case, and the regulation under which it is to be submitted, are determined by the IMT as early as possible.

11 The DCM shall notify DIS and the safety case distribution officer of the likely or actual date of submission. A similar notification shall be provided for any changes.

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Key assessment and recording dates

12 The safety case plan includes records of the key assessment dates for each case, based on Table 1. The assessment team shall meet these dates, unless there are good reasons for departing from them and all parties agree. The aim should be to gather sufficient evidence to support an acceptance decision and send it to the dutyholder(s) and safety representatives by the 'acceptance decision' date in the table. The DCM shall alert the relevant OM and DIS of any significant departure from the key dates.

13 All case notes and issue notes shall be recorded on COIN on the day of issue. The status of the service order lines they are linked to should be updated to Completed within 5 working days of case acceptance. Copies of all correspondence from dutyholders should be placed on COIN or on a registered file within 10 days of receipt. The case record should be kept up-to-date and changed to Closed - Completed status within 5 working days of case acceptance. Note that special arrangements may occasionally be requested during the introductory period of COIN by HIDHQ or OSD1.4.

Table 1 case assessment key dates (relative to start date)

SC type (Reg) Assessment brief issued date Matters raised date Response from DH due date Stocktaking checkpoint date Topic assessment completion date Acceptance decision date
7 15 85 104 120 173 180
8, 9, 11 15 40 59 66 83 90
14(2)(a)(i) 15 40 59 66 83 90
14(2)(a)(ii), 27(2) 10 21 28 31 37 42

Receipt, registration and distribution

14 Unless otherwise agreed, the dutyholder should supply sufficient paper copies of the safety case for all topic teams (currently thirteen). DCMs shall ensure their dutyholders are aware of this. The DCM shall discuss any variation in the number or format of copies required with the dutyholder, and pass this information to the SCDO. The DCM shall also inform the SCDO of the proposed distribution of the case for assessment, where possible before receipt of the case.

15 On receipt of a case the SCDO shall immediately inform the relevant SCC, update COIN records and arrange distribution of the case, using the case distribution case note. Cases shall be distributed by urgent parcel service and recipients notified of dispatch via e-mail within one working day of receipt.

16 If a completed cover sheet (in accordance with Operations Notice 33) is not supplied, the SCDO shall ask the SCC to include one with the acknowledgement letter to the dutyholder, for completion and return. This should not delay distribution.

17 The SCC shall send a standard letter to the dutyholder to acknowledge receipt of the case and to provide the names of the CM and DCM and the key dates for 'matters raised' and 'response from dutyholder'. The letter shall be recorded on COIN as a level 4 issue note.

18 If an unexpected submission is received, the SCDO shall immediately notify DIS, to establish who the CM will be and to permit distribution to commence. If it is not possible to contact DIS, the SCDO shall distribute the case in accordance with the default distribution list (which provides the likely distribution of each type of submission). This list shall be kept up to date by DIS.

19 If a submission is received by persons other than the SCDO, they shall agree with the SCDO how to distribute the case and generate associated records and notifications of receipt. The SCDO shall retain one copy of the case and mark it as the 'master original' (see also 'Final Close out').

20 Unit administration shall ensure that cases received are appropriately distributed within the unit, and registered files are established as required by local arrangements.

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DCM assessment

21 The DCM shall carry out an initial assessment of the case. The purpose is:

  1. to establish that the information supplied is sufficient for assessment to progress,
  2. to check that the case contains the information required by regulation 12 and the relevant schedule,
  3. for revision cases, to identify the parts which have changed (or should have changed) since the previous submission,
  4. for new regulation 7 cases, to review the outputs of the preceding design notification and consider the extent to which they should be taken forward into assessment of the new case,
  5. to enable the DCM to prepare an assessment brief for further assessment of the case by TAs,
  6. to ensure that every aspect of the case will be assessed to the extent necessary to confirm that the case for health and safety has been made.

22 To determine the extent of further assessment, the DCM shall consider each specialist topic, using the list in the assessment brief template. For regulation 7 and 8 cases all relevant topics will normally be assessed. For other cases the need for specialist assessment of a topic shall be judged taking account of:

  1. any change, or proposals for change, to the installation or to its management systems regarding the topic,
  2. the time elapsed since any previous assessment by a TA,
  3. the views of the current TA (where these are not already known to the DCM),
  4. any relevant changes to legislation or to technical knowledge, including published research and internal and external guidance, and
  5. matters raised at any preceding DSC assessment.

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Assessment brief

23 The DCM shall prepare an assessment brief case note proposing the assessment scope for the case. The brief may be issued before the DCM assessment is completed. It shall contain the following, where relevant:

  1. Background information
    1. a summary of changes from any previous submission (and for regulation 14 cases details of intended modifications)
    2. any previous assessment history,
    3. any matters outstanding from previous submissions or interventions, including pre-submission discussions and design notifications,
    4. any dutyholder commitments arising from previous assessments, with a view on the extent to which they have been implemented and taken account of in the current case.
  2. Assessment recommendations
    1. recommendations for the assessment scope of each topic, with justification that they represent an adequate assessment of the case,
    2. any SMS topic assessment work to be carried out by the DCM,
    3. a record of any agreements between the DCM and the TAs on the assessment scope for their topic,
    4. where any acceptance decision may be finely balanced, the background to the situation and proposals for progressing the matters early in the assessment,
    5. the assessment key dates, as in Table 1, and
    6. the communication arrangements between the TAs, the DCM and the dutyholder.

24 The CM (who is responsible for the quality of the brief) shall approve it in an auditable manner. This is currently achieved by means a signature on a paper copy, although this may be changed in the future. The CM sends it to all TAMs and relevant CMs and SCCs, and to DIS for updating the safety case plan. This may be done electronically. The brief shall be available to the TAs by the 'assessment brief issued' date in Table 1. All topic teams shall receive the brief, including those not identified as having an assessment role, to ensure they are aware of the case.

25 Each TAM shall confirm agreement to the assessment brief, by case note to the DCM. If a topic team concludes that the proposed depth of assessment is inappropriate for their topic, the TAM shall record this conclusion and an explanation on a case note to the CM, and amend the assessment scope accordingly. The TAM shall notify DIS and the SCCs to update the SC plan.

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The assessment process

26 TAs shall use the assessment brief (or the revised assessment from the topic team) as the basis for their assessment of the case, consulting other TAs as required. They shall assess it against the relevant requirements of SCR05 using appropriate topic guidance to identify deficiencies to be addressed by the dutyholder. For cases requiring acceptance, TAs shall advise the DCM of such matters in accordance with paragraph 31 onwards. With the agreement of the DCM, minor matters of clarification can be discussed informally between TAs and the dutyholder, with any significant outcomes recorded on a case note.

27 The TAM is responsible for the quality and timeliness of the assessment case note, and shall approve it in an auditable manner. The TAM shall ensure that matters raised are relevant to SCR05 and that any additional material requested is essential for the case for health and safety. Detailed information to add conviction to the case or to verify its contents should normally be sought as a PAIT. See also the section on sufficiency of case contents.

28 The TAM shall send the note to the DCM by the 'matters raised' date on the case plan. Where possible the TAM should better this date, to facilitate collation of all assessment matters by the DCM. The TA shall alert the TAM as soon as any possibility of delay becomes evident, and the TAM shall immediately advise the DCM, CM and relevant OMs. SCCs shall monitor progress in the compilation of assessment case notes and highlight any delays to the DCM, CM and relevant TAMs.

29 Where assessment raises matters which the dutyholder finds difficult to resolve, the CM shall seek early advice from the Legal and Operational Strategy Team, HID HQ Unit, DIS, etc. as appropriate, and keep the CM's operations manager informed.

Assessment - procedure

Extent of assessment

30 Safety cases require acceptance by HSE before the dutyholder can carry out the operations to which they refer. Acceptance means that HSE is satisfied with the case for health and safety made out in the case. Therefore all aspects of the case have to be assessed to the extent necessary to confirm that the case for health and safety has been made. Where the topic has been assessed previously in relation to the installation, TAs shall consider if any further work is necessary, taking account of any changes to the case and of any other relevant factors. See also paragraph 21 re the DCM Assessment.

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Matters identified by assessment

31 An assessment matter will generally be one of the following types:

  1. One, which if not resolved, will result in the TA considering the case is inadequate with regard to the topic. This can include failure to provide straightforward but essential items, such as scale diagrams and descriptions specifically required by SCR05. Such matters shall be raised as level 1 issue notes immediately - see paragraph 34;
  2. One, which if not resolved, would still allow the TA to consider that the case is adequate with regard to the topic. Such matters shall be forwarded to the DCM on an assessment case note - see paragraph 41;
  3. One which is generic.

32 If the TA has no matters to raise with the dutyholder, the TA shall provide the DCM with an assessment completion report by the 'matters raised' date. If the TA is then involved with matters raised by another TA, the other TA shall ensure that this involvement is documented in their report.

33 DCMs shall carry out any SMS assessment in a similar manner to TAs, raising any matters using the same proforma, and approved by the CM. Likewise DCMs shall prepare an assessment completion report, approved by the CM, to record their assessment work.

Raising matters as level 1 issue notes

34 A matter that a TA believes warrants a level 1 issue note shall be brought to the attention of the TAM immediately. The TA should not wait until the topic assessment is completed. The TAM shall decide if a level 1 issue note is justified. If the TAM's decision is contrary to the advice of the TA, the TAM shall record the substance of the matter, the decision and the reasons for it on a case note. The matter shall be included in the assessment case note.

35 If the TAM agrees with the TA, the TAM shall consult the OM responsible for the topic. If the OM disagrees and the TAM's view changes in line with this, the TAM shall act as in paragraph 34. If the TAM's view does not change, the OM shall record the reasons for their own view on a case note. This shall be taken as the authoritative view.

36 The TAM shall inform the CM and shall draft the note without delay, in consultation with the TA and the DCM. Matters raised should identify:

  1. Relevant legal requirements, and where appropriate relevant parts of booklet L30,
  2. The topic involved (for example a specific factual description, major accident hazard, risk analysis technique or management system aspect),
  3. The nature and extent of the deficiency, taking account of information already in the case,
  4. The nature and the extent of the response that is likely to be satisfactory.

37 The TAM shall use the level 1 issue note proforma, taking note of the example issue note in the annexes. The note may also refer to particular sections of APOSC [PDF 158KB] , and also to technical guidance such as GASCET [PDF 2.15MB].

38 For ALARP aspects, a lower standard of protection than would be provided by the application of currently accepted good practice would not normally be acceptable. However, it may be possible to construct a robust argument to show that the measures adopted are likely to achieve an equivalent or higher standard of health and safety.

39 The CM shall review the Note for legal accuracy and to ensure it contains the information in paragraph 36, referring any significant changes back to the TAM for comment. The CM shall approve the note in an auditable manner and inform the CM's operations manager.

40 The DCM shall send the issue note, with a covering letter, immediately to the dutyholder's most senior business manager responsible for the particular installation(s), as well as to the normal dutyholder case contact. Where practicable, it shall be sent early enough to allow the dutyholder at least 14 calendar days to respond, or at least 7 calendar days for revision cases relating to combined operations. The DCM shall ensure the issue note and the letter are recorded on COIN as issue notes.

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Assessment case notes and other matters

41 After raising any level 1 matters, the TA shall prepare an assessment case note to record the assessment carried out and any other matters to be raised with the dutyholder. The note shall outline the scope of the assessment with reference to the assessment brief. Any other matters to be raised with the dutyholder shall include the information in paragraph 36.

42 The TAM shall review and approve the case note as in paragraph 27 and send it promptly to the DCM.

43 The DCM shall review the assessment case notes from TAs and prepare a list of other matters to send to the dutyholder. The DCM shall seek agreement with the TAs on any changes, for example by an assessment team meeting. Matters already raised using level 1 issue notes, and any matters from the DCM assessment, shall be included, to give the dutyholder a complete list.

44 The DCM shall send the letter by the 'matters raised' date on the SC plan and record it on COIN as a level 3 issue note. Other matters shall not be raised after that date, other than in exceptional circumstances. However responses from matters already raised may result in further level 1 issue notes being raised.

Handling responses

45 The dutyholder shall be asked to send responses to the DCM (CM for level 1 issue notes). The DCM shall distribute copies to the relevant TAs. Case notes shall be used to record any discussions held, and agreements reached, with the dutyholder.

46 Soon after the receipt of the dutyholder's response may be an appropriate time for an assessment team meeting. This may be aligned with the progress stocktaking (paragraph 52).

47 The TA shall form a view on the adequacy of any response to each matter raised. Any remedial actions should describe specific improvements to hardware or to the SMS. Proposals for safety reviews, studies, risk assessments, etc. are not acceptable by themselves. For level 1 issue notes, the TA shall involve all relevant TAs in this process, and keep the DCM informed.

48 The TA shall then express that view to the TAM, who shall decide if the response is adequate. If the TAM's decision is contrary to the TA's view, the TAM shall record the decision and the reasons for it on a case note. Further action on level 1 issue notes shall be taken as in paragraph 53, and on other matters as in paragraph 61.

49 Matters may only be resolved after a written response from the dutyholder, which includes any further information requested and describes any remedial actions that the dutyholder has committed to implement.

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Monitoring responses

50 The DCM (or SCC) shall monitor the progress of dutyholder responses against agreed dates. Where the dutyholder fails to respond to the dates, such that this may prevent completion of the assessment as planned, the DCM shall send a reminder to the dutyholder. This letter shall be recorded on COIN as a level 4 issue note. The DCM shall advise the CM and relevant OMs, TAMs and TAs that the letter has been sent.

51 The DCM shall review the dutyholder's reply to this letter and, if appropriate, and with agreement of the CM and following consultation with the TAMs/TAs, change the ‘required by’ end date of the relevant COIN service order lines including the ‘acceptance decision’ line and instruct OSU to revise the “Topic Close Out” and “Case Completion” dates on the safety case plan. The DCM shall advise the dutyholder by the use of the letter in Annex 12 (recorded on COIN as a level 4 issue note) of any change in the assessment completion date.

Progress stocktaking

52 The CM and the TAM shall ensure that assessment progress is reviewed at the stocktaking checkpoint date on the case plan. The CM should normally take the lead in this, and contact the relevant OMs immediately if insufficient progress has been made. The OMs shall initiate any necessary action.

Closing matters in level 1 issue notes

53 If the TAM considers the response is satisfactory, the TA shall close the issue note by an entry in the assessment completion report. If the response is not satisfactory, the TAM shall record the reasons on a case note to the DCM and CM. This shall identify the outstanding matter(s) and the nature and extent of the response still needed. The TAM shall also inform the relevant OMs.

54 If the TAM's operations manager disagrees and the TAM's view changes in line with this, the TAM shall communicate the revised view to the DCM and CM by case note. If the TAM's view does not change, the OM shall record the reasons for their own view on a case note, copied to the TAM and CM. This shall be taken as the authoritative view.

55 Where the response is not satisfactory, the CM shall send a follow-up letter without delay to the dutyholder's most senior business manager responsible for the installation(s), as well as to the normal dutyholder contact. This shall explain why the response is unsatisfactory, with appropriate reference to SCR05, guidance document L30, APOSC [PDF 158KB] and GASCET [PDF 2.15MB]. It shall describe the nature and extent of the response needed to resolve the matter(s). The letter shall be recorded as a level 1 issue note.

56 Every effort shall be made to obtain the required information before the planned acceptance date. The DCM shall ensure any further responses from the dutyholder are distributed to the relevant TA(s) to establish if they are now satisfactory.

57 If it appears that one or more level 1 issue notes may not be resolved before the end of the assessment period, the CM shall form a view on whether the case as a whole can still be accepted - see paragraphs 64 and 65. If this view is that acceptance appears unlikely (and the CM's operations manager agrees), the OM shall write to the dutyholder's senior manager to say that HSE does not believe it will be able to accept the case at this stage. This letter shall be copied to the normal dutyholder contact. The OM shall also send an explanatory note to the HoD and to HSE Legal Advisor's office. This should be a balanced, objective summary of the situation and of the legal implications.

58 The timing of this letter is at the discretion of the OM, but typically will coincide with the topic assessment completion date in Table 1. For regulation 7 and 8 cases the letter shall be sent at least 7 calendar days before the acceptance decision date in the SC plan.

59 The CM can extend the assessment period by agreement with the dutyholder, until the outstanding matters are resolved or the dutyholder is unwilling to continue. The CM's recommendation on whether to accept is held in abeyance meantime. The CM or SCC should change the ‘required by’ date on the COIN service order to reflect this delay. At the end of the assessment period the TA shall close any outstanding issue note(s) as in paragraph 54 onwards, even if they are still unresolved.

60 Any extension must take account of the legal position, for example by delaying the start of operations on an installation for a case submitted under regulation 7, or the implementation of a change for a case under regulation 14

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Closing other matters

61 The TA shall close other matters raised by letter with the dutyholder by suitable entries in the assessment completion report. If the TA considers (and the TAM agrees) that a response has revealed that the matter may be a barrier to acceptance, the TAM shall immediately consult with the DCM and CM and follow the procedure for raising level 1 issue notes (paragraph 34).

Assessment completion report

62 TAs shall record their assessment in an assessment completion report. It shall be approved by the TAM in an auditable manner and delivered to the DCM by the 'topic assessment completion' date on the case plan. The report shall record:

  1. the scope of the assessment, with reference to the assessment brief and the assessment case note(s),
  2. a summary of the matters raised with the dutyholder, with the TA's and TAM's views on the adequacy of the dutyholder's responses. If satisfactory amendments to the case have been received, these shall be referenced,
  3. the basis for the conclusions relating to the matters in each level 1 issue note, making appropriate reference to SCR05 and booklet L30. If a matter is unresolved each deficiency in the dutyholder's response shall be recorded, with suitable justification.
  4. conclusions on the adequacy of the case as a whole in respect of the topic area,
  5. any proposed post acceptance inspection topics (PAITs). Any matter for which a remedy by intervention using other legislation is appropriate shall also be recorded as a PAIT.
  6. any action on generic matters.

63 TAs and TAMs shall ensure that, where required by local arrangements, the relevant topic assessment record (TAR) is completed, approved, and retained in the topic team files.

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Acceptance recommendation

64 At the end of the assessment period, the DCM and CM shall consider whether the SCHAM7 acceptance criteria have been satisfied, taking account of:

  1. the original case as submitted,
  2. any additional material supplied by the dutyholder, and
  3. the views of each TA, as expressed in their assessment completion reports.

65 The CM shall decide whether to recommend acceptance of the case to the OM. An unresolved matter in a level 1 issue note is not an automatic bar to acceptance, provided that the particulars in SCR05 regulation 12 and the relevant Schedule have been supplied and the CM is satisfied with the case for health and safety made out in the safety case, taken as a whole.

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Case close out report

66 The DCM shall compile a case close out report. This shall include:

  1. the outcome of the DCM assessment,
  2. any changes to the assessment brief or to the assessment team,
  3. a summary of the matters raised and how they were closed, with particular reference to level 1 issue notes,
  4. any unresolved matters, and their effect on the acceptance recommendation,
  5. any satisfactory amendments to the case supplied by the dutyholder,
  6. the CM's recommendation on acceptance of the case and the reasons for it. Where the CM decides to recommend acceptance despite an unresolved level 1 issue note or other reservations expressed in a TA's assessment completion report, the CM shall record the reasons for the decision,
  7. a summary of any use of the differences of view procedure or of the formal second opinion procedure, and any precedential decisions taken,
  8. the progress stock take date.

67 The CM shall approve the close out report case note in an auditable manner and send it to the CM's operations manager.

Acceptance decision

68 The OM shall review the close out report to:

  1. determine if matters have been appropriately handled,
  2. decide if HSE can accept the case, and
  3. record the decision in the report in an auditable manner.

69 The decision and the reasons for it shall be recorded on a case note to the TAM, the TAM's operations manager and the HoD if:

  1. the OM decides against the recommendation of the case manager, or
  2. the OM decides to accept the case despite outstanding reservations associated with level 1 matters.

For a case that is to be accepted the OM shall inform the dutyholder by letter.

70 Where the decision is not to accept a case, the OM shall brief the HoD before writing to the dutyholder (or each dutyholder for a combined operation safety case submitted under the transitional provisions). There is no proforma for the letter, as it should be tailored to the situation. It shall include:

  1. a description of the unresolved issue(s) and why the dutyholder's response is inadequate, provided as an Annex to the letter,
  2. the consequences of the decision with respect to the SCR,
  3. an offer of a meeting with the HoD to discuss the position,
  4. references to the review procedure and the appeal procedure, with a copy of each, and
  5. a reference to the letter to the safety representatives (see below).

71 The CM shall send a letter (Annex 15 [PDF 15KB] or Annex 17 [16KB] ) to the installation safety representatives regarding the outcome of assessment.

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Final close out

72 The CM shall ensure that COIN records for the case are complete and that copies of the following are sent to the SCDO for holding in registered files:

  1. the master original case plus any amendments received during the assessment process,
  2. a case close out pack, comprising:
    1. the acceptance decision letter and any attachments,
    2. the case close out report,
    3. topic assessment completion reports,
    4. any level 1 issue notes,
    5. dutyholder responses to level 1 issue notes and other matters, or a reference listing and the registered file number,
    6. the assessment brief case note,
    7. any case notes recording actions and decisions relevant to the resolution of differences of view and to FSO, and
    8. where required by local arrangements, a list of proposed PAITs.

73 The SCC shall notify the TAs and TAMs when the close out report has been placed on COIN, and request that all COIN case note and issue note records are set to the appropriate status. For dismantlement cases, the CM shall inform the relevant FOD office and OSD5 of any project where significant amounts of onshore dismantling may occur.

74 Where appropriate (for example for combined operations) the SCC shall notify inspection team leaders with responsibility for other installations involved of the documentation in paragraph 72.

75 All involved shall ensure that correspondence to be retained (and which cannot be input to COIN) is held in registered files.

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Cases submitted early

76 dutyholders may submit a case early. This makes work scheduling easier for HSE and for the dutyholder, and gives more time to resolve matters raised. This practice is to be encouraged, but more time should not be spent on assessment merely because it is available - the depth of assessment should be proportionate to the risks.

Requests for accelerated assessment

77 Requests may be received to assess cases in shorter periods than the advance submission periods required by SCR, for example in less than 6 weeks for revision of a case relating to combined operations, submitted under regulation 14(2)(a)(ii).

The following principles apply:

  1. no formal commitment to accelerated assessment (assessment in less than the advance submission timescales) should be entered into;
  2. requests for accelerated assessment for urgent safety reasons should be treated with very high priority, if necessary using exemptions in very exceptional circumstances;
  3. requests arising from commercial considerations should be treated pragmatically, but without making commitments.

Post acceptance inspection topics (PAITs)

OSD's handling of PAITs is currently under review and a SPC will be published following which this section of SCHAM will be revised.

Introduction

78 PAITs are an important output of the assessment process and input to the dutyholder planning event (DPE). This section describes the arrangements for ensuring that PAITs are properly identified and recorded.

79 Assessment involves making judgements based on documentary evidence. The TA's view on the adequacy of the case is based solely on this evidence. It does not depend on successful verification, for example by including PAITs in the inspection plan.

80 However OSD does need to verify that the installation's key risk controls operate as described in the case. These are the controls aimed at preventing, or mitigating the consequences of, a major accident, and include the relevant parts of the SMS and audit arrangements. Verification is part of intervention and subject to the planning process described in the Offshore Intervention Guide.

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Selection

81 TAs shall consider items from the following categories to recommend to IMTs for inclusion in DPEs:

  1. key risk controls referred to in the case, including those where TAs are satisfied that the case for safety has been well made as well as those where it is necessary to confirm the adequacy of the case for safety,
  2. current OSD intervention strategies,
  3. new technology or new ways of working,
  4. incident experience, and
  5. other matters for which a remedy under other legislation may be appropriate.

82 Where the dutyholder has agreed to amend the case after acceptance to reflect statements made during the assessment process, such an update need not necessitate a PAIT.

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Initial handling and recording

83 DCMs shall note any proposed PAITs in assessment completion reports, together with their priority and summarise them in the case close-out report, with proposed actions. TAs shall record proposed PAITs in COIN, as described in the relevant COIN procedure. Further action on PAITs should form part of the dutyholder intervention strategy - see the Offshore Intervention Guide

Generic matters

84 Matters may be identified during the assessment of a case for which HSE has yet to reach a consensus on what is required, or where consensus has been reached but HSE has not yet publicised this to the industry. Examples include new technology; new ways of working, recently published research, or the outcome of a recent incident. Where such matters affect more than one dutyholder, they should be considered as developing generic matters.

85 Developing generic matters will not normally lead to non-acceptance (via level 1 issue notes) although this is not an absolute rule. The TA shall agree with the DCM and the relevant TAM(s) the extent to which the matter should be addressed with the individual dutyholder in the current case, and how it might be dealt with on an industry-wide basis outside assessment. The TA shall record the agreement on the assessment completion report, which shall be copied to the TAM(s) involved and to the OM for the topic area. This does not affect the application of the acceptance criteria.

86 OMs responsible for topic areas shall ensure that:

  1. developing generic matters in their topic areas are recorded,
  2. prioritised plans are made to establish an HSE policy on each generic matter, in cooperation with industry where appropriate,
  3. topic guidance is revised as required, and
  4. the HSE policy on each matter is publicised to the industry.

87 In addition, where a dutyholder proposes to deviate from a recognised standard, or to use a standard not currently recognised by HSE, this may not be a generic matter as defined above, even if it could apply across the industry. In all cases the dutyholder must demonstrate that the risks from major accident hazards are properly controlled.

Resolving differences of professional view

Introduction

88 This procedure shall be used if there is a difference of view between a topic team and an IMT. OMs may also use the principles of the procedure to aid the resolution of differences of view within a topic team or IMT.

89 Given the involvement of TAMs and CMs at the key decision points in the assessment process, this procedure will be used mainly for differences of view at CM/TAM level and above.

90 The expectation of OSD management is that if staff adopt 'best practice' in management techniques and in working together, most matters arising during case assessment will be resolved through the normal processes. However, where consensus cannot be achieved the arrangements below shall be followed.

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Recognition of a difference of view

91 Differences that are likely to be difficult to resolve shall be identified as soon as possible during the assessment. If the normal processes fail to resolve the matter the CM or TAM shall initiate the difference of view procedure without delay and inform the relevant parties (OM(s), CM, DCM, TAM and TA).

92 The difference of view procedure shall be completed as quickly as possible, and in any case by the date by which an acceptance decision has to be made. OMs shall ensure that sufficient resource is provided when it is needed.

93 OMs are responsible for ensuring that the procedure is followed (see Fig. 1). Third party experts may contribute to the resolution process, technical experts being nominated by topic units and regulatory experts by IMT units.

94 The DCM shall ensure that assessment team members are kept informed of any potential or actual adverse impact on delivery to the assessment key dates where it affects them.

Procedure

95 The TAM and CM shall initially consider the matter, and formally agree the substance of the difference in sufficient detail to clearly explain it. The CM shall record it on a case note.

96 The CM shall arrange a meeting to consider the difference of view, and ensure that the arguments of all parties are summarised and recorded in a case note. If resolution is not achieved the CM shall raise the difference to the OM level.

97 Unless the OMs agree that there is no merit in another meeting, there shall be a formal meeting of all parties involved. If the difference still cannot be resolved the OM responsible for the acceptance decision shall invoke the formal second opinion procedure, after consulting with the other OM involved.

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Records

98 The CM shall record the process and the decisions on a case note agreed by those involved. The DCM shall include a summary of the matter(s) and of the decision(s) in the case close out report, and copy it to OBST.

99 OBST shall check close out reports received for use of the resolution of difference and FSO procedures, and for precedential decisions. Where text is found OBST shall record the outcome in the decisions/FSO log. Where changes to topic or procedural guidance may be required, OBST shall inform the custodian(s) of the guidance.

Figure 1 - Procedure to resolve differences of view between IMTS and topic teams

Figure 1 - Procedure to Resolve Differences of View Between IMTS and Topic Teams

Formal second opinion

Introduction

100 The Formal second opinion (FSO) procedure is an important part of ensuring that OSD maintains high standards of assessment decision-making. It is shown in Figure 2 and described below.

101 The FSO procedure should be completed within two weeks, and in any case by the date by which an acceptance decision has to be made. OMs shall ensure that the highest priority is given to providing sufficient resource when it is needed.

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Purpose

102 FSO is mainly intended for those instances where the decision on case acceptance is finely balanced, or where there has been a failure to resolve differences of professional view between a topic team and an IMT. The aim is to provide an independent second view on the issue(s) at stake, to assist the OM making the acceptance decision. This is done by reviewing the arguments used by those involved and seeking additional views from others who have had no involvement so far. It is not the FSO's function to make the decision.

Procedure

103 Only the OM responsible for making the acceptance decision may initiate the FSO procedure. All relevant OMs shall be consulted beforehand.

104 An OM who has had no direct involvement with the assessment of the case in question shall undertake the FSO process. This person is the 'FSO OM' and shall be commissioned by the OM initiating the FSO.

105 The FSO OM shall, as appropriate, enlist the assistance of:

  1. a case manager who has had no direct involvement in the assessment of the case,
  2. an appropriate topic specialist from OSD or another part of HSE who has had no direct involvement in the assessment of the case,
  3. a person to act as secretary,
  4. an adviser from the Legal and Operational Strategy Team (if necessary).

106 The selection should be made with care, and be agreed by the OMs involved in the case assessment.

107 The OM invoking the FSO shall initiate it by a case note to the CM, copied to the other OM involved and to the HoD. This shall be done as early as possible in the overall assessment process.

108 The OM requesting the FSO, assisted by the SCC, shall provide information as follows:

  1. the name and COIN number of the case,
  2. where the purpose of the FSO is to resolve a difference of professional view, the case notes relevant to attempts to resolve the issue,
  3. where the purpose of the FSO is to reach a decision on cases where acceptance is finely balanced, the relevant case notes, issue notes and dutyholder responses,
  4. a summary of the matter(s) involved and how they have arisen,
  5. the date by which a decision on the way forward must be taken,
  6. the name of someone who can supply copies of all of the information considered by the assessment team.

109 The DCM and SCC shall supply copies of relevant information considered by the assessment team to the FSO OM.

110 Where an FSO is invoked as a result of a difference of professional view, the FSO OM shall consider:

  1. the arguments of each party, as set out in the written material submitted to the FSO,
  2. any necessary oral clarification from document authors, and
  3. information and advice provided by staff enlisted to assist the process.

The OM shall then form a view on the line that OSD should take.

111 It is not the role of the FSO to resolve the differences. However if it becomes apparent that the differences can be resolved, the FSO OM shall try to secure a resolution by consulting the parties involved. If resolution is achieved then a report shall be sent by case note to the OMs involved and the CM, and action taken as in paragraphs 98 and 99.

112 Where the purpose of the FSO is to assist the decision maker, the arguments regarding acceptance being finely balanced, the FSO OM shall consider:

  1. the relevant information in the case (and where appropriate information provided in response to issue notes),
  2. the relevant case assessment reports, and
  3. any other information which either OSD or the dutyholder might use to support their cases in a non-acceptance review by the Executive, or in an appeal to the Secretary of State.

The FSO OM shall use the information to consider if the acceptance criteria are met.

113 The FSO OM shall prepare a concise report highlighting:

  1. the information that was reviewed,
  2. those who assisted in the FSO process,
  3. the formal second opinion, and the reasons for it, and
  4. aspects of the information that might be strengthened by further OSD activity.

114 If the FSO was invoked as a result of a difference of professional view then the FSO OM shall consult the parties involved before finalising the report.

115 The opinion shall be submitted by case note to the OM requesting the FSO, and copied to any other OM involved, at the earliest possible date, and by the date by which a decision on the way forward must be taken.

116 The OM responsible for the acceptance decision shall note the outcome of the FSO when making the decision, and may consult the CM and the topic OM.

117 If any OM has concerns about the FSO, the OM making the acceptance decision shall advise the HoD once the decision has been made.

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Records

118 The DCM shall include a summary of the matter(s), the FSO report and the decision made in the case close out report, and copy it to the OBST.

Figure 2 - Procedure for formal second opinion

Figure 2 - Procedure for Formal Second Opinion

Standard documents

119  Examples of the standard documents are listed below. The templates to them will be found as OSD Safety Case templates in WORD.

Annex Standard Document
1 Distribution Case Note [PDF 15KB]
2 Case Note [PDF 14KB]
3 Assessment Brief [PDF 18KB]
4 Level 1 Issue Note [PDF 15KB]
5 Example Level 1 Issue Note [PDF 19KB]
6 Assessment Case Note [PDF 16KB]
7 Topic Assessor's Assessment Completion Report [PDF 18KB]
8 Case Close Out Report [PDF 27KB]
9 Case Receipt/Contact Point letter [PDF 17KB]
10 Covering letter for Level 1 Issue Note [PDF 16KB]
11 Matters Raised letter [PDF 18KB]
12 Delayed Response letter [PDF 16KB]
13 Unsatisfactory response letter [PDF 16KB]
14 Acceptance letter to dutyholder [PDF 17KB]
15 Acceptance letter to safety representatives [PDF 15KB]
16 "No acceptance at this stage" letter [PDF 17KB]
17 Non-acceptance letter to safety representatives [PDF 16KB]

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Updated 01.09.09