Safety Case Handling and Assessment Manual - Introduction
Head of division's foreword
The 1992 Safety Case Regulations had a significant impact on offshore major hazard management and control. The revised Safety Case Regulations [SCR05] continue to play a very important role in this area. The main impact of the changes brought about by SCR05 will be a reduction in desk based safety case assessment in favour of increased intervention with dutyholders. Nevertheless safety case assessment will remain an important part of the division's work. As also will be the handling of the various notifications required by SCR05. These procedures provide staff with guidance on how this work should be undertaken. Please follow them
Taf Powell
Head of Offshore Safety Division
Accountable manager's foreword
Issue 7 of SCHAM includes, throughout the text, updates to take account of the 2005 Safety Case Regulations and the introduction of COIN. For example the section on design cases has been deleted and most references to combined operations cases removed
Please take the time needed to read SCHAM carefully to ensure that you understand the revised procedures. If you have any queries please contact me or the OSD Permissioning Desk Officer in HID HQ Unit.
If you have any suggestions for improvements to SCHAM or the way safety cases are handled on COIN, please pass them to the Offshore Permissioning Desk Officer in HID HQ Unit, or to a member of the Safety Case Assessment System Users Group (SCASUG).
This revision of SCHAM is part of a continuing process to ensure our procedures and guidance remain up-to-date.
Please assist me to ensure that the safety case assessment process is both effective and auditable by implementing the procedures in this manual.
Ian Whewell
Operations Manager Accountable for Safety Case Assessment
Contact:
Derek Pratt
HID OSD5.1
Health and Safety Executive
Redgrave Court
Merton Road
Bootle
Merseyside L20 7HS
0151 951 4970
Acronyms
| ALARP | As Low As Reasonably Practicable |
|---|---|
| APOSC | Assessment Principles for Offshore Safety Cases |
| BROA | British Rig Owners Association |
| CM | Case Manager |
| CN | Case Note |
| COIN | Corporate Operational Intelligence System |
| DCM | Deputy Case Manager |
| DH | dutyholder |
| DISP | dutyholder Intervention Strategy Planning Record |
| DMT | Divisional Management Team |
| DPE | dutyholder Planning Event |
| EER | Emergency, Evacuation and Rescue |
| FOD | Field Operations Directorate |
| FSO | Formal Second Opinion |
| HID | Hazardous Installations Directorate |
| HoD | Head of Division |
| HSC | Health and Safety Commission |
| HSE | Health and Safety Executive |
| HSWA | Health and Safety at Work Act |
| IADC | International Association of Drilling Contractors |
| IMT | Inspection Management Team |
| IN | Issue Note |
| OM | Operations Manager |
| OSC | Operational Safety Case |
| OSD | (Hazardous Installations Directorate) Offshore Division |
| OSU | Operational Support Unit |
| PAIT | Post Acceptance Inspection Topic |
| PFEER | Prevention of Fire and Explosion, and Emergency Response Regulations 1995 |
| QA | Quality Assurance |
| QRA | Quantitative Risk Assessment |
| SA | System Administrator for COIN |
| SC | Safety Case |
| SCASUG | Safety Case Assessment System Users Group |
| SCC | Safety Case Coordinator |
| SCDO | Safety Case Distribution Officer |
| SCHAM | Safety Case Handling and Assessment Manual |
| SCPB | Safety Case Programme Board |
| SCR | Safety Case Regulations |
| SI | Statutory Instrument |
| SMS | Safety Management System |
| TA | Topic Assessor |
| TAM | Topic Assessment Manager |
| TAR | Topic Assessment Record |
| UKOOA | UK Offshore Operators Association |
Definitions
Words in bold are defined terms. The definitions are to be used in conjunction with safety case assessment only.
| Acceptance: | Written notification to the Dutyholder that HSE is satisfied with the case for health and safety following assessment of the safety case. |
|---|---|
| Acceptance decision: |
The decision as to whether a case may be accepted by HSE, based on the Principles of Acceptability (Aims, Objectives and Principles (paragraph 7), made by the relevant operations manager on the basis of a recommendation from the CM. |
| Acceptance recommendation: |
The recommendation made by the CM to their operations manager regarding the acceptability of a safety case. This will be based on a consideration of the assessment completion reports from TAs and of the Principles of Assessment and Acceptability. |
| Appeal | The statutory procedure whereby a person can appeal to the Secretary of State against a decision by the Executive regarding certain aspects of the Regulations. |
| Assessment: | OSD validation of the safety case to provide support to an acceptance decision. |
| Assessment Brief: |
The case note forwarded to a TA and / or TAM by a DCM proposing the assessment work for a topic, including the deadlines for completion in line with the safety case plan. |
| Assessment Case Note |
The case note containing all the matters that a TA wishes to raise with a Dutyholder, to be delivered to the DCM by the matters raised date. |
| Assessment Completion Report: |
The proforma case note forwarded to the CM, which records the results of assessment and contains advice on the adequacy of the material presented in relation to the scope of assessment for that topic. |
| Case Note: | The proforma used for documenting internal correspondence relating to safety case handling and assessment. |
| Close Out Report: |
The report for the operations manager's authorisation compiled by the DCM and approved by the CM. Outlines the process and the matters raised, and the Dutyholder responses from which the acceptance recommendation was derived. |
| Corporate Operational Intelligence System (COIN) |
The computer system used to record safety case assessment and hold details of case notes, issue notes and letters. |
| Decisions/FSO log |
A computer record of the outcome of each use of the resolution of differences and formal second opinion procedures, as given in CM's close out reports. This log is maintained by Operational Business Support Team. |
| Dutyholder: | The person with the legal duty to submit the safety case to HSE. |
| Formal Second Opinion: |
An independent opinion of a nominated operations manager sought by another operations manager to assist in resolving a difference of view or where the acceptance decision is finely balanced. |
| Generic Matter | A matter identified during the assessment of a safety 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. |
| Issue Note: | A proforma used as the formal means of raising matters with Dutyholders, confirming agreed actions and providing information. There is one level of formal Issue Note:An Issue Note of Severity Level 1 records a matter identified by an assessor that if not resolved, may prevent acceptance of the safety case.Other communications with the dutyholder are recorded on COIN as follows:a) matters identified by assessors that if not resolved will not prevent acceptance of the safety case, andb) discussions and agreements at meetings.Both are recorded as Issue Notes of Severity Level 3.c) Other information, such as the names of assessment team members and key dates, are recorded as an Issue Note of Severity Level 4. |
| Key Dates: | The dates in the safety case plan by which the following actions should be taken, where relevant:1) Start dateCase received and distributed, DCM starts DCM assessment and drafting of assessment brief2) Assessment brief issuedDCM issues assessment brief to assessors, allowing topic assessment to begin3) Matters raised dateDCM sends matters requiring resolution to Dutyholder4) Response due from dutyholder dateResponse to matters raised due from Dutyholder5) Stocktaking checkpoint dateCM initiates a stock take to check progress and identify what remains to be done6) Topic assessment completion dateTAs complete their assessment and send completion reports to the DCM7) Acceptance decision dateOperations manager decides on the acceptability of the case. |
| Matter: | A deficiency in information or with a demonstration identified during assessment which may need resolution by the Dutyholder before the safety case can be accepted. Matters that remain unresolved during discussions between Dutyholders and assessment teams shall be formally brought to the attention of Dutyholders on issue notes. |
| Owner or Operator: |
The person with the legal duty to submit the safety case to HSE. (Synonymous with Dutyholder). |
| Post Acceptance Inspection Topic (PAIT): |
A topic identified by a TA in an assessment completion report that requires future Inspection Activity. |
| (The) Regulations: |
The Offshore Installations (Safety Case) Regulations 2005 and any amendments. |
| Response: | The Dutyholder's formal reply to an issue note. |
| Review: | The procedure in SCHAM 7 for the Dutyholder to challenge an HSE decision not to accept a safety case. |
| Safety Case Plan: | The plan that identifies every safety case and shows when each assessment is expected to start and finish, the probable composition of the assessment team, and the key dates by which certain actions are to be completed. |
| Topic: | Any subject within a topic area. |
| Topic Area: | The range of topics covered by a management grouping. |
| Topic Guidance: | Guidance available to assist assessors in assessment. |
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