STOW-TT Minimum HSE Requirements Re-certification Assessment Report€¦ · · 2017-05-15STOW-TT Minimum HSE Requirements Re-certification Assessment Report ... Use of the STOW-TT

STOW-TT Minimum HSE Requirements Re-certification Assessment Report

DTS LIMITED LOW RISK RE-CERTIFICATION

Onshore Scope:

The Scope of the Assessment Audit was directed at the HSE Management System in place with respect to the services

provided by the company which included- Geological Services

INDEPENDENT ASSESSOR SHERMAN RAGBIR

AUDIT DATES

19TH, 21ST, 24TH, AND 27TH, APRIL, 2017

DATE REPORT SUBMITTED 12th MAY, 2017

2

Contents Page

Executive Summary ............................................................................................... ...................3

1.0 Introduction .................................................................................................................6

1.1 Documentation review..................................................................................................6 1.2 Site visit & Interview.....................................................................................................7 1.3 Methodology ................................................................................................................9 1.4 Description of the Organization ...................................................................................10 1.5 Description of the Organization’s HSSE Information Management System....................10 1.6 Critical Suggestions and Recommendations for improvement ......................................10

Glossary........................................................................................................................11

Appendices...................................................................................................................12

3

EXECUTIVE SUMMARY

DTS Limited provides Geological Services. The organization’s Health Safety and Environmental

Management System was assessed against the STOW-TT Minimum HSE Requirements for the

second time however it was the first time to determine conformance at the Low Risk Level. The

company was initially assessed at the High Risk Level. The audit was conducted at the

organization’s only office located at #71 Bayview Avenue, Grove Park, Dow Village, South

Oropouche during the period 19th to 27th April, 2017.

The assessment followed the Protocol developed using the one hundred and thirty five (135)

questions in the eleven (11) sections with guidance. Firstly, by reviewing the organization’s Health,

Safety, Environmental and other related documentation that comprises the management system

for its conformance to the protocol. Once satisfied this was followed by interviews and site visits to

verify the system was implemented and working. On the basis of this methodology, the findings

confirmed that the organization has met the STOW-TT Minimum HSE Requirements. (See Tables 1

& 2 below)

4

Table 1. Scoring Summary

ASSESSMENT AUDIT ELEMENT POSSIBLE

POINTS POINTS AWARDED

PERCENTAGE

1. HSSE Management, Leadership and Accountability 445 441 99.00%

2. Legal Requirements and Document Control 100 100 100.00%

3. Risk and Change Management 400 368 92.00%

4. Planning Goals and Targets 160 160 100.00%

5. HSSE Competency 180 160 88.88%

6. Security 80 80 100.00%

7. Health and Hygiene 160 144 90.00%

8. Environmental Management 80 80 100.00%

9. Incident Reporting and Investigation 100 92 92.00%

10. Crisis and Emergency Management 280 276 98.57%

11. Monitoring, Audit and Review 240 236 98.33%

TOTALS 2225 2137 96.04%

PHYSICAL CONDITION EVALUATION CATEGORY SCORE

A. General Workplace Conditions 10

B. Facilities 15

C. Materials 20

D. Equipment -

E. Hazard Controls 15

F. Emergency Systems 15

G. Other -

H. Personal Protective Equipment -

TOTALS 100%

5

Table 2. Previous and Current Scoring Summary

Advice to the Implementation Board

The organization has met the minimum score of eighty five percent (85%) in all eleven (11) elements

and over eighty percent (80%) in the physical conditions requirements. DTS Limited is therefore

recommended for certification at the Low Risk Level for a two (2) year period.

ASSESSMENT AUDIT ELEMENT PREVIOUS % CURRENT

%

1. HSSE Management, Leadership and Accountability 88.00 99.00

2. Legal Requirements and Document Control 95.00 100.00

3. Risk and Change Management 100.00 92.00

4. Planning Goals and Targets 97.00 100.00

5. HSSE Competency 93.00 88.88

6. Security 90.00 100.00

7. Health and Hygiene 94.00 90.00

8. Environmental Management 100.00 100.00

9. Incident Reporting and Investigation 88.00 92.00

10. Crisis and Emergency Management 98.00 98.57

11. Monitoring, Audit and Review 98.00 98.33

TOTALS 97.38% 96.04%

PHYSICAL CONDITION EVALUATION

ELEMENT PREVIOUS %

CURRENT %

A. General Workplace Conditions Scores Not available

10

B. Facilities 15

C. Materials 20

D. Equipment -

E. Hazard Controls 15

F. Emergency Systems 15

G. Other -

H. Personal Protective Equipment -

TOTALS 97.00% 100.00%

6

1.0 INTRODUCTION

The STOW-TT Low Risk certification assessment was completed on 27th April, 2017. The Independent

Assessor utilized the STOW Assessment Protocol and the Physical Condition Evaluation Report for

DTS Limited.

1.1 DOCUMENTATION REVIEW

Dates of Document Review

Core documentation review occurred on 19th and 21st April, 2017 at the organization’s office

with ongoing review during the assessment on 27th April, 2017. The organization provided

access and supplied their HSE Management System Documentation.

Types of Documents Reviewed

Documents provided were hard copies and where necessary electronic versions were seen.

The documentation provided was structured into Policies, Procedures, Forms, Reports and

Records. Some of the specific policies, procedures and records receiving attention in no

particular order included but are not limited to the following:

HSE Policy, Environmental Statement

Roles and Responsibilities of the Managing Director, Manager and Employees

Training and Documentation Records including new hire orientation

Risk Assessment Procedures and Records

Drug Policy and Stop Work Policy

Accident Incident Reporting and Investigation System and Records

Gap Analyses of OSH and EM Act

HSE Budgets

Objectives and Targets

Reward and Recognition Programme

Disciplinary Guidelines

Right to Refuse Unsafe Work Policy

Legal Requirements and Document Control

Management review minutes of meeting

7

Specific Information to the STOW Board Following Documents Reviewed

The assessment process recommended whereby the organization’s documents are

reviewed first to determine if the assessment should proceed to the next stage which

includes the site visit and interviews was conducted. Upon review of the said documents

the findings indicated that all mandatory STOW-TT Requirements were met.

The organization’s policies and procedures were verified during the assessment via

interviews, a site visit and physically looking at records and reports.

The organization provides Geological Services and has a maximum of five (5) direct

employees which includes the Managing Director. The Managing Director and the Technical

Manager displayed good knowledge, dedication and interest towards the HSE Management

System. The HSE Consultant had the responsibilities of implementing the HSE Management

System.

1.2 SITE VISIT AND INTERVIEWS

Name of location/s and site/s visited

The organization DTS Limited has only one (1) office located at # #71 Bayview Avenue,

Grove Park, Dow Village, South Oropouche where the business is managed from. The

physical condition tour took place at the said location which included the Stock Room,

Administrative offices and the welfare facilities.

Date/s site/s visited

The documentation review took place at the organization on the 19th, 21st and 27th, April

2017. Verification of records and the physical condition tour took place on the 21st April,

2017 and the close out meeting with management on the 27th April, 2017.

Persons Interviewed During assessment

The persons interviewed during the assessment include the following:

Managing Director – Mrs. Reesha Dookie

Technical and Contracting Manager – Stephen Kariah

HSE Consultant – Mrs. Shirlean Prince

HSE Coordinator – Joel Phillip

Note: The organization had five (5) direct employees when assessment was conducted.

8

Verification via Interviews

All persons interviewed including the Managing Director, Technical Manager, HSE

Consultant and the HSE Coordinator were asked questions relating to their roles and

responsibilities in the HSE Management System during the interviews which were

conducted separately. The Managing Director responded positively and displayed a high

level of awareness and knowledge of the system. She also clearly stated her expectations

relating to HSE and looks forward for growth, development and improvement of the

organization’s HSE Management System.

The Technical Manager was able to demonstrate a high level of awareness of the system

and was able to clearly identify his role and responsibilities. Whenever verification of

records was required the Technical Manager displayed a high level of accuracy and

presented the records in a timely manner.

Physical Conditions Tour

A physical condition tour was completed of the Stock Room, Administrative offices and the

welfare facilities. The requirements were met and the organization achieved a score of one

hundred percent (100%). (SeeTable2). The score was calculated using the given formula in

the STOW Protocol.

Other Specific Information to assist in the Board’s Decision (Site Visit and Interviews)

Given the nature of the company’s operation which involves the use of the computer and a plotter and the number of employees including the Managing Director totalling five. The HSE Management System developed and implemented was satisfactory.

9

1.3 METHODOLOGY

The recommended process using the STOW guidelines was utilized to conduct the assessment.

This involved the review of documents, followed by interviews and a site visit/s if the STOW

requirements were met. Prior to the start of the assessment, the Independent Assessor submitted

an audit plan and the scope of work with the terms and conditions of the assessment process.

Upon acceptance/agreement by both the Independent Assessor and the organization the

following methodology was used:

Step 1. Opening Meeting

The opening meeting was held on 19th April, 2017 at the organization’s office. It was agreed that

the assessment will start on 19th April, 2017 and follow the audit schedule until the 27th April, 2017

when the close out meeting will be held. The focal point was identified as the Managing Director.

Step 2. Documentation Review

Review of All HSE Documentation to determine if there is conformance to the STOW-TT

requirements.

Step 3. Interviews

Interviews were conducted to verify the effectiveness and awareness of the HSE Management

System. The organization comprises of five employees, a total of four were interviewed.

Step 4. Use of the STOW-TT Protocol 135 Questions

The assessment tool was used to log the findings

Step 5. Physical Condition Tour

A physical condition tour of the facility was conducted to determine conformance with the

standards.

Step 6. Closeout Meeting

The closeout meeting was conducted on 27th April 2017 as agreed upon. A non-conformance

report was presented to the Managing Director and the Technical and Contracting Manager.

All items in the non-conformance report were discussed with the team, explaining why the

non-conformance was raised. The opportunity to ask for clarity and rationale where

10

necessary. The organization agreed to develop a corrective action plan to close all non-

conformances.

1.4 DESCRIPTION OF THE ORGANIZATION

General Information on the Company

DTS Limited provides Geological Services which includes printing, scanning and conversions of

Logs.

Companies in Group (if applicable)

There are no group company affiliates to this company.

1.5 DESCRIPTION OF THE ORGANIZATION’S HSSE INFORMATION MANAGEMENT SYSTEM

Details on the Company’s HSSE System

DTS Limited core business is in the line of Geological services including; scanning, printing

and conversion of logs, their HSE is set up to reflect the STOW Requirements along the

Eleven (11) Element System. The organization has adopted the General Safety OSHA

standards and TT OSH 2006 Act with supporting standards.

1.6 CRITICAL SUGGESTIONS AND RECOMMENDATIONS FOR IMPROVEMENT

DTS Limited should use the closeout report to develop a corrective actions list. The

established timelines should be adhered to facilitate a higher level of conformance to the

STOW-TT requirements.

11

GLOSSARY

EMS Environmental Management System

ERP Emergency Response Procedure

HR Human Resource

HSE Health, Safety and Environment

HSE MS Health, Safety and Environmental Management System

JHA Job Hazard Analysis

PPE Personal Protective Equipment

APPENDICES:

1. STOW-TT AUDIT FINDINGS

2. STOW-TT SCORING CRITERIA

3. PHYSICAL CONDITIONS EVALUATION RECORD

Page 12 of 41

Appendices Appendix 1 STOW-TT AUDIT FINDINGS

Q#. Question STOW

Scoring Criteria

IA Findings IA Scoring Non-Conformance

Element 1 - HSE Management, Leadership and Accountability

1 Does the Organisation have a documented HSE Policy Statement endorsed by Senior Management?

20 Mandatory

Requirements met. The Organisation has developed an “HSE Policy Statement” the policy statement fulfills all the minimum requirements. The policy statement has been reviewed, signed by Managing Director on 1st December 2016 and is posted.

20 None

2 Has the Organisation adopted Standards to manage risk associated with activities conducted by the Organization?

20 Requirements partially met. The Organisation has adopted a few local applicable TTBS Standards and International Standards. The HSE Standard adopted captured Legislation. December 1st 2016: Rev 1 was signed.

16 The company has a legal register that however it does not adequately identify HSE Standards to manage risk. (e.g. Display screen equipment)

3 Does the Organisation have a formally endorsed documented statement demonstrating that Managers are accountable for HSE Performance?

20 Requirements met. Job Descriptions for all personnel in employee file. Also in the HSE Management System Manual Appendix 1.6 HSE Accountabilities Section B. Supervisor/Manager Roles & Responsibilities a-f Rev 1 dated December 2016. Job Description for Technical and Contracting Manager available and signed by the Manager.

20 None

4 Have these accountabilities been communicated to the Managers?

20 Requirement met. Evidence seen by signature on Job Description

20 None

Page 13 of 41

signed on 06-01-17 with HSE Accountability.

5 How does the organisation hold Line Managers accountable for HSE Performance?

20 Requirement met. The organisation holds managers (Supervisor) accountable for their HSE performance of their operations via Performance Appraisal Management System. The company has a disciplinary programme in the HSE Manual: M.P 1.8.1 Disciplinary Procedure for non-Compliance with HSE behaviour. - There is evidence of promotion

from technical support staff to Technical and Contracting Manager.

- SMS F# 1.7.2 HSE award Evaluation form Rev 1 December 1st 2016.

20 None

6 Can Line Managers discuss the HSE performance of their operations? Interview Question

20 Requirement met. Interview session with the Manager displayed awareness of his specific accountabilities with regards to HSE performance and his freedom to discuss HSE issues with senior management. With respect to risk identification and mitigation measures there was an acceptable consensus of understanding. Interview suggest that the Manager at the time can discuss HSE.

20 None

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7 Are financial resources allocated for the implementation of the company’s HSE Management System?

20 Requirement met. An approved budget for 2017 was signed by the Managing Director and dated 30/12/16.Invoices for PPE – shoes etc. Risk Assessment identified PPE for Job.

20 None

8 Are personnel allocated for the implementation of the company’s HSE Management System?

20 Requirement met. Organisational Chart seen indicating there is an HSE Consultant. The Managing Director also acts in the capacity of HSE. Training Certificates seen in personal file.

20 None

9 Are HSE Specialists available?

20 Requirement met. Evidence available of an HSE Specialist in the Company’s Organizational Chart. Resume identified and certificates verified.

20 None

10 Is adequate time allocated for the preparation, operation and completion of work?

20 Requirement met. Indirectly time is allocated via toolbox talks, JSA, Risk Assessment and Training.

20 None

11 Do Managers exhibit visible HSE leadership?

20 Requirement met. The organisation provided evidence of management involvement in safety meetings and workplace inspections. The managers then interviewed were able to reasonably identify risk and control measures within their area of responsibility. Documents seen HSE Audit Forms Monthly Safety – Minutes of meeting 30 March 2017.

20 None

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12 Managers conducting site visits to remote locations should demonstrate the following:

Their availability and attempts to visit remote locations.

Have a structured and depending on the risk levels, a documented approach to discussing the HSE aspects of work being carried out by their personnel on remote sites.

Have a structured approach to reviewing the experience of the personnel that carry out work at remote sites. This may include post job reviews; close out meetings or feedback from employees.

10/30 N/A – no Remote Site. Drafting Company – only one office.

Not Applicable

13 Does the organisation require managers to:

Conduct physical conditions tours of their work area?

Review inspection reports of equipment and physical conditions of the work environment?

Review work carried out under their control?

Be aware of the status of corrective actions?

Manage corrective actions associated with improved HSE performance?

5/25 Requirements met. Forms and Annual Management Review Reports seen in section 11. Measuring, Monitoring and Recording and Analysis of HSE performance (HSE manual 1st December 2016 Page 1 of 2) Management Procedure 11.41 Correction procedure 1st December 2016 Page 1 of 2.

25 None

Page 16 of 41

14 Does the Organisation have a documented HSE Performance Plan approved by Senior Management and the plan is in effect?

20 Requirements met. 1.5 HSE Performance Plan in HSE Manual 1st December 2015. HSE Performance Plan with leading and lagging Approved by the Managing Director seen.

20 None

15 Are employees HSE responsibilities defined and documented?

20 Requirement met. Evidence available in employees Job Description seen and signed 21/03/17.

20 None

16 Is there evidence of a process to indicate that the Organisation has communicated HSE responsibilities to employees?

20 Requirement met. Signed Job Descriptions available. - DTS F# 1.2 Attendance Log

dated 03/03/17. - Topic # 5 HSE responsibility.

20 None

17 Does the Organisation have a documented system to influence a positive safety culture?

20 Requirement met. - Safety Comes First

(programme) - Rewards programme - Monthly evaluation - Prize given quarterly. - Management Procedure 1.7.7

safety culture promotion procedure December 1st 2016 Approved.

- Evidence Certificate on file.

20 None

18 Are the records maintained for the system in use?

20 Requirement met. Bonus & Certificate issued on 30/03/17 Stephan Kavian Also Cash 15/04/16 Dale Ramsumair

20 None

19 Has a progressive disciplinary procedure been developed and implemented to address employee’s noncompliance to their general safety requirements, procedures and rules?

20 Requirement met. Management Procedure 1.8.1 Disciplinary Procedure for Non-Compliance with HSE. Expected

20 None

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Behaviour Page 1 of 3 HSE Manual December 1st 2016.

20 Has the system been communicated to employees?

20 Requirement met. The organisation has demonstrated that the system has been communicated to on 03/03/2017. Identify #13 on Policy & Procedure.

20 None

21 Has this system been effectively implemented and maintained on site?

20 Requirement met. The Disciplinary Policy endorsed by the Managing Director on December 1st 2016 has been implemented on site. During interviews and observations of employees it was verified that they exhibit the required HSE behaviours on site. Examples of HSE behaviours exhibited included completion of Job Safety Analysis and housekeeping

20 None

22 Does the Organisation have a policy empowering and requiring employees to stop work in unsafe conditions?

20 Requirement met. Evidence available. Policy Manual 1.9 Work Refusal Policy. Policy Manual 9.3 STOW Work Order. Page 1 of 2 HSE manual endorsed 1st December 2016 by Managing Director.

20 None

23 Do employees understand their rights to stop unsafe work?

20 Mandatory

Requirement met. All Employees interviewed were able to sufficiently describe their rights, requirements and process for stopping work that is unsafe.

20 None

24 Does the Organisation have a documented process for obtaining feedback from Client Organizations?

20 N/A

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25 Has the Organisation accepted invitations to discuss HSE performance with Customer Organisations?

20 N/A

26 Does the Organisation have a process for agreeing HSE expectations when working on multi-occupancy sites or projects and is there evidence of the process being implemented?

20 N/A

27 Does the Organisation have a documented process on the selection and appointment of contractors which includes HSE performance and is there evidence of the process being implemented?

20 N/A.

28 Are Sub-Contractors approved for use by the Operator?

20 N/A

Element 2- Legal Requirements and Document Control

29 Does the Organisation have a process for identifying applicable current and pending HSE legislation?

20/12 Min Requirement met. Policy Manual 2. Legal Requirements and Document Control. Page 2 of 4. 1st December 2016 seen

20 None

30 Does the Organisation have an assessable process to ensure compliance?

20/12 Min Mandatory

Requirement met. Evidence of compliance with HSE legislation exist as observed by the OSH Gap Analysis conducted December 1st 2016

20 None

31 How effective is the process used by the Organisation?

20/12 Min Mandatory

Requirement met. The OSH Gap analysis was available conducted by a qualified HSE Consultant. No Gaps.

20 None

Page 19 of 41

32 Has the Organisation responded to the requirements of a legal notice of violation where applicable?

20/12 Min Mandatory

No Legal Compliance Procedure. N/A.

33 Does the Organisation have a document management system that identifies:

The HSE documents and records that they are required to keep.

The method in which they are to be kept

The location they are to be kept in

The length of time that they should be kept?

20 Requirement Met. The organisation has developed a Management Procedure 2.2.1 Document Control Procedure – December 1st 2013 Approved. Page 1 of 3 HSE manual. Appendix 2.4 Master List of HSE Control Documents Rev 1 December 1st 2016.

20 None

34 Are the relevant HSE documents and records available at the relevant location(s) and easily retrievable

20 Requirement met. It was verified that HSE records were available at the location which can be assessed by everyone in the organisation.

20 None

Element 3- Risk and Change Management

35 Does the Organisation have a suitable and sufficient documented process for identifying all applicable hazards and risks?

20 Mandatory

Requirement met. Policy Manual 3.1 Risk Management Process. Policy Manual 3.1.2 Identification of Critical Activity Dec 1st 2016 Page 1 of 1. Management Procedure. 3.1.3 Procedure for Conducting Risk Assessment. - Risk Assessment seen 3rd

June 2016. Risk Matrix was seen.

20 None

36 Does the Organization have a suitable and sufficient documented risk assessment and management process in place?

10/100 50 Min

Mandatory

Requirement partially met. DTS has a documented Risk Management Process which identifies definition of critical activities, list of all task associated with the work, method to

80 The company has a documented Risk Management process however the system was not fully implemented as per the documented process.

Page 20 of 41

determine and record the residual risk, method to communicate the findings, method for approving the risk assessment, what is acceptable and unacceptable risk.

37 Have suitable and sufficient risk assessments been conducted?

20 Requirement partially met. Risk Assessment viewed were available for the task being assessed. A process exist for estimating the risk and the risk assessment seen.

16 The process utilized to rank the risk was not in alignment with the documented process.

38 How effectively is this risk assessment and management process applied?

20 Requirement partially met. Risk Assessment Process is utilized.

16 The Risk Assessment process was not utilized and fully understood the Managing Director and the Manager.

39 Are risk assessments conducted by person(s) with the necessary training and experience in the process?

20 Requirement partially met. The HSE Consultant leads the risk assessments.

16 The Managing Director and the Manager are key roles in the Risk Assessment process. They were not trained to conduct risk assessment.

40 Does the Organisation utilise personnel with expertise in risk assessment and/or subject matter experts to facilitate the process for complex work or when necessary?

20 N/A

41 When the Organisation works as part of a multi-occupancy site or multi-organisation group, is there evidence of agreement on the risk assessment process to be used on the project?

20 N/A

42 When the Organisation is the site controller (the Organisation owns/is wholly responsible for the site where work is to be conducted) on a project, is there evidence of providing risk assessment process specialist(s) to facilitate risk assessments?

20 N/A

Page 21 of 41

43 Are all risk assessments documented and entered onto a risk register?

20 Mandatory

Requirement met. Risk Assessments are documented and entered into a risk register. All risk assessment contains reference numbers, risk assessment team, date of assessment and the task to be assessed. Appendix 3.3.1 Risk Register December 1st 2016 Page 1 of 1. Seen.

20 None

44 Do the risk assessment documents indicate its validity period?

20

Requirement met. Validity seen on Risk Assessment.

20 None

45 Does the Risk Management process require that risk assessments be reviewed if the conditions on site change?

20 Mandatory

Requirement met. Evidence seen in Risk Management Process. Policy Manual 3.3 Risk Register Page 1 of 1 December 1st 2016.

20 None

46 Does the Organisation have a written policy and where relevant, written procedure for Safe Systems of work?

20 Requirement met. Safe System of Work Procedures seen SWP 1 Scanning.

20 None

47 Do the written procedures identify critical roles and responsibilities commensurate with the level of risk associated with work?

20 Requirement Met. The Safe Systems of Work Manual has identified critical roles.

20 None

48 Is there evidence to demonstrate that persons identified as having critical roles and responsibilities understand and accept their responsibilities?

20 Requirement met. Evidence seen in the job descriptions and training records.

20 None

49 Have the controls outlined in the procedures been communicated to relevant employees?

20 Requirement met. Evidence seen on training records conducted on 3 March 2017.

20 None

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50 Are relevant written procedures readily available at the relevant work sites?

20 Requirement met. Written procedures seen and available at the office.

20 None

51 Is there an audit schedule for the Safe Systems of Work system?

20 Requirement met. Audit schedule SWP 3.5.1 for 2017 was approved by the Managing Director.

20 None

52 Is there evidence of audits being conducted of the system?

20 Requirements met. Audit was conducted on 22nd March 2017. SWP 1 Scanning.

20 None

53 Have corrective actions been identified and are they managed?

20 Requirement met. DTS F#9.3 Corrective Action Log Action in log were implemented.

20 None

54 Does the Organisation have a documented Management of Change Procedure and is it used when needed?

20 N/A

Element 4- Planning, Goals and Targets

55 Is there a documented process defining how HSE is considered during business planning? If yes, please provide a suitable example of this process being applied. Is there evidence of it being used?

20 Requirement met. Policy Manual 4.1 Planning Goal & Target Rev 1 December 1st 2016. Signed by the Managing Director Business Plan date 1st August 2016 for a three year period seen Management Procedure 4.3.1 Planning Procedure Page 1 of 6. Seen.

20 None

56 Is a Senior HSE Professional involved in the business planning process?

20 N/A

57 Does the Organisation have a documented process for setting measurable HSE goals and targets

20 Requirement met. Policy Manual 4.2 Goals & Target Rev 1 December 1st 2016.Goals and

20 None

Page 23 of 41

that meet or exceed applicable standards?

Targets are reviewed and set at the end of year for the upcoming year during Management Review Meeting. Goals and Targets are posted on the notice board.

58 How effective is the process for setting and achieving HSE performance goals and targets?

20 Requirement met. HSE performance plan is developed together with monthly KPI which include leading and lagging indicator.

20 None

59 Are the HSE goals, targets and performance formally communicated to employees?

20 Requirement met. Goals & Targets posted on notice board. Communicated on 03/03/17 DTS F#1.2 Attendance Log and HSE Procedure training #10 seen.

20 None

60 Is there a documented up-to-date HSE plan which includes an organizational chart?

20 Requirement Met. Appendix 4.2 HSE plan available which identify an organisational chart showing report structural and roles to make the plan work.

20 None

61 Are there documented roles and responsibilities for individuals who are accountable for making the HSE Plan work?

20 Requirement met. The HSE organisational chart identifies specific roles and responsibilities of individuals who are accountable for making the HSE Plan work. Appendix 4.2 HSE Plan available.

20 None

62 Are there records to demonstrate that persons fulfil these roles and responsibilities where required?

20 Requirement met. Records are available such as training forms and completed audit forms.

20 None

63 Are job activities documented, listing the safeguards in place to protect those individuals on the job?

20 Requirement met. A generic JSA is conducted for the company operation. The JSA was initially conducted by the HSE Consultant identifying control measures.

20 None

Page 24 of 41

64 Does the Organization have a process for identifying HSE Critical Positions?

20 N/A for Low risk company

65 Are resumes and documents verified to ensure that they accurately reflect the qualification and experience of the person?


66 How effectively is this process being applied?


67 Does the Organisation have a system preventing multiple critical positions to be held by newly promoted or newly employed personnel?


68 Is there a process for developing method statements?


Element 5- HSE Competency and Training

69 Has the Organisation conducted a training needs analysis which includes the following topics?

Control of Work

Risk Assessment – Job Hazard Analysis

Emergency Response

Defensive Driving

Incident Reporting and Investigation

Environmental Awareness

Hazardous Communication

Personnel Protective Equipment

New Employee Induction

T-BOSIET

Confined Space Training

SCBA/ Respirator Training

Fall Protection/Fall Prevention Training

First Aid/ CPR

10/100 Mandatory Minimum

50

Requirement partially met. Management Procedure 5.1.1 Competence, Training and induction Procedure. Page 1 of 5 Date December 1st 2016 seen. Appendix 5.1 HSE Training Needs Matrix dated December 1st 2016 seen.

80 The training needs analysis did not identify all relevant training as per company scope.

Page 25 of 41

Banksman Training

Hot Work Safety

Authorised Gas Testing

Lock Out Tag Out

*Indicates special risk training

70 Does the Organization have a process to qualify internal and external trainers?

20 Requirement met. Management Procedure 5.1.1 Competence, Training and Induction Procedure seen. 5.4 Training Provider Selection Inviting Application 5.6 in-House Training seen.

20 None

71 Does your Organization maintain training records?

20 Requirement met. HSE Training Certificates and Attendance Register available as well as a Training Log which logs all training conducted.

20 None

72 How does the organization monitor effectiveness of training?

20 Requirement met. Evidence seen in Policy Manual 5 Competence Awareness and Training. Page 2 of 2 December 1st 2016.

20 None

73 Based on training records, verification interviews and observations and the level of risk associated with the job, do employees have the qualifications and competence to satisfactorily complete the work without posing a risk to themselves and others?

20 Requirement met. Training records were examined and matched against job descriptions. Interviews and observations were conducted on site and based on the Risk Profile the evidence would suggest that they do.

20 None

Element 6- Security

74 Is there a Personnel database in use?

20 Requirement met. The organisation has developed an electronic Personnel database which includes employee information such as current address and age. Also each employee file contains photos and

20 None

Page 26 of 41

relevant information seen in 6.1 Personnel Organization database.

75 Is there a documented process for carrying out background checks on new employees where applicable and is it applied?

20 Requirement met. Process documented in PM 6 Security section 6.2 Background check and recruitment seen.

20 None

76 Is there a process to control equipment?

20 Requirement met. Policy Manual 6 Security section 6.3 Control of Equipment. Delivery note for Fire Extinguisher. No other equipment held by the company.

20 None

77 Is there a Personnel Control Plan?

20 Requirement met. Management Procedure 6.4 Personnel Control Plan and database seen.

20 None

Element 7- Health and Hygiene

78 Does the Organisation have a documented Substance Abuse Policy to ensure compliance with T&T legislative requirements?

20 Mandatory

Requirement met. Policy Manual 7.1 Substance Abuse Management Policy Page 3 of 5 seen.

20 None

79 Is random drug and alcohol testing conducted and is with cause drug and alcohol testing conducted where applicable?

20/12 Min Mandatory

Requirement partially met. Evidence of Random Drug Testing conducted for site persons.

12 Random drug testing was not conducted as stated in the policy.

80 Has the policy been communicated to all employees?

20 Requirement met. The Policy was communicated on 3rd March 2017.

20 None

81 Is there a system in place to ensure that employees who are required, undergo a fit to work exam by a certified physician?

20 Mandatory

Requirement met. Evidence documented in the Management Procedure 7.2 fit Work in HSE Manual. Signed and December 1st 2016 Rev 1.

20 None

82 Have employees working offshore undergone a medical examination

20 NA – No employees required to work offshore.

Page 27 of 41

meeting the requirements of the OGUK Medical Guidelines?

83 Has the Organisation developed a documented Health Risk Management Plan where applicable?

20 Requirement met. Policy Manual 7.3.1 Health Risk Management Plan. Page 1 of 8 dated December 1st 2016 and Policy Manual 7.3 Health Hazard 3rd June 2016 seen.

20 None

84 Is there evidence of implementation of the Health Risk Management Plan where applicable based on the findings of the Health Risk Assessment?

20 Requirement partially met. A Health Risk Assessment Plan was developed based on the findings from the Health Risk Assessment.

12 Health Risk Assessment not fully implemented.

85 Do Organisations provide access to medical and first aid services and equipment?

20 Mandatory

Requirement met. Trained First Aider on 12/12/2015 valid until 12/12/17.First aid Kit available.

20 None

86 Has an arrangement been made to transport personnel to a receiving medical facility?

20 Requirement met. Evidence available in Policy Manual 7.3.1 Health Risk Management Plan Section Heading Client Facility first aider Supplies.

20 None

Element 8- Environmental Management

87 Does the Organisation have an Environmental Policy Statement (only if there is significant environmental impact)?

20 Requirement met. The Company has an HSE Policy Statement endorsed by the Managing Director which takes into consideration Environmental concerns.

20 None

88 Has this been effectively communicated to staff?

20 Requirement met. The Policy Statement was communicated on the Policy was communicated on 3rd March 2017.

20 None

89 Does the Organisation have a documented process and method for identifying aspects and impacts?

20 Mandatory

Requirement met. Management Procedure 8.1 Assessment of Environmental Aspect.

20 None

Page 28 of 41

90 Has the Organisation conducted a suitable and sufficient environmental aspect/impact assessment in line with the legal requirements of Trinidad and Tobago?

20 Mandatory

Requirement met. Legal Gap Analysis conducted covering Environmental Act, Water and Noise Pollution have been conducted.

20 None

91 Is there a documented Environmental Management Plan and Programme in place? (only if there is significant environmental impact)

20 N/A

92 Is the Environmental Management Plan/Programme/Process being implemented?(only if there is significant environmental impact)

20 N/A

93 Are there documented roles and responsibilities for relevant personnel who support the EMS? (For organisations with little impact, ensure that the conducting of an impact/aspect assessment is captured as part of the job description of critical personnel)

20 N/A

94 Have these roles and responsibilities been communicated to these personnel?

20 N/A

95 Does the Organisation have the relevant EMS documentation?

20 N/A

96 Has the Organisation identified and listed the probable environmental emergency scenarios it may encounter? (only If significant environmental impact exist)

20 N/A

Page 29 of 41

97 Has the Organisation developed Emergency Response Plans based on these scenarios identified? (only If significant environmental impact exist)

20 N/A

98 Is there an approved schedule for the conduct of emergency response drills? (only If significant environmental impact exist)

20 N/A

99 Are formal reports written up on the effectiveness of the drills? (only If significant environmental impact exist)

20 N/A

100 Are formal EMS audits conducted every 12 months? (only If significant environmental impact exist)

20 N/A

101 Are audits conducted by a competent auditor(s)? (only If significant environmental impact exist)

20 N/A

102 Are action plans developed based on the audit findings and are they being closed out? (only If significant environmental impact exist)

20 N/A

Element 9- Incident Reporting and Investigation

103 Does the Organisation have a documented system for reporting, investigating and managing incidents?

20 Mandatory

Requirement met. Evidence available in Policy Manual 9.1 Incident Reporting and Investigation December 1st 2016 – endorsed by the Managing Director.

20 None

104 Does the Organisation have a documented process for determining the level of investigation and is there evidence of implementation of this process?

20 Requirement met. The organisation has a documented process for determining the level of investigation. Policy Manual 9.1 Incident Reporting and Investigation endorsed on December 1st 2016 by the Managing Director.

20 None

Page 30 of 41

Section called System and Management Factors.

105 Are personnel trained in incident investigation?

20 Partially met. Internal Accident Investigation conducted on 3/3/16. All relevant person not adequately trained – due to interview.

12 No training manual seen. Interview suggest that the internal training conducted was not in-depth as the interviewees were not able to articulate what is root cause analysis.

106 Is there evidence of designated personnel actually conducting investigations where required?

20 Not Applicable. As no incident has been recorded for 2016

107 Does the documented process include the requirement to stop operations following notification of a critical incident?

20 Requirement met. Evidence seen in the Policy Manual 9.3 Stop Work Order. Section Critical Incident Work Stoppage. Includes requirement to stop operations following a critical incident The procedure allows for only the Managing Director to authorise the resumption of work.

20 None

108 Is this process in practice and known by all levels of supervision?

20 Requirement met. Interviews with Managing Director, Manager and Employees demonstrated employees could relate the STOP work process following a critical incident

20 None

Element 10- Crisis and Emergency Management

109 Is there a documented process for identifying foreseeable emergency situations?

20 Mandatory

Requirement met. Evidence seen in the Policy Manual 10 Crisis and Emergency Management. Risk Assessment conducted.

20 None

110 Are probable consequences arising out of the emergency situation also identified and documented?

20 Mandatory

Requirement met. DTS has identified and documented probable consequences arising out

20 None

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of the emergency situations in the Emergency Response Plan. Policy Manual 10 Crisis and Emergency Management. 10.1 Systematic approach Risk Assessment process seen.

111 Has the Organisation developed emergency response plans based on the emergency scenarios identified?

20 Mandatory

Requirement met. Evidence available Emergency Response Plan 10.1 seen.

20 None

112 Are these available to staff?

20 Mandatory

Requirement met. Available via hard copies and soft copy.

20 None

113 Have these been effectively communicated to staff?

20 Mandatory

Requirement met. Training records were produced for communication of the Emergency Response Plan to staff on 3/3/17.

20 None

114 Are resources documented in the emergency response plan(s)?

20 Mandatory

Requirement met. Resources are documented in the Emergency Response Plan. 10.3 Resources for emergency Response Plan

- Fire Fighting - First Aid

20 None

115 Are these resources tested and/or inspected periodically?

20 Mandatory

Requirement met. Records kept for First Aid Kits, Fire Extinguishers. Inspections and Smoke Detectors. Monthly – First Aid, Smoke Detectors Semi-annual Fire Extinguisher inspection, Air Horn.

20 None

116 Are training needs defined for personnel who have specific roles in the emergency response plans?

20 Mandatory

Requirement met. Training needs for persons who have specific roles in emergency response have been identified in the Training Needs

20 None

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Analysis for Fire Warden and First Aiders

117 Have these persons been trained in emergency response?

20 Mandatory

Requirement met. Persons identified for training on the training needs analysis have been trained. Emergency Response training was conducted on 12/12/15

20 None

118 Can employees with responsibilities articulate their roles and responsibilities?

20 Mandatory

Requirement partially met. Based on interview persons were trained.

16 Interviews conducted suggest that employees were unable to fully articulate their roles as it relates to the Emergency Procedures.

119 Is the general workforce aware of the actions that must be taken in the event of an emergency?

20 Mandatory

Requirement met. Managing Director was able to identify Emergency Procedure during Orientation.

20 None

120 Is there indication of the frequency of the refresher training?

20 Requirement met. Evidence documented in the Training Matrix Appendix 5.1 and Training Log which identifies the frequency of the refresher training.

20 None

121 Is there a documented schedule for emergency response drills?

20 Mandatory

Requirement met. Emergency Drill schedule available. Appendix 8.4 HSE Drill Schedule 2017.

20 None

122 Are the emergency drills recorded and corrective actions identified and closed where applicable?

20 Requirement met. Evidence of drill reports which captures information on corrective action identified. Appendix 8.5 HSE Drill Report Conducted 28/03-17 for a paper cut incident.

20 None

Element 11- Monitoring, Audit and Review

123 Are there clearly defined HSE measurement criteria?

20 Requirement met. The organisation has clearly defined its HSE Criteria via Policy Manual Measuring, Monitoring, Recording and Analysis. HSE Performance Goals & Targets Appendix 4.1

20 None

Page 33 of 41

124 Is there a system for documenting the HSE performance?

20 Requirement met. Evidence available in the form of a HSE Performance Plan. Appendix 1.5.1 HSE Performance Plan 2017 has Monthly KPI 2017 documented.

20 None

125 Is HSE Performance analysed?

20 Requirement partially met. HSE performance is analysed from the Appendix 1.5.1 HSE Performance Plan during Management Review conducted 01/03/17

16 HSE is analyses monthly however there is no management review report available.

126 Is there a documented procedure for conducting audits of the HSE system within the organisation?

20 Requirement met. Evidence seen in the Policy Manual Measuring, Monitoring, Recording and Analysis. Audit schedule Appendix 11.1 (2017 signed by Managing Director).

20 None

127 Is there a pre-planned schedule of inspections and audits to be carried out?

20 Requirement met. Audit Schedule 11.1 available endorsed by the managing director which identifies the relevant persons required to conduct audits.

20 None

128 Are there records of HSE Inspections?

20 Requirement met. Records of inspections are available. HSE Inspection conducted monthly.

20 None

129 Are there records of HSE Audits? 20 Requirement met. HSE Audit Report. Dated 10 March 2017 – Element 3 Risk Conducted by HSE Consultant seen.

20 None

130 Have corrective actions been identified and approved?

20 Requirement met. The corrective action has been endorsed by the Managing director. DTS F# 9.3 Corrective Action Log

20 None

131 Is there documentary evidence that management reviews are conducted?

20 Requirement met. Evidence available in annual management review minutes of meeting 01-03-17 Sign sheet both with Managing Director and Director.

20 None

Page 34 of 41

132 Do Managers understand the process used to review HSE Management System?

20 Requirement met. Interview process where manager demonstrated that she understood the process.

20 None

133 Does Management participate in reviews for sites not under their control?

20 Not Applicable (N/A).

134 How often is the general HSE policy statement reviewed and re-issued?

20 Requirement met. Every 3 years. Policy Manual 11.4 HSE Policy and Standard are reviewed.

20 None

135 How often is the HSE Management System reviewed?

20 Requirement met. HSEM System is reviewed every 3 Years as stated in the HSE Manual.

20 None

Page 35 of 41

Page 36 of 41

APPENDIX V STOW-TT SCORING CRITERIA

STOW-TT SCORING CRITERIA APPLICANT SCORES

Question Number

Scoring

Mandatory Legal Requirements

Other Requirements

Mandatory Legal

Requirements

Other Requirements

% Total Possible

Score Total Possible

Score

Element 1 - HSE Management, Leadership and Accountability

1 PJ 20 20

2 PJ 20 16

3 PJ 20 20

4 PJ 20 20

5 PJ 20 20

6 PJ 20 20

7 PJ 20 20

8 PJ 20 20

9 PJ 20 20

10 PJ 20 20

11 PJ 20 20

12 P/W 0 0

13 P/W 25 25

14 PJ 20 20

15 PJ 20 20

16 PJ 20 20

17 PJ 20 20

18 PJ 20 20

19 PJ 20 20

20 PJ 20 20

21 PJ 20 20

22 PJ 20 20

23 PJ 20 20

24 PJ 0

25 PJ 0

26 PJ 0

27 PJ 0

28 PJ 0

Element 1 Sub-Total 60 385 60 381 99.00%

Element 2 - Legal Requirements and Document Control

29 PJ 20 20

30 PJ 20 20

31 PJ 20 20

32 PJ 0 0

33 PJ 20 20

34 PJ 20 20


Element 3 - Risk and Change Management

Page 37 of 41

35 PJ 20 20

36 P/W 100 80

37 PJ 20 16

38 PJ 20 16

39 PJ 20 16

40 PJ 0

41 PJ 0

42 PJ 0

43 PJ 20 20

44 PJ 20 20

45 PJ 20 20

46 20 20

47 20 20

48 20 20

49 20 20

50 20 20

51 20 20

52 20 20

53 20 20

54 0


Element 4 - Planning, Goals and Targets

55 PJ 20 20

56 PJ 0

57 PJ 20 20

58 PJ 20 20

59 PJ 20 20

60 PJ 20 20

61 PJ 20 20

62 PJ 20 20

63 PJ 20 20

64 PJ 0

65 PJ 0

66 PJ 0

67 PJ 0

68 PJ 0


Element 5- HSE Competency

69 P/W 100 80

70 PJ 20 20

71 PJ 20 20

72 PJ 20 20

73 PJ 20 20


Element 6 - Security

74 PJ 20 20

75 PJ 20 20

76 PJ 20 20

77 PJ 20 20

Page 38 of 41


Element 7 - Health and Hygiene

78 PJ 20 20

79 PJ 20 12

80 PJ 20 20

81 PJ 20 20

82 PJ 0

83 PJ 20 20

84 PJ 20 12

85 PJ 20 20

86 PJ 20 20


Element 8- Environmental Management

87 PJ 20 20

88 PJ 20 20

89 PJ 20 20

90 PJ 20 20

91 PJ 0

92 PJ 0

93 PJ 0

94 PJ 0

95 PJ 0

96 PJ 0

97 PJ 0

98 PJ 0

99 PJ 0

100 PJ 0

101 PJ 0

102 PJ 0


Element 9 - Incident Reporting and Investigation

103 PJ 20 20

104 PJ 20 20

105 PJ 20 12

106 PJ 0

107 PJ 20 20

108 PJ 20 20


Element 10 - Crisis and Emergency Management

109 PJ 20 20

110 PJ 20 20

111 PJ 20 20

112 PJ 20 20

113 PJ 20 20

114 PJ 20 20

115 PJ 20 20

116 PJ 20 20

117 PJ 20 20

118 PJ 20 16

Page 39 of 41

119 PJ 20 20

120 PJ 20 20

121 PJ 20 20

122 PJ 20 20


Element 11 - Monitoring, Audit and Review

123 PJ 20 20

124 PJ 20 20

125 PJ 20 16

126 PJ 20 20

127 PJ 20 20

128 PJ 20 20

129 PJ 20 20

130 PJ 20 20

131 PJ 20 20

132 PJ 20 20

133 PJ 0

134 PJ 20 20

135 PJ 20 20


Total Score (all elements)

740 1485 692 1445 96.04%

Physical Condition Tour

100.00%

Page 40 of 41

APPENDIX 3. PHYSICAL CONDITIONS EVALUATION RECORD

Page 41 of 41

SAFETY AND HEALTH PHYSICAL CONDITIONS EVALUATION RECORD

{ATEGORY NUMBER CHECKED (C) IIUMBERSUBSTANDARD(S)

VALUEFACTOR SCORE

A, GENERALWORKPLACE CONDITIONS

10

1. Floors (Walking & Working Surfaces) tt2. Aisles and Passageways tl I

Platforms/Scaffoldine o4, Iadders a5. Starrs o6. Exits/Egress rt7 Roadways ' o

TOTALS'A' c=8 s=o IOB. FACILITIES

15

8. Ventilation rt9 Lighting l\l t I

10. Noise Exposure

11. Ergonomics lltTOTALS'B' 'il s=a ts

C. MATERIALS

20

12 Stacking and Storage I3 Chemicals and Fuels o4 Comoressed Gases o5. Waste Disposal t

TOTALS'C' c=3 S o zoD. EQUIPMENT

25

16. Hand and Portable Tools

17. Machine Tools and Guardine

18, Mobile Equipment

19. Lifting Gear and Equipment

20. Materials-HandlingEquipment

21. Conveyors

22. Pressure Vessels

23. Mechanical Power Systems

24 Hydraulic Power Systems

25. Pneumatic Power Systems

26. Electrical Power Systems

27. Valves and Mechanical Controls

TOTALS'D' '= *A S= N1A N/4

SAFETY AND HEALTH PHYSICAL CONDITIONS EVALUATION RECORD

. CATEGORY NUMBER CHECKDD (C)NUMBER

SUBSTANDARD(S)VALUE

FACTOR SCORf,

E. IIAZARDCONTROLS

15

28 Lock-Out Systems N/A29. Signs and Tags rt30. Color Coding NI/AI Materials Labeling N/A

32. Warning Systems tTOTALS'E' 2 s="o ts

F. EMERGENCYSYSTEMS

15

33. Emergencylnstructions I34 Fire Protection ll I

35. Eye Baths and Showen NIA36 First Aid Kits/Stations

t37. Emergency Rescue Equipment

ITOTALS'F' c=1 S o ls

G. OTHER

38

39

TOTALS'G' c=It/vr

q=' {/kTOTAL VALUE FACTOR 100 foo

H. PERSONAL PROTECTI\'E EQINPMENT NOTED BUT NOT SCORED

40. Arm/ElboilShoulderprotection

4l Chest Protection

42 Eye Protection

43. FootProtection

44. Hand Protection

45. Head Protection

46. HearingProtection

47. Knee Protection

48 Leg Protection :!

49 RadiationProtection

50. RespiratoryProtection

51 TemperatureProtection

52. Other Protection

Audit Substandard Gonditions Summary

z

l9

TYPE OF REPORT

E tnitiat E Follow-up al

LocArIoN: DTs L*cl + oFtr. c-€DArE: 2l Apntu 2or"7 "'' SFf=(,vt*.ls ?,+drz, e

LIST OF CONDITIONS AND CORRECTIVE ACTION

a(zi oT /*?vr y 6ft4L5 'l

Class "A" - likelihood of death, toss of body part; pemment loss or major sfucture of itemClass "B" - likelihood of serious intemptive injury, serious reprative dmageClass "C" - likelihood ofminor loss