A guide to the Offshore Installations (Safety Case) Regulations 2005

A guide to the Offshore Installations (Safety Case) Regulations 2005 Guidance on Regulations

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This guide will help people understand the requirements of the Offshore Installations (Safety Case) Regulations 2005. It is a simple explanation of the main provisions of the Regulations to assist those who have duties under the Regulations (including licensees, installation operators, installation owners, well operators) and others involved with offshore activities.

The main aim of the Regulations is to reduce the risks from major accident hazards to the health and safety of those working on offshore installations or in connected activities. The Regulations implement the central recommendation of Lord Cullen’s report on the public inquiry into the Piper Alpha disaster: that the operator or owner of every offshore installation should be required to prepare a safety case and submit it to HSE for acceptance.

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This guidance is issued by the Health and Safety Executive. Following the guidance is not compulsory and you are free to take other action. But if you do follow the guidance you will normally be doing enough to comply with the law. Health and safety inspectors seek to secure compliance with the law and may refer to this guidance as illustrating good practice.

Contents Preface 5

Introduction 5

Regulations and guidance 14

Regulation 1 Citation and commencement 14 Regulation 2 Interpretation 14 Regulation 3 Communication and storage of information by electronic means 28 Regulation 4 Application 29 Regulation 5 Duties of licensee 29 Regulation 6 Design and relocation notifications for production installation 31 Regulation 7 Safety case for production installation 34 Regulation 8 Safety case for non-production installation 35 Regulation 8 Design notification and safety case for non-production installation to be converted 36 Regulation 10 Notification of combined operations 38 Regulation 11 Safety case for dismantling fixed installation 39 Regulation 12 Management of health and safety and control of major accident hazards 41 Regulation 13 Review of safety case 43 Regulation 14 Revision of safety case 45 Regulation 15 Power of Executive in relation to safety cases and related documents 47 Regulation 16 Duty to conform with safety case 49 Regulation 17 Notification of well operations 49 Regulation 18 Keeping of documents 51 Regulation 19 Verification schemes 53 Regulation 20 Review and revision of verification schemes 54 Regulation 21 Continuing effect of verification schemes 55 Regulation 22 Defence 55 Regulation 23 Exemptions 56 Regulation 24 Appeals 57 Regulation 25 Amendments 58 Regulation 26 Revocation 58 Regulation 27 Transitional provisions 58

Schedules and guidance 60

Schedule 1 Particulars to be included in a design notification or a relocation notification 60 Schedule 2 Particulars to be included in a safety case for the operation of a production installation 62 Schedule 3 Particulars to be included in a safety case for a non-production installation 67 Schedule 4 Particulars to be included in a notification of combined operations 71 Schedule 5 Particulars to be included in a current safety case in respect of the dismantling of a fixed installation 72 Schedule 6 Particulars to be included in a notification of well operations 72 Schedule 7 Matters to be provided for in a verification scheme 76 Schedule 8 Appeals 79 Schedule 9 Amendments 83

References 89

Useful addresses 91

List of abbreviations used 91

Further information 93

Preface This is a guide to the Offshore Installations (Safety Case) Regulations 2005 (SI 2005/3117). The guide is intended to help people who may be affected by the Regulations to understand what the Regulations require. It is a simple explanation of the main provisions of the Regulations to assist those who have duties under the Regulations (including licensees, installation operators, installation owners, well operators) and others involved with offshore activities.

Introduction 1 The Offshore Installations (Safety Case) Regulations 2005 (OSCR)1 came into force on 6 April 2006. They replace and revoke the previous 1992 Regulations subject to certain transitional arrangements.

2 The primary aim of the Regulations is to reduce the risks from major accident hazards to the health and safety of the workforce employed on offshore installations or in connected activities. The Regulations implement the central recommendation of Lord Cullen’s report on the public inquiry into the Piper Alpha disaster.2 This was that the operator or owner of every offshore installation should be required to prepare a safety case and submit it to HSE for acceptance.

Requirements to submit safety cases and notifications for installations

3 Safety cases are required for all installations operating, or to be operated, in British waters and in UK designated areas of the continental shelf. It is an offence to operate an installation without a current safety case that has been accepted by HSE - see paragraphs 10-14. Different requirements apply to installations used for producing oil and gas and to those used for other purposes, such as drilling, exploration or providing accommodation. The duty to submit safety cases and notifications is generally placed on a single duty holder in respect of each type of installation, namely the operator of a production installation and the owner of a non-production installation.

4 For new production installations to be established offshore, operators must send a notification to HSE at the early design stage. Notification is also required if a production installation is to be moved to a new location or if a non- production installation is to be converted to a production installation. Notification must be followed by submission of a safety case, for HSE acceptance, before the installation can be operated. If a production installation moving to a new location already has an accepted safety case, the operator must submit a revision of the case to HSE for acceptance. A revision to the safety case must be submitted to and accepted by HSE before a fixed installation is dismantled.

5 For non-production installations, the owner must submit a safety case for HSE acceptance before moving the installation in UK waters for the purpose of operating it there. If a non-production installation is to be converted to a production installation the owner must send a design notification and the operator must submit a revision of the safety case for HSE acceptance.

6 Further notifications are required when installations engage in combined operations, to cover the specific features of such operations. The combined operations notification complements the existing safety cases by (among other things) identifying any new or changed hazards arising from the combined operation, and describing how the installations’ management systems will be co- ordinated to control major accident risks.

Purpose of a safety case

7 A safety case is a document that gives confidence to both the duty holder and HSE that the duty holder has the ability and means to control major accident risks effectively. It provides an extra level of regulatory control on top of regulations such as the Offshore Installations (Prevention of Fire and Explosion, and Emergency Response) Regulations 1995 (PFEER)3 and the Offshore Installations and Wells (Design and Construction, etc) Regulations 1996 (DCR),4 justified by the major accident potential of the offshore activities within scope.

8 The OSCR do not set standards for the control of major accident risks. These are set by PFEER, DCR and other regulations, as well as by the Health and Safety at Work etc Act 1974 (the HSW Act)5 - see paragraph 26. A safety case demonstrates that the duty holder has arrangements in place which, if implemented, are capable of achieving compliance with these legal objectives. This is what HSE will look for when making a decision on whether or not to accept a safety case - see paragraph 12. The safety case provides a comprehensive core document that can be used as a check by both the duty holder and HSE that the accepted risk control measures and the health and safety management systems are in place and operate as they should.

9 HSC’s policy statement on permissioning regimes explains the purpose of permissioning regimes in some detail.6 It acknowledges they are an addition to the general legal framework for health and safety, which is why they are only introduced where work activities involve significant hazards, risks or public concern. Paragraph 7 provides information on what is a safety case.

Acceptance of safety cases

10 HSE acceptance is required for all safety cases plus material revisions to safety cases. Acceptance is not defined in the Regulations, but its meaning follows Principle 4 of the HSC policy statement on permissioning regimes. This explains that ‘acceptance’ requires satisfaction with the duty holder’s approach to identifying and meeting health and safety needs. HSE ‘accepts’ the validity of the described approach as being capable, if implemented as described, of achieving the necessary degree of risk control, but HSE does not confirm the outcomes of that approach. This is in line with Lord Cullen’s original concept of the safety case.

11 Thus HSE will accept a safety case or a revision under these Regulations when duty holders demonstrate and describe specified matters to HSE’s satisfaction. Acceptance will be based on HSE’s judgement that the arrangements and measures described in the safety case taken as a whole are likely to achieve compliance if implemented as described. To give acceptance HSE does not need to be satisfied that compliance will be achieved - this confirmation will be made by post-acceptance programmes of inspection and enforcement, based on the accepted safety case. Acceptance does not guarantee the safety of the installation or its operations.

12 In making an acceptance decision HSE will take a considered view on which elements of a particular safety case should be examined in greater depth and which need not. The key criterion will be whether a safety case contains sufficient information to enable HSE to make a decision on acceptance. This provides flexibility in the assessment process. HSE’s Assessment principles for offshore safety cases (APOSC)7 provides a detailed list of principles that need to be addressed to ensure the safety case includes the relevant information. Safety case handling and assessment manual - principles and procedures (SCHAM)8 sets out HSE’s approach to assessing safety cases and gives an insight as to how and why decisions are reached by HSE. These principles, safety case assessment procedures and criteria promote proper and consistent assessment of safety cases by HSE and are available on the HSE website.

13 HSE will work with duty holders to ensure safety case submissions are acceptable. However, if HSE is unable to accept a safety case, the Regulations provide the duty holder with a right of appeal to the Secretary of State.

14 Following acceptance, the duty holder has a duty to ensure that the installation is operated in conformity with the management system and other arrangements described in the safety case.

Reviews and revisions

15 Safety cases are intended to be living documents, kept up to date and revised as necessary during the operational life of the installation. The duty holder must revise an accepted safety case whenever appropriate to ensure the case remains current and reflects operational reality on the installation. Revisions that make a material change to the safety case must be submitted to HSE for acceptance. A material change is likely to be one that changes the basis on which the original safety case was accepted. In addition, the duty holder must carry out a thorough review of the current safety case at least every five years or as directed by HSE. HSE has general powers to inspect the conduct of such reviews and to look at current safety cases at any time, supplemented by powers under regulation 15(4) to look at a developing safety case and related documents.

16 Once given, HSE acceptance of a safety case may last as long as the installation to which it applies. HSE can prevent material changes taking effect by not accepting the safety case revision describing them. If HSE considers material changes should be made, HSE may direct a revision of a safety case that would then be submitted for acceptance. In the unlikely event that a directed revision is unacceptable, HSE may suspend an existing accepted safety case, subject to a right of appeal to the Secretary of State.

Notifications

17 Notifications, whether of design, relocation, combined operations or well operations, do not require HSE acceptance. Apart from design or relocation notifications, for which HSE has three months in which to comment, the duty holder need not wait for any other form of communication from HSE before proceeding. The main aim of notifications, particularly at the early design stage, is to encourage a constructive dialogue between duty holders and HSE. This will help to smooth subsequent development of safety cases and inform HSE’s inspection plans. If the information notified gives cause for concern, HSE inspectors may use powers under the HSW Act, for example to request further information or to take enforcement action.

18 The Regulations require the well operator to send prior written notice of well operations from an installation or vessel. Well notifications supplement existing safety cases, and combined operations notifications, by providing well-specific information not likely to be contained in a safety case.

Relationship with other health and safety legislation

19 The OSCR are the cornerstone of the offshore health and safety regime. As explained in paragraph 7, they require duty holders to demonstrate their ability to comply with the objectives set by other health and safety legislation applying to the control of major accident risks offshore. This includes the relevant parts of three sets of offshore-specific regulations, namely the Offshore Installations and Pipeline Works (Management and Administration) Regulations 1995 (MAR),9 PFEER and DCR.

20 MAR covers such matters as the appointment of installation managers, the use of permit-to-work systems, communication arrangements, helideck operations, records of persons on board and the collection of meteorological and oceanographic information. The organisation and arrangements to meet these requirements will form part of the duty holder’s management system, for the purposes of the safety case demonstration required under OSCR regulation 12(1)(a).

21 PFEER requires measures to prevent fires and explosions on offshore installations, to protect people from the effects of any which do occur and to secure effective emergency response. The organisation and arrangements to meet these requirements will form part of the management system for the purposes of the safety case demonstration under OSCR regulation 12(1)(a).

22 In addition, the results of the PFEER regulation 5 assessment will contribute to the demonstration required by OSCR regulation 12(1)(c) and (d). This requires the duty holder to show that major accident hazards have been identified, their risks have been evaluated and action has been taken to comply with the relevant statutory provisions. Schedules 2, 3 and 5 require descriptions of the arrangements to comply with PFEER regulation 4(1), the general duty to protect people from fire and explosion, and to secure emergency response.

23 DCR includes requirements for safeguarding the integrity of an installation throughout its life cycle, from design and construction, through operation and maintenance, to decommissioning and dismantling. Both DCR and OSCR verification provisions require consideration of hazards at the design stage to encourage hazard elimination at source or, where this is not feasible, to ensure that risks are reduced to the lowest reasonably practicable level.

24 Compliance with DCR will contribute to compliance with OSCR. For example, DCR does not allow duty holders to operate an installation unless the appropriate operational limits, and the environmental conditions in which the installation may safely operate, have been recorded. These records, which must be kept up to date, will contribute to the documentation needed for the safety case. Schedules 1- 3 require descriptions of the arrangements to comply with provisions of DCR.

25 The Offshore Installations (Safety Representatives and Safety Committees) Regulations 1989 (OSRSCR) are also relevant.10 These Regulations specify ways in which safety representatives and committees are to be informed and consulted about safety cases and related matters, including preparing, reviewing or revising safety cases. See paragraphs 37-41 on workforce involvement.

26 In addition, the general provisions of the HSW Act and associated regulations such as the Management of Health and Safety at Work Regulations 1999 (SI 1999/3242) (MHSWR)11 and the Provision and Use of Work Equipment Regulations 1998 (SI 1998/2306) (PUWER)12 apply to all offshore employers, including those who are also duty holders under OSCR and the other offshore-specific regulations.

27 Further guidance on these interfaces is included in the following HSE publications and in the remaining paragraphs of this introduction:

(a) A guide to the Offshore Installations and Pipeline Works (Management and Administration) Regulations 1995. Guidance on Regulations;13 (b) Prevention of fire and explosion, and emergency response on offshore installations. Offshore Installations (Prevention of Fire and Explosion, and Emergency Response) Regulations 1995. Approved Code of Practice and guidance;14 (c) A guide to the integrity, workplace environment and miscellaneous aspects of the Offshore Installations and Wells (Design and Construction, etc) Regulations 1996;15 (d) A guide to the well aspects of the Offshore Installations and Wells (Design and Construction, etc) Regulations 1996. Guidance on Regulations;16 (e) Management of health and safety at work. Management of Health and Safety at Work Regulations 1999. Approved Code of Practice;17 (f) A guide to the Pipelines Safety Regulations 1996. Guidance on Regulations.18

Safety cases and verification

28 Regulations 2(5)-(7), 18(3), 19-22 and Schedule 7