3276 Guidance on meeting expectations of EI Process safety management framework element 12: Management of change and project management

Actions

Identify and appoint responsible persons; define delegated authorities for decision making

Identify and appoint persons who will have defined roles and responsibilities for each aspect of the arrangements for leadership, commitment and responsibility.

Deliverables

Defined roles and responsibilities.

Agreed list of responsible persons who will:

• act as element owner, and
• carry out each aspect of the arrangements for the element.

Defined delegated authorities for decision making.

Agreed list of delegated authorities for each identified responsible person/position.

Frequency

During implementation; then as required.

Guidance notes:

The senior accountable person, typically a director, business unit (BU) leader or site manager should ensure that accountabilities and responsibilities are assigned for each step in the process. Typically, this can be achieved by appointing an element owner who will work with line managers to agree and assign these accountabilities and responsibilities.

Typically, the element owner should be a senior line manager.

During the implementation phase the element owner should coordinate the implementation of the element across the organisation, BU or site on behalf of the senior accountable person, working with other senior line managers to ensure that the implementation is appropriately planned and resourced and that any issues are resolved.

The element owner should also ensure that delegated authorities for decision making within the element are defined and approved.

Following implementation, during the operational phase the element owner should work with the other senior line managers to ensure that the element continues to operate as intended. In effect the element owner should act as a coach to the management team, building their understanding and confidence in the use of the element.

Actions

Ensure competence of appointed responsible persons

Deliverables

Training material.

Competency assessment.

Training schedule.

Competent persons.

Frequency

During implementation; then as required.

Guidance notes:

The element owner should ensure that the required competencies are defined and agreed for all persons with assigned roles and responsibilities within the element, and that each of these people is trained and coached appropriately to develop these required competencies.

They should also ensure that training and development programmes and routine personnel performance appraisals take into account these required competencies. This should be accomplished by means of Guidance on meeting expectations of EI Process safety management framework Element 3: Employee selection, placement and competency, and health assurance.

Actions

Define change categories and criteria for classification

Define change categories and criteria for classification as either high risk or low risk changes.

Deliverables

Agreed list of change categories.

Approved criteria for classification of changes as either high risk or low risk.

Frequency

During implementation; then updated as required (review annually).

Guidance notes:

The organisation should define clear categories for the different types of change which the organisation may expect to see, and for each one identify the approach to risk identification and assessment which should be adopted for each different type of change. The approach to risk identification and assessment should address risks to:

• health and safety (including process safety);
• environment;
• reputation;
• security;
• third party assets, and
• business continuity.

The change categories should include:

• assets or equipment;
• operations or operating procedures;
• products, materials or substances;
• organisation or personnel;
• software or control systems;
• designs or specifications;
• standards or practices;
• inspection, maintenance or testing programmes;
• decommissioning, dismantling, disposal, and
• mothballing.

It is also helpful to define the criteria for differentiating between high and low risk changes, together with the risk assessment approach and review arrangements which should be adopted for each of these classifications.

During the implementation phase the element owner should ensure that these are clearly defined and ensure that they are incorporated into the training and competency assurance for the personnel who will be expected to make use of the MoC and project management arrangements.

These categories and criteria should be reviewed and approved by personnel with the delegated authority to do so.

Actions 

Develop project basis

Deliverables

Agreed project basis:

• identified issue or opportunity;
• incentives to progress;
• identified options to address issue or capture opportunity;
• outline project implementation plan, and
• appropriate class of cost estimate and schedule.

Completed risk assessment.

Decision to progress or stop.

Identified 'technical queries'.

Issues to be addressed in the next phase.

Frequency

As required by the schedule.

Guidance notes:

Discretionary expenditure on 'capital' or 'expense' projects is typically used to either remove unacceptable risk (HS&E, reputation, business interruption, financial) or to capture opportunities (justified and affordable return on investment). Developing the portfolio of capital and expense projects which need to be progressed within a budget period (budget development) can be quite challenging. A suggested approach to this is shown in Annex J.

The project basis should address the issue which needs to be solved or the opportunity to be captured. At this stage the primary focus should be on the incentives and justification for addressing the issue or capturing the opportunity.

The project basis should identify a range of options to address the issue or capture the opportunity; selection of the most suitable option is carried out in the next stage.

At this initial stage of the project development it should be considered how the project will be developed, and what skills and competencies will be required for each stage of the development and implementation, and whether they will be available when required. This, together with the initial schedule, forms the outline implementation plan. An example is shown in Annex I.

The project basis should incorporate an initial assessment of the risks arising from the development and implementation of the proposed project, in accordance with the MoC risk assessment guidelines as defined in steps 5 – 15. Provision for the implementation of the identified control measures should be included in the project basis, and the cost estimated.

The development of the project basis should involve representatives of the project owner group who will take on the completed project and operate it, incorporating it into 'business as usual'. They should ensure that operability, maintainability and provision for commissioning are taken into account in the project basis in accordance with Guidance on meeting expectations of EI Process safety framework Element 13: Operational readiness and process start-up.

Technical queries raised by the owner group should be documented and closed out in a timely fashion. The development of the project basis should identify:

• the issue or opportunity to be addressed;
• identified options to address the issue or capture the opportunity;
• cost estimate of the appropriate class (accuracy and confidence level) and outline schedule;
• the incentives to progress the project;
• the outline project implementation plan;
• operability, maintainability and commissioning considerations;
• initial change risk assessment, and
• decision to progress or stop.

The completed project basis should be reviewed and approved by the appropriate line manager with the necessary competency and delegated level of authority.

Actions 

Review and approve

Project basis reviewed and approved by the delegated authority.

Deliverables

Agreed project basis:

• identified issue or opportunity;
• incentives to progress;
• identified options to address issue or capture opportunity;
• outline project implementation plan, and
• appropriate class of cost estimate and schedule.

Completed risk assessment.

Decision to progress or stop.

Identified 'technical queries'.

Issues to be addressed in the next phase.

Frequency

As required by the schedule.

Guidance notes:

Discretionary expenditure on 'capital' or 'expense' projects is typically used to either remove unacceptable risk (HS&E, reputation, business interruption, financial) or to capture opportunities (justified and affordable return on investment). Developing the portfolio of capital and expense projects which need to be progressed within a budget period (budget development) can be quite challenging. A suggested approach to this is shown in Annex J.

The project basis should address the issue which needs to be solved or the opportunity to be captured. At this stage the primary focus should be on the incentives and justification for addressing the issue or capturing the opportunity.

The project basis should identify a range of options to address the issue or capture the opportunity; selection of the most suitable option is carried out in the next stage.

At this initial stage of the project development it should be considered how the project will be developed, and what skills and competencies will be required for each stage of the development and implementation, and whether they will be available when required. This, together with the initial schedule, forms the outline implementation plan. An example is shown in Annex I.

The project basis should incorporate an initial assessment of the risks arising from the development and implementation of the proposed project, in accordance with the MoC risk assessment guidelines as defined in steps 5 – 15. Provision for the implementation of the identified control measures should be included in the project basis, and the cost estimated.

The development of the project basis should involve representatives of the project owner group who will take on the completed project and operate it, incorporating it into 'business as usual'. They should ensure that operability, maintainability and provision for commissioning are taken into account in the project basis in accordance with Guidance on meeting expectations of EI Process safety framework Element 13: Operational readiness and process start-up.

Technical queries raised by the owner group should be documented and closed out in a timely fashion. The development of the project basis should identify:

• the issue or opportunity to be addressed;
• identified options to address the issue or capture the opportunity;
• cost estimate of the appropriate class (accuracy and confidence level) and outline schedule;
• the incentives to progress the project;
• the outline project implementation plan;
• operability, maintainability and commissioning considerations;
• initial change risk assessment, and
• decision to progress or stop.

The completed project basis should be reviewed and approved by the appropriate line manager with the necessary competency and delegated level of authority.

Actions

Option selection

Deliverables

Agreed option selection:

• selected option to address issue or capture opportunity;
• appropriate class of cost estimate and schedule;
• justification for selected option;
• incentives to progress, and
• updated outline project implementation plan.

Completed risk assessment.

Decision to progress or stop.

Identified technical queries.

Issues to be addressed in the next phase.

Frequency

As required by the schedule.

Guidance notes:

Following on from the approval of the project basis, the option selection should evaluate each of the identified options for addressing the issue or capturing the opportunity, and propose the most suitable for review and approval by the appropriate line manager with the necessary competency and delegated level of authority.

The development of the option selection should involve representatives of the owner group. They should ensure that operability, maintainability and commissioning are taken into account in the option selection in accordance with Guidance on meeting expectations of EI Process safety framework Element 13: Operational readiness and process start-up.

Technical queries raised by the owner group should be documented and closed out in a timely fashion.

The option selection should incorporate an initial assessment of the risks arising from the development and implementation of the proposed project, in accordance with the MoC risk assessment guidelines as defined in steps 5 – 15. Provision for the implementation of the identified control measures should be included in the option selection, and the cost estimated.

The development of the option selection should identify:

• the selected option to address the issue or capture the opportunity;
• the justification for the selected option;
• cost estimate of the appropriate class (accuracy and confidence level) and outline schedule;
• updated assessment of the incentives to progress the project;
• operability, maintainability and commissioning considerations;
• change risk assessment for the proposed option;
• updated outline project implementation plan, and
• decision to progress or stop.

Actions

Review and approve

Option reviewed and approved by the delegated authority.

Deliverables

Agreed option selection:

• selected option to address issue or capture opportunity;
• appropriate class of cost estimate and schedule;
• justification for selected option;
• incentives to progress, and
• updated outline project implementation plan.

Completed risk assessment.

Decision to progress or stop.

Identified technical queries.

Issues to be addressed in the next phase.

Frequency

As required by the schedule.

Guidance notes:

Following on from the approval of the project basis, the option selection should evaluate each of the identified options for addressing the issue or capturing the opportunity, and propose the most suitable for review and approval by the appropriate line manager with the necessary competency and delegated level of authority.

The development of the option selection should involve representatives of the owner group. They should ensure that operability, maintainability and commissioning are taken into account in the option selection in accordance with Guidance on meeting expectations of EI Process safety framework Element 13: Operational readiness and process start-up.

Technical queries raised by the owner group should be documented and closed out in a timely fashion.

The option selection should incorporate an initial assessment of the risks arising from the development and implementation of the proposed project, in accordance with the MoC risk assessment guidelines as defined in steps 5 – 15. Provision for the implementation of the identified control measures should be included in the option selection, and the cost estimated.

The development of the option selection should identify:

• the selected option to address the issue or capture the opportunity;
• the justification for the selected option;
• cost estimate of the appropriate class (accuracy and confidence level) and outline schedule;
• updated assessment of the incentives to progress the project;
• operability, maintainability and commissioning considerations;
• change risk assessment for the proposed option;
• updated outline project implementation plan, and
• decision to progress or stop.

Actions

Develop design basis and implementation plan

Deliverables

Agreed investment case, design basis and implementation plan:

• design basis for selected option;
• appropriate class of cost estimate and schedule;
• incentives to progress;
• implementation plan for selected option, and
• applicable design standards and construction practices.

Completed risk assessment.

Decision to progress or stop.

Identified technical queries.

Issues to be addressed in the next phase.

Frequency

As required by the schedule.

Guidance notes:

Following the approval of the option selection, the design basis and implementation plan should set out:

• for construction projects:
  • The requirements and constraints which should be addressed in the detailed engineering, such as required throughputs, product qualities, available utilities and available plot area.
• for non-construction projects:
  • The required deliverables which should be addressed by the detailed implementation plan and the constraints which should be taken into consideration.

The design basis should identify applicable design standards which should be applied to the detailed design engineering and the construction practices which should be incorporated into the construction plan.

The development of the design basis and implementation plan should involve representatives of the owner group. They should ensure that operability, maintainability and commissioning are taken into account in the design basis and implementation plan in accordance with Guidance on meeting expectations of EI Process safety framework Element 13: Operational readiness and process start-up.

Technical queries raised by the owner group should be documented and closed out in a timely fashion.

The design basis and implementation plan should include a review and update of the risk assessment developed for the option selection, taking into account the increased level of detail which is available. This risk assessment should be in accordance with the MoC risk assessment guidelines as defined in steps 5 – 15. Provision for the implementation of the identified control measures should be included in the design basis and implementation plan, and the cost estimated.

The development of the design basis and implementation plan should identify:

• design basis for selected option to address the issue or capture the opportunity;
• applicable design standards and construction practices;
• cost estimate of the appropriate class (accuracy and confidence level) and outline schedule;
• updated assessment of the incentives to progress the project;
• operability, maintainability and commissioning considerations;
• updated change risk assessment for the proposed option;
• implementation plan for the selected option, and
• decision to progress or stop.

The completed design basis and implementation plan should be reviewed and approved by an appropriate line manager with the necessary competency and delegated level of authority.

Actions

Review and approve

Design basis and implementation plan reviewed and approved by the delegated authority.

Deliverables

Agreed investment case, design basis and implementation plan:

• design basis for selected option;
• appropriate class of cost estimate and schedule;
• incentives to progress;
• implementation plan for selected option, and
• applicable design standards and construction practices.

Completed risk assessment.

Decision to progress or stop.

Identified technical queries.

Issues to be addressed in the next phase.

Frequency

As required by the schedule.

Guidance notes:

Following the approval of the option selection, the design basis and implementation plan should set out:

• for construction projects:
  • The requirements and constraints which should be addressed in the detailed engineering, such as required throughputs, product qualities, available utilities and available plot area.
• for non-construction projects:
  • The required deliverables which should be addressed by the detailed implementation plan and the constraints which should be taken into consideration.

The design basis should identify applicable design standards which should be applied to the detailed design engineering and the construction practices which should be incorporated into the construction plan.

The development of the design basis and implementation plan should involve representatives of the owner group. They should ensure that operability, maintainability and commissioning are taken into account in the design basis and implementation plan in accordance with Guidance on meeting expectations of EI Process safety framework Element 13: Operational readiness and process start-up.

Technical queries raised by the owner group should be documented and closed out in a timely fashion.

The design basis and implementation plan should include a review and update of the risk assessment developed for the option selection, taking into account the increased level of detail which is available. This risk assessment should be in accordance with the MoC risk assessment guidelines as defined in steps 5 – 15. Provision for the implementation of the identified control measures should be included in the design basis and implementation plan, and the cost estimated.

The development of the design basis and implementation plan should identify:

• design basis for selected option to address the issue or capture the opportunity;
• applicable design standards and construction practices;
• cost estimate of the appropriate class (accuracy and confidence level) and outline schedule;
• updated assessment of the incentives to progress the project;
• operability, maintainability and commissioning considerations;
• updated change risk assessment for the proposed option;
• implementation plan for the selected option, and
• decision to progress or stop.

The completed design basis and implementation plan should be reviewed and approved by an appropriate line manager with the necessary competency and delegated level of authority.

Actions

Develop detailed design engineering and construction/ implementation plan

Deliverables

Approved detailed design engineering (for construction projects):

• design meets applicable design standards, and
• identified design follow-up requirements.

Approved detailed construction or implementation plan and schedule:

• incorporating required construction practices;
• identified constructability or implementation issues;
• identified commissioning issues;
• identified technical queries, and
• issues to be addressed in the next phase.

Completed risk assessment.

Frequency

As required by the schedule.

Guidance notes:

Following on from the approval of the design basis and implementation plan, the detailed design engineering and construction/detailed implementation plan should set out:

• detailed design engineering (for construction projects) approved for construction, and
• approved detailed construction or implementation plan and schedule:
  • incorporating required construction practices;
  • identified constructability or implementation issues, and
  • identified commissioning issues.

The development of the detailed design engineering and construction/implementation plan should involve representatives of the owner group. They should ensure that operability, maintainability and commissioning are taken into account in the detailed design engineering and construction/implementation plan in accordance with Guidance on meeting expectations of EI Process safety framework Element 13: Operational readiness and process start-up.

Technical queries raised by the owner group should be documented and closed out in a timely fashion.

The detailed design engineering and construction/implementation plan should include a review and update of the risk assessment developed for the design basis, taking into account the increased level of detail which is available. This risk assessment should be in accordance with the MoC risk assessment guidelines as defined in steps 5 – 15.

Provision for the implementation of the identified control measures should be included in the detailed design engineering and construction/implementation plan, and the cost estimated.

The development of the detailed design engineering and construction/implementation plan should identify:

• approved detailed design engineering (for construction projects):
  • design meets applicable design standards, and
  • identified design follow-up requirements.
• approved deviations from applicable design standards, together with associated required control measures;
• approved detailed construction or implementation plan and schedule; incorporating required construction practices;
• identified constructability or implementation issues;
• identified operability, maintainability and commissioning considerations;
• updated change risk assessment;
• updated cost estimate of the appropriate class (accuracy and confidence level) and outline schedule;
• updated assessment of the incentives to progress the project, and
• decision to progress or stop.

The completed detailed design engineering and construction/implementation plan should be reviewed and approved by appropriate nominated personnel with the necessary competency and delegated level of authority.

Actions

Review and approve

Detailed design engineering and construction/ implementation plan reviewed and approved by the delegated authority

Deliverables

Approved detailed design engineering (for construction projects):

• design meets applicable design standards, and
• identified design follow-up requirements.

Approved detailed construction or implementation plan and schedule:

• incorporating required construction practices;
• identified constructability or implementation issues;
• identified commissioning issues;
• identified technical queries, and
• issues to be addressed in the next phase.

Completed risk assessment.

Frequency

As required by the schedule.

Guidance notes:

Following on from the approval of the design basis and implementation plan, the detailed design engineering and construction/detailed implementation plan should set out:

• detailed design engineering (for construction projects) approved for construction, and
• approved detailed construction or implementation plan and schedule:
  • incorporating required construction practices;
  • identified constructability or implementation issues, and
  • identified commissioning issues.

The development of the detailed design engineering and construction/implementation plan should involve representatives of the owner group. They should ensure that operability, maintainability and commissioning are taken into account in the detailed design engineering and construction/implementation plan in accordance with Guidance on meeting expectations of EI Process safety framework Element 13: Operational readiness and process start-up.

Technical queries raised by the owner group should be documented and closed out in a timely fashion.

The detailed design engineering and construction/implementation plan should include a review and update of the risk assessment developed for the design basis, taking into account the increased level of detail which is available. This risk assessment should be in accordance with the MoC risk assessment guidelines as defined in steps 5 – 15.

Provision for the implementation of the identified control measures should be included in the detailed design engineering and construction/implementation plan, and the cost estimated.

The development of the detailed design engineering and construction/implementation plan should identify:

• approved detailed design engineering (for construction projects):
  • design meets applicable design standards, and
  • identified design follow-up requirements.
• approved deviations from applicable design standards, together with associated required control measures;
• approved detailed construction or implementation plan and schedule; incorporating required construction practices;
• identified constructability or implementation issues;
• identified operability, maintainability and commissioning considerations;
• updated change risk assessment;
• updated cost estimate of the appropriate class (accuracy and confidence level) and outline schedule;
• updated assessment of the incentives to progress the project, and
• decision to progress or stop.

The completed detailed design engineering and construction/implementation plan should be reviewed and approved by appropriate nominated personnel with the necessary competency and delegated level of authority.

Actions

Construction or implementation

Deliverables

Construction projects completed:

• to meet detailed design engineering;
• to meet required construction practices;
• to cost, and
• to schedule.

Non-construction projects completed:

• to meet detailed implementation plan;
• to cost, and
• to schedule.

Project handed over to owner who is ready, willing and able to accept and operate it.

Agreed items to be addressed post start-up.

Frequency

As required by the schedule.

Guidance notes:

The construction or implementation should:

• for construction projects, be completed:
  • to meet detailed design engineering;
  • to meet required construction practices;
  • to cost, and
  • to schedule.
• for non-construction projects be completed:
  • to meet detailed design implementation plan;
  • to cost, and
  • to schedule.

The project should be handed over to an owner who is ready, willing and competent to operate it. The handover should include a list of agreed outstanding items which will be addressed post start-up.

Throughout the construction/implementation any changes to the approved detailed design engineering and detailed implementation plan should be subjected to thorough assessment of the risks arising from these changes, in accordance with the MoC risk assessment guidelines as defined in steps 5 – 15.

All changes to the approved detailed design engineering and detailed implementation plan should be approved by appropriate nominated personnel with the necessary competency and delegated level of authority.

When the construction/implementation is completed, the completion status should be formally reviewed and accepted by the appropriate line manager with the necessary competency and delegated level of authority. This will typically be the point at which the project is formally handed over to the owner and responsibility is transferred from the project team to the operational line management team.

Actions

Review and approve

Construction or implementation reviewed and approved by the delegated authority.

Deliverables

Construction projects completed:

• to meet detailed design engineering;
• to meet required construction practices;
• to cost, and
• to schedule.

Non-construction projects completed:

• to meet detailed implementation plan;
• to cost, and
• to schedule.

Project handed over to owner who is ready, willing and able to accept and operate it.

Agreed items to be addressed post start-up.

Frequency

As required by the schedule.

Guidance notes:

The construction or implementation should:

• for construction projects, be completed:
  • to meet detailed design engineering;
  • to meet required construction practices;
  • to cost, and
  • to schedule.
• for non-construction projects be completed:
  • to meet detailed design implementation plan;
  • to cost, and
  • to schedule.

The project should be handed over to an owner who is ready, willing and competent to operate it. The handover should include a list of agreed outstanding items which will be addressed post start-up.

Throughout the construction/implementation any changes to the approved detailed design engineering and detailed implementation plan should be subjected to thorough assessment of the risks arising from these changes, in accordance with the MoC risk assessment guidelines as defined in steps 5 – 15.

All changes to the approved detailed design engineering and detailed implementation plan should be approved by appropriate nominated personnel with the necessary competency and delegated level of authority.

When the construction/implementation is completed, the completion status should be formally reviewed and accepted by the appropriate line manager with the necessary competency and delegated level of authority. This will typically be the point at which the project is formally handed over to the owner and responsibility is transferred from the project team to the operational line management team.

Actions

Operate and assess impact

Deliverables

Project incorporated into 'business as usual'. Review of overall project performance:

• against agreed investment business case:
  • business benefits delivery, and
  • cost and schedule.
• what went well, and
• what needs to be improved.

Formal close out of project with agreement, funding and agreed responsibility for justified necessary follow-up work to:

• deliver investment business case;
• address operability or maintainability issues, and
• resolve identified technical queries.

Frequency

As required by the schedule.

Guidance notes:

Following the construction/implementation and handover to the owner, the project should be:

• commissioned in accordance with Guidance on meeting expectations of EI Process safety framework Element 13: Operational readiness and process start-up.
• incorporated into 'business as usual' operation.

The agreed list of outstanding items to be addressed post start-up should be tracked to completion.

The change risk assessment should be updated to take into account the project as built/ as implemented.

In advance of final close out of the project, a formal assessment should be carried out to:

• verify that the project is delivering business benefits in accordance with the approved incentives to progress the project;
• verify that outstanding items have been completed as agreed;
• verify that identified necessary control measures have been implemented;
• identify lessons learned from the project development and implementation:
  • what went well;
  • what needs to be improved, and
• identify and agree responsibility and resource allocation for necessary follow-up activities.

More than one review may be appropriate, e.g. for organisational change it may be appropriate to carry out an initial review of the change impact and then a subsequent one six months later to confirm the design intent of the change has been achieved with no unexpected impacts.

The formal assessment of the project should involve representatives of the project owner and representatives of the project team.

The completed formal assessment of the project, and the agreed necessary follow-up actions, should be formally reviewed and accepted by the appropriate line manager with the necessary competency and delegated level of authority. This will typically be the point at which the project is finally closed out and all operation, maintenance and follow up activities become part of 'business as usual'.

Actions

Review and approve

Deliverables

Project incorporated into 'business as usual'. Review of overall project performance:

• against agreed investment business case:
  • business benefits delivery, and
  • cost and schedule.
• what went well, and
• what needs to be improved.

Formal close out of project with agreement, funding and agreed responsibility for justified necessary follow-up work to:

• deliver investment business case;
• address operability or maintainability issues, and
• resolve identified technical queries.

Frequency

As required by the schedule.

Guidance notes:

Following the construction/implementation and handover to the owner, the project should be:

• commissioned in accordance with Guidance on meeting expectations of EI Process safety framework Element 13: Operational readiness and process start-up.
• incorporated into 'business as usual' operation.

The agreed list of outstanding items to be addressed post start-up should be tracked to completion.

The change risk assessment should be updated to take into account the project as built/ as implemented.

In advance of final close out of the project, a formal assessment should be carried out to:

• verify that the project is delivering business benefits in accordance with the approved incentives to progress the project;
• verify that outstanding items have been completed as agreed;
• verify that identified necessary control measures have been implemented;
• identify lessons learned from the project development and implementation:
  • what went well;
  • what needs to be improved, and
• identify and agree responsibility and resource allocation for necessary follow-up activities.

More than one review may be appropriate, e.g. for organisational change it may be appropriate to carry out an initial review of the change impact and then a subsequent one six months later to confirm the design intent of the change has been achieved with no unexpected impacts.

The formal assessment of the project should involve representatives of the project owner and representatives of the project team.

The completed formal assessment of the project, and the agreed necessary follow-up actions, should be formally reviewed and accepted by the appropriate line manager with the necessary competency and delegated level of authority. This will typically be the point at which the project is finally closed out and all operation, maintenance and follow up activities become part of 'business as usual'.

Actions

Close out project

Deliverables

Project incorporated into 'business as usual'. Review of overall project performance:

• against agreed investment business case:
  • business benefits delivery, and
  • cost and schedule.
• what went well, and
• what needs to be improved.

Formal close out of project with agreement, funding and agreed responsibility for justified necessary follow-up work to:

• deliver investment business case;
• address operability or maintainability issues, and
• resolve identified technical queries.

Frequency

As required by the schedule.

Guidance notes:

Following the construction/implementation and handover to the owner, the project should be:

• commissioned in accordance with Guidance on meeting expectations of EI Process safety framework Element 13: Operational readiness and process start-up.
• incorporated into 'business as usual' operation.

The agreed list of outstanding items to be addressed post start-up should be tracked to completion.

The change risk assessment should be updated to take into account the project as built/ as implemented.

In advance of final close out of the project, a formal assessment should be carried out to:

• verify that the project is delivering business benefits in accordance with the approved incentives to progress the project;
• verify that outstanding items have been completed as agreed;
• verify that identified necessary control measures have been implemented;
• identify lessons learned from the project development and implementation:
  • what went well;
  • what needs to be improved, and
• identify and agree responsibility and resource allocation for necessary follow-up activities.

More than one review may be appropriate, e.g. for organisational change it may be appropriate to carry out an initial review of the change impact and then a subsequent one six months later to confirm the design intent of the change has been achieved with no unexpected impacts.

The formal assessment of the project should involve representatives of the project owner and representatives of the project team.

The completed formal assessment of the project, and the agreed necessary follow-up actions, should be formally reviewed and accepted by the appropriate line manager with the necessary competency and delegated level of authority. This will typically be the point at which the project is finally closed out and all operation, maintenance and follow up activities become part of 'business as usual'.

Actions

Stop project

Stop project if necessary following review.

Deliverables

Updated risk register taking into account implications of not progressing the project.

Archived project files.

Frequency

As required.

Guidance notes:

In situations where the incentives to progress the project are not justified, or the risks associated with the change cannot be managed to a defined level (e.g. tolerable), it may be necessary to make the decision to halt the development and implementation of the project.

In cases where the decision is taken to stop the project, the risks associated with this course of action should be identified and assessed.

Decisions to halt the development and implementation of the project should be reviewed and approved by the appropriate line manager with the necessary competency and delegated level of authority.

Decisions to halt the development and implementation of the project may typically require the identification and implementation of alternative control measures to manage the risks associated with the issue that the project was initiated to address.

Actions

Define scope of the change

Deliverables

All changes identified and the scope of each change defined, identifying:

• what will be changed;
• what will be impacted by the change, and
• who will be impacted by the change.

Changes reviewed and classified as either:

• high risk, or
• low risk.

Classifications are reviewed and approved by designated competent personnel.

Frequency

As required.

Guidance notes:

All changes should be identified, clearly defining:

• the change category (in accordance with the criteria defined in step 3);
• what will be changed, and
• what or who will be impacted by the change.

All identified changes should be reviewed and classified as either high risk or low risk (in accordance with the criteria defined in step 3).

The categorisation and classification should be reviewed and approved by appropriate nominated personnel with the necessary competency and delegated level of authority.

An example template for the initial assessment and classification of a change is shown in Annex E.

Actions

Initial assessment

Deliverables

All changes identified and the scope of each change defined, identifying:

• what will be changed;
• what will be impacted by the change, and
• who will be impacted by the change.

Changes reviewed and classified as either:

• high risk, or
• low risk.

Classifications are reviewed and approved by designated competent personnel.

Frequency

As required.

Guidance notes:

All changes should be identified, clearly defining:

• the change category (in accordance with the criteria defined in step 3);
• what will be changed, and
• what or who will be impacted by the change.

All identified changes should be reviewed and classified as either high risk or low risk (in accordance with the criteria defined in step 3).

The categorisation and classification should be reviewed and approved by appropriate nominated personnel with the necessary competency and delegated level of authority.

An example template for the initial assessment and classification of a change is shown in Annex E.

Actions

Review and approve

Review and approve initial assessment.

Deliverables

All changes identified and the scope of each change defined, identifying:

• what will be changed;
• what will be impacted by the change, and
• who will be impacted by the change.

Changes reviewed and classified as either:

• high risk, or
• low risk.

Classifications are reviewed and approved by designated competent personnel.

Frequency

As required.

Guidance notes:

All changes should be identified, clearly defining:

• the change category (in accordance with the criteria defined in step 3);
• what will be changed, and
• what or who will be impacted by the change.

All identified changes should be reviewed and classified as either high risk or low risk (in accordance with the criteria defined in step 3).

The categorisation and classification should be reviewed and approved by appropriate nominated personnel with the necessary competency and delegated level of authority.

An example template for the initial assessment and classification of a change is shown in Annex E.

Actions

High risk change

Determine if the change is a high risk or low risk change.

Deliverables

All changes identified and the scope of each change defined, identifying:

• what will be changed;
• what will be impacted by the change, and
• who will be impacted by the change.

Changes reviewed and classified as either:

• high risk, or
• low risk.

Classifications are reviewed and approved by designated competent personnel.

Frequency

As required.

Guidance notes:

All changes should be identified, clearly defining:

• the change category (in accordance with the criteria defined in step 3);
• what will be changed, and
• what or who will be impacted by the change.

All identified changes should be reviewed and classified as either high risk or low risk (in accordance with the criteria defined in step 3).

The categorisation and classification should be reviewed and approved by appropriate nominated personnel with the necessary competency and delegated level of authority.

An example template for the initial assessment and classification of a change is shown in Annex E.

Actions

Risk assessment

For low risk changes.

Deliverables

Completed change risk assessment.

Risks identified and assessed.

Identified control measures to manage risk to a defined (e.g. tolerable) level.

Frequency

As required.

Actions

Risk assessment

For high risk changes.

Deliverables

Completed change risk assessment.

Risks identified and assessed.

Identified control measures to manage risk to a defined (e.g. tolerable) level.

Frequency

As required.

Actions

Define control measures

For low risk changes.

Deliverables

Completed change risk assessment.

Risks identified and assessed.

Identified control measures to manage risk to a defined (e.g. tolerable) level.

Frequency

As required.

Actions

Define control measures

For high risk changes.

Deliverables

Completed change risk assessment.

Risks identified and assessed.

Identified control measures to manage risk to a defined (e.g. tolerable) level.

Frequency

As required.

Actions

Safe operations committee review of high risk changes

Deliverables

High risk changes reviewed and approved for review by safe operations committee.

Approved low risk changes (formally documented).

Rejected changes (formally documented).

Frequency

As required.

Actions

Review and approve

Management review and approval of control measures.

Deliverables

Approved high risk changes.

Rejected high risk changes.

Frequency

As required.

Guidance notes:

High risk changes

Changes classified as high risk should be assessed, in accordance with the criteria defined in Step 3, and identified the necessary control measures to achieve a defined (e.g. tolerable) level of risk.

The risk assessment methods should make use of appropriate guidelines for the elements which are applicable to the changes proposed, such as:

• Element 6: Hazard identification and risk assessment;
• Element 3: Employee selection, placement and competency, and health assurance, and
• Element 17: Work control, permit to work and task risk management.

Examples of worksheets for use in organisational change risk assessment are shown in Annex F and Annex G.

The completed assessment should identify:

• the unmitigated risk;
• the necessary control measures, and
• the mitigated risk level.

The completed risk assessments for high risk changes should be reviewed by independent competent persons who together have experience across the range of disciplines necessary to assure process safety. Typically these would include operations, maintenance, process design, training and development, HS&E and line management. It can be helpful to establish a 'safe operations committee' with a constituency which includes the relevant specialists who can, on behalf of the organisation, carry out this independent review of high risk changes.

It should be checked whether there are regulatory requirements to consult with specific members of the owner group; for example, in the GB there is a regulatory requirement to consult safety representatives on health and safety issues.

For high risk changes, steps 11 and 12 may be combined, with the appropriate line manager (with the necessary competency and delegated level of authority) participating in the safe operating committee review, and, taking into account the outcome of the safe operating committee review, either approving or rejecting the proposed change.

Low risk changes

Changes classified as low risk should be assessed, in accordance with the criteria defined in step 3, and the necessary control measures to achieve a defined (e.g. tolerable) level of risk should be identified.

The completed assessment should identify:

• the unmitigated risk;
• the necessary control measures, and
• the mitigated risk level.

The completed risk assessments for low risk changes should be reviewed and approved by an appropriate line manager with the necessary competency and delegated level of authority.

Actions

Implement approved control measures

Deliverables

Approved control measures implemented in full and to schedule.

Risk of change controlled to a defined (e.g. tolerable) level.

Frequency

As required by schedule.

Guidance notes:

If the change is approved, the required control measures should be implemented in full and in line with the required schedule to ensure that the identified risks associated with the change are managed to a defined (e.g. tolerable) level.

Responsible line managers should check to ensure that the required control measures have been implemented.

Actions

Revise control measures

Deliverables

Decision that:

• control measures should be revised in order to achieve defined (e.g. tolerable) risk;
• alternative approach to the change should be adopted in order to achieve defined (e.g. tolerable) risk, or
• defined (e.g. tolerable) risk cannot be achieved and the change should not be progressed.

Frequency

As required.

Guidance notes:

In cases where the change assessment is not approved, an alternative approach or revised control measures should be considered. These should be reviewed and approved appropriately as described in steps 10a/10b – 12.

In cases where an alternative approach or revised control measures are not feasible it may be necessary to reject the proposed change.

Actions

Update records

Deliverables

Records updated to:

• create and maintain MoC register;
• reflect post-project implementation situation, and
• meet requirements of Guidance on meeting expectations of EI Process safety framework Element 7: Documentation, records and knowledge management.

Frequency

As required by the schedule.

Guidance notes:

Records should be updated in accordance with the requirements of Guidance on meeting expectations of EI Process safety framework Element 7: Documentation, records and knowledge management.

The records should include a MoC register, which maintains an up-to-date register of all changes, covering at minimum: a unique identifier; a description of the change; a description of the reason for the change; the person initiating the change; the current status of the change, and the identified necessary control measures. The records should cover both approved and rejected changes.

The element owner should ensure that a custodian is appointed for the MoC register, who has responsibility for ensuring that the MoC register is created, maintained up-todate and readily available to those personnel who need to be aware of it and make use of it.

Actions

Performance measurement and compliance checking

Establish and implement PMs.

Establish regular management and supervisory compliance checks.

Deliverables

Defined PMs generated in line with the schedule.

Compliance checking programme.

Completed compliance checks.

Identified necessary interventions.

Frequency

As required by the schedule.

Guidance notes:

A systematic set of PMs should be defined in order to enable each BU or site to monitor and confirm compliance with the element and to draw attention to any areas of noncompliance.

In order to maintain effective control, the element owner should ensure that accountability for performance against each PM is clearly identified and that the accountable person understands the interventions that need to be made to correct deviations in performance against the PM.

The element owner should ensure that PMs are reviewed by an appropriate level of management on a routine scheduled basis.

The suggested PMs are defined in section 3.

Actions

Performance and compliance trend analysis

PMs and findings from compliance checks are analysed to identify any emerging underlying trends.

Deliverables

A report on trends identified, for review:

• at appropriate management meetings;
• by BU executive, and
• by company executive.

Frequency

Monthly.

Guidance notes:

Section 3 defines suggested PMs which may allow the BU or site to monitor compliance with the element. This is an important aspect of management control but it does not provide the whole picture. Findings from compliance checking and performance monitoring should be reviewed and analysed in order to identify any underlying trends. The trends that should be monitored and analysed should be adapted according to performance and the issues being managed during any particular time period. However, it is important to ensure that resource is assigned to carry out this monitoring and analysis and that this trend analysis is carried out on a routine basis and presented for review at appropriate management meetings.

Actions

Annual review of effectiveness and sustainability of element arrangements

Review of the arrangements to check that they are functioning as intended and are still fit-for-purpose.

Deliverables

A report identifying:

• issues requiring resolution, and
• opportunities to enhance the arrangements.

Frequency

Annually.

Guidance notes:

The element owner should initiate an annual review of the element in order to check that it is still functioning as intended and that it is still-fit-for purpose, identifying any issues requiring resolution or any opportunities to enhance the implementation of the element.

The element owner should ensure that appropriate employees and employees’ representatives are involved in developing input to this review.

Actions

Management review and control meetings

Review meetings with the appropriate levels of management.

Systematic review of defined PM sets.

Review emerging issues identified by the analysis of trends.

Manage issues and opportunities identified by annual review of the process.

Identify appropriate interventions.

Deliverables

PMs and trend analysis reviewed:

• at appropriate management meetings;
• by local line management;
• by BU executive, and
• by company executive.

Appropriate interventions to correct deviations from required performance.

Initiation of appropriate actions to address findings from the annual review.

Frequency

Monthly.

Guidance notes:

The element owner should ensure that the review of the PMs is incorporated into appropriate management control meetings. It is likely that it will be necessary to incorporate the PMs into meetings at a number of different levels. For example, they may need to be incorporated into executive meetings and into senior management team meetings. Understandably, the scope of the PM should be matched to the area of the organisation which is being reviewed at each meeting.

The management control meetings should focus on deviations from the required performance, identifying necessary interventions to correct the performance.

The PMs and the output from these management control meetings may provide input to appropriate health and safety committees.