*4.2.2.1 Content of HSE plan*

The content of HSE plan includes, but not limited to, the following contents; in other words, the main contents of the HSE plan are as follows:

	- "Project overview, worksite, and the surroundings" and "personnel and equipment" are set up to identify hazardous factors. For projects of mobile operations, changes may most likely happen to the project itself and the surrounding environment, personnel, equipment, and facilities, so the HSE plan focuses on these two parts for comprehensive identification of hazardous factors. Specifically, in the "personnel and equipment" part, potential risks are identified through analyzing changes (placement, shifts, etc.) in project personnel (especially those in key positions), and appropriate measures are developed. Regarding equipment and facilities, risks arising from frequent relocation and installation are considered, such as safety accessories lost, damaged, etc.
	- "Identification of additional hazardous factors and main risk warnings" and "risk prevention, mitigation, and control" are the focus of the HSE plan. When compiling the plan, the first step is to identify hazardous factors through analyzing the "project overview, worksite, and the surroundings" and "personnel and equipment." On this basis, the next step is to refer to the HSE guidance to determine additional hazardous factors of the project (i.e., hazardous factors of the project that are not included in the HSE guidance), then find out the to-be-controlled hazardous factors and main risks of the project through risk assessment, and develop risk control measures against additional hazards. As to the control of main risks, given that the main risks are mostly discipline-related conventional risks whose control measures have been included in the position-specific HSE guidance, there is no need to develop risk control measures against additional hazards in the HSE plan. But if the main risks of the project are unconventional risks, control measures must be included in the HSE plan.

○ "Emergency response plan" is not the main content of the HSE plan but an annex to the plan for educational purpose. According to the current situation of emergency management work, at present every grassroots organization will develop a variety of emergency response plans based on the characteristics of the discipline, so there is no need to repeat the preparation of emergency response plan when compiling the HSE plan. But if the emergency response plan is not operable, you need to modify and improve it. In addition, it should be noted that the "emergency response plan" in the HSE plan and the "emergency response procedures" in the HSE guidance are different but related. The "emergency response procedures" is a part of the "emergency response plan." Being included in the position-specific HSE guidance, the "emergency response procedures" is provided for educational purpose. The "emergency response plan" is set up considering significant risks of a project, which is provided for communication before the start of a project. Once there are significant risks spreading out of control, the "emergency response plan" shall be launched immediately and call for the professional rescue force to minimize the consequences of the accident.

In order to further simplify the preparation of HSE plan for small projects or activities and to enhance the dynamic risk management of long-cycle projects, we added the risk management sheet (**Table 2**) to the version II template of the HSE plan. When using the HSE-TDOC, grassroots organizations may conduct risk management referring to the risk management sheet in the following cases:

Case one: for operating projects with long cycle and relatively fixed location (e.g., drilling of exploratory wells and critical wells and refinery shutdown for maintenance), compile the project-specific HSE plan, and incorporate the risk management sheet into the HSE plan before construction. During the construction process, carry out identification of hazardous factors on a regular basis, identify additional hazards which may arise as time changes, develop appropriate risk mitigation and control measures based on the HSE plan, and fill in the risk management sheet as a supplement to the HSE plan.

Case two: for operations with long cycle and mobile location (e.g., geophysical exploration operation and pipeline construction), compile the project-specific HSE plan, and incorporate the risk management sheet into the HSE plan before construction. During the construction process, timely identify additional hazards which may arise as time and environment change; develop appropriate risk mitigation and control measures based on the HSE plan, and fill in the risk management sheet as a supplement to the HSE plan.

Case three: for operational activities with short cycle and mobile location that are carried out in the same block (e.g., drilling of development shallow wells, downhole repair and fracturing, mud logging, wireline logging, and cementing operations that are carried out in the same block), compile the block-specific HSE plan, and incorporate the risk management sheet into the HSE plan before construction. Before single-well construction in the same block, identify additional hazards which may arise as time and environment change; and develop appropriate mitigation and control measures based on the HSE plan, and fill in the risk management sheet as a supplement to the HSE plan.

Case four: for operational activities with short cycle and relatively fixed location (e.g., production auxiliary operations, refinery temporary inspection, and maintenance), carry out hazard identification activities and fill in the risk management sheet before operation.

#### *4.2.2.2 The compilation and application of HSE plan*

The compilation of the HSE plan should be led by the major principals (team leader and project manager) of grassroots organizations. First, before the start of a project,

**27**

*4.2.3 The HSE checklist*

*4.2.3.1 Content of HSE checklist*

*A New Mode of HSE Risk Management for Construction Projects*

Code No.

3 Risk mitigation and control measures

relevant personnel are organized to carry out site survey and data collection to identify hazardous factors that are to be managed but not included in the HSE guidance through risk assessment, and then develop appropriate measures. The compilation of the HSE plan should be completed jointly by technicians, squad leader, key position staff, and safety officers. The finished HSE plan should be submitted to the appropriate competent department for approval according to the project risk severity. Then the approved HSE plan should be communicated to all the stakeholders and the employees taking part in the project before the commencement of the project, so as to have all the personnel involved in the project understand the project's potential unconventional risks and characteristics thereof as well as appropriate control measures. Since the HSE plan is relatively short in content, it is practical for grassroots organizations to com-

1 Identification of additional hazards (including descriptions of changes in personnel, environment, process, technology, equipment, and facilities)

Supervisor

Manager

MM/ DD/YY

MM/ DD/YY

Date Date Date

DD/YY

2 Main risks warning (including main risks mentioned in the HSE guidance)

S/N Name Post (title) Signature Date

Completed on MM/DD/YY Accepted by MM/

Compiled by MM/DD/YY Project

Audited by MM/DD/YY Project

2. This table shall be filled in according to the requirements specified in the HSE plan

Compilation of the HSE checklist should be based on the principle of territorial management. The territorial scope of different positions should be divided, and the territorial management categories of tools, machines, equipment, and facilities should be defined. The key components, critical parts, and vulnerable parts should

Compared with HSE guide and HSE plan, HSE checklist is quite simple. Just like the HSE guide, HSE checklist is prepared according to different work posts. The

plete the compilation and education process before the project starts.

be highlighted according to the relevant inspection standards.

*DOI: http://dx.doi.org/10.5772/intechopen.84358*

4 Emergency treatment

Relevant personnel notification records

1. This table is an attachment to the HSE plan

3. An attached page may be added to this table if necessary

Location (well number, job number)

Name of the HSE plan

Remarks:

*Risk management sheet (sample).*

**Table 2.**

*A New Mode of HSE Risk Management for Construction Projects DOI: http://dx.doi.org/10.5772/intechopen.84358*


#### **Table 2.**

*Risk Management in Construction Projects*

sheet as a supplement to the HSE plan.

*4.2.2.2 The compilation and application of HSE plan*

sheet before operation.

○ "Emergency response plan" is not the main content of the HSE plan but an annex to the plan for educational purpose. According to the current situation of emergency management work, at present every grassroots organization will develop a variety of emergency response plans based on the characteristics of the discipline, so there is no need to repeat the preparation of emergency response plan when compiling the HSE plan. But if the emergency response plan is not operable, you need to modify and improve it. In addition, it should be noted that the "emergency response plan" in the HSE plan and the "emergency response procedures" in the HSE guidance are different but related. The "emergency response procedures" is a part of the "emergency response plan." Being included in the position-specific HSE guidance, the "emergency response procedures" is provided for educational purpose. The "emergency response plan" is set up considering significant risks of a project, which is provided for communication before the start of a project. Once there are significant risks spreading out of control, the "emergency response plan" shall be launched immediately and call for the professional rescue force to minimize the consequences of the accident.

In order to further simplify the preparation of HSE plan for small projects or activities and to enhance the dynamic risk management of long-cycle projects, we added the risk management sheet (**Table 2**) to the version II template of the HSE plan. When using the HSE-TDOC, grassroots organizations may conduct risk

Case one: for operating projects with long cycle and relatively fixed location (e.g., drilling of exploratory wells and critical wells and refinery shutdown for maintenance), compile the project-specific HSE plan, and incorporate the risk management sheet into the HSE plan before construction. During the construction process, carry out identification of hazardous factors on a regular basis, identify additional hazards which may arise as time changes, develop appropriate risk mitigation and control measures based on the HSE plan, and fill in the risk management sheet as a supplement to the HSE plan. Case two: for operations with long cycle and mobile location (e.g., geophysical exploration operation and pipeline construction), compile the project-specific HSE plan, and incorporate the risk management sheet into the HSE plan before construction. During the construction process, timely identify additional hazards which may arise as time and environment change; develop appropriate risk mitigation and control measures based on the HSE plan, and fill in the risk management

Case three: for operational activities with short cycle and mobile location that are carried out in the same block (e.g., drilling of development shallow wells, downhole repair and fracturing, mud logging, wireline logging, and cementing operations that are carried out in the same block), compile the block-specific HSE plan, and incorporate the risk management sheet into the HSE plan before construction. Before single-well construction in the same block, identify additional hazards which may arise as time and environment change; and develop appropriate mitigation and control measures based on the HSE plan, and fill in the risk management sheet as a supplement to the HSE plan. Case four: for operational activities with short cycle and relatively fixed location (e.g., production auxiliary operations, refinery temporary inspection, and maintenance), carry out hazard identification activities and fill in the risk management

The compilation of the HSE plan should be led by the major principals (team leader and project manager) of grassroots organizations. First, before the start of a project,

management referring to the risk management sheet in the following cases:

**26**

*Risk management sheet (sample).*

relevant personnel are organized to carry out site survey and data collection to identify hazardous factors that are to be managed but not included in the HSE guidance through risk assessment, and then develop appropriate measures. The compilation of the HSE plan should be completed jointly by technicians, squad leader, key position staff, and safety officers. The finished HSE plan should be submitted to the appropriate competent department for approval according to the project risk severity. Then the approved HSE plan should be communicated to all the stakeholders and the employees taking part in the project before the commencement of the project, so as to have all the personnel involved in the project understand the project's potential unconventional risks and characteristics thereof as well as appropriate control measures. Since the HSE plan is relatively short in content, it is practical for grassroots organizations to complete the compilation and education process before the project starts.

## *4.2.3 The HSE checklist*

#### *4.2.3.1 Content of HSE checklist*

Compilation of the HSE checklist should be based on the principle of territorial management. The territorial scope of different positions should be divided, and the territorial management categories of tools, machines, equipment, and facilities should be defined. The key components, critical parts, and vulnerable parts should be highlighted according to the relevant inspection standards.

Compared with HSE guide and HSE plan, HSE checklist is quite simple. Just like the HSE guide, HSE checklist is prepared according to different work posts. The

worker should be responsible for the condition of hardware (machinery, equipment, tools) he/she uses or manages; the items need to be checked will be listed in his/her HSE checklist in order to facilitate his/her inspection; special attention should be given to the critical parts or vulnerable components of facilities. It is a form designed according to a scientifically reasonable route (order) to prompt inspection personnel to do his/her check efficiently.

#### *4.2.3.2 Compilation and application of HSE checklist*

For worksites of different natures, the ways to compile the HSE checklist are different. For example, the checklist for the standardized and customized worksites of drilling and other operations can be compiled together with the HSE guidance due to the relative fixed placement of equipment and facilities and remains relatively fixed. Different checklists should be developed according to the placement of field equipment and facilities for construction and other worksites where the placement of equipment and facilities is not fixed.

The HSE checklist is a form designed to cover all the abovementioned inspection contents according to a scientifically reasonable route (order). During shift changes or patrol inspections, relevant personnel may pay more attention to the equipment, facilities, tools, and machines under their control and be referring to the checklist, especially the critical parts of the equipment and facilities, so as to improve the efficiency of discovering hazards and ensure that the hardware facilities are in a safe condition. Although the HSE checklist is relatively simple compared with "two documents," it focuses on the inspection on the safety state of objects, which is not included in the HSE case.

### **5. HSE-TDOC works as project risk management mode**

In the HSE-TDOC risk management mode, the HSE guidance can be used to control conventional operational risks; the HSE plan can be used to prevent unconventional operational risks, i.e., the "two documents" are to regulate human behavior; and the HSE checklist, i.e., "one checklist," can be used to inspect the state of objects. HSE-TDOC not only can be used for the risk control of mobile projects but also for the safety management of fixed workplaces. Besides, HSE-TDOC not only can be used for safety management in normal conditions but also for emergency response. Therefore, HSE-TDOC could serve as a HSE risk management mode to manage HSE risks arising from daily production and operation activities in grassroots organizations. Till now, HSE-TDOC as project risk management mode has been successfully applied in the frontline organizations of China National Petroleum Corporation (CNPC) for more than 20 years [11].

#### **5.1 HSE guidance for conventional operational risk management**

Conventional risks are the risks arising from conventional operational activities. As the content and environment of conventional operational activities are relatively fixed, the pre-established operating procedures and technical specifications such as standard operating procedures (SOP) are usually adopted for this kind of risk management. To give play to the role of risk prevention of such operating procedures and technical specifications, education for employees is required. Only through education, behavior of employees can be regulated. In order to have employees to grasp the position-specific operating procedures, the pre-established operating

**29**

*A New Mode of HSE Risk Management for Construction Projects*

little of the operating procedures, let alone obey them.

**5.2 HSE plan for unconventional operational risk management**

procedures and technical specifications are put into the HSE guidance. Through educating with the HSE guidance in daily training, the knowledge including the operating procedures can be grasped by employees, and the operating procedures can only be obeyed by them on the basis of their knowing, otherwise if they know

At present, although many enterprises have paid great attention to staff education/training, the training effect is not satisficing due to single method, disorganized contents, and lack of continuity [12–16]. To a certain extent, the HSE guidance has solved problems relating to staff technical skill training. As the HSE guidance contains all the information that should be grasped by employees such as position-specific operating procedures and emergency response procedures, it is a collection of technical skills that should be grasped by employees for a specific position. Through continuous education of the HSE guidance, employees will grasp all the knowledge required by the position and hence improve their skills to

The HSE plan is a document developed to prevent unconventional risks of a project that are not included in the HSE guidance. Unconventional risks not only include risks arising from a variety of unconventional activities which cannot be normalized by the pre-established operating procedures and technical specifications due to the changes such as the content or environment of the operational activities but also risks arising from various changes. It should be clear that if the risk has been already managed by either PTW (the risks arising from excavation, hot work, work at height, temporary electricity, entry into confined space, etc.) or MOC or other management tools, there is no need to mention in the HSE plan. The HSE plan is designed to manage the risks that have not been controlled by either HSE guidance or PWT or MOC or other management tools that have not been man-

Due to the reason that the management of unconventional risks of a project is not included in the HSE guidance which is about the management of conventional risks, they can be basically managed by means of the combined use of HSE plan, PTW, and MOC. Therefore, all the identified risks (conventional risks + unconventional risks) can be managed through the combined use of HSE guidance and

**5.3 HSE checklist for management of objects (equipment, facilities, etc.)**

hardware equipment, facilities, tools, and devices can be achieved.

thereby improving the efficiency of safety check.

Based on the principle of territorial management, HSE checklist is a form designed according to a scientifically reasonable route (order) to prompt inspection personnel to pay more attention to critical parts or vulnerable components of field hardware facilities that are used or managed by employees on each position, such as tools and machines, equipment, etc., in order to improve the efficiency of discovering hidden dangers. Each position is provided with a HSE checklist. Through the combined use of the HSE checklists of all positions, full inspection on all the

Based on the characteristics of each position, it is necessary to conduct an inspection on hardware equipment and facilities used or managed by the position before shifts or during working hours (whichever is applicable), to ensure that the hardware facilities are in a safe condition. Through the use of position-specific HSE checklist, unsafe state of objects will be fully inspected and effectively controlled,

*DOI: http://dx.doi.org/10.5772/intechopen.84358*

prevent risks.

HSE plan.

aged yet due to various reasons.

#### *A New Mode of HSE Risk Management for Construction Projects DOI: http://dx.doi.org/10.5772/intechopen.84358*

*Risk Management in Construction Projects*

inspection personnel to do his/her check efficiently.

*4.2.3.2 Compilation and application of HSE checklist*

**5. HSE-TDOC works as project risk management mode**

**5.1 HSE guidance for conventional operational risk management**

Conventional risks are the risks arising from conventional operational activities. As the content and environment of conventional operational activities are relatively fixed, the pre-established operating procedures and technical specifications such as standard operating procedures (SOP) are usually adopted for this kind of risk management. To give play to the role of risk prevention of such operating procedures and technical specifications, education for employees is required. Only through education, behavior of employees can be regulated. In order to have employees to grasp the position-specific operating procedures, the pre-established operating

of equipment and facilities is not fixed.

included in the HSE case.

worker should be responsible for the condition of hardware (machinery, equipment, tools) he/she uses or manages; the items need to be checked will be listed in his/her HSE checklist in order to facilitate his/her inspection; special attention should be given to the critical parts or vulnerable components of facilities. It is a form designed according to a scientifically reasonable route (order) to prompt

For worksites of different natures, the ways to compile the HSE checklist are different. For example, the checklist for the standardized and customized worksites of drilling and other operations can be compiled together with the HSE guidance due to the relative fixed placement of equipment and facilities and remains relatively fixed. Different checklists should be developed according to the placement of field equipment and facilities for construction and other worksites where the placement

The HSE checklist is a form designed to cover all the abovementioned inspection contents according to a scientifically reasonable route (order). During shift changes or patrol inspections, relevant personnel may pay more attention to the equipment, facilities, tools, and machines under their control and be referring to the checklist, especially the critical parts of the equipment and facilities, so as to improve the efficiency of discovering hazards and ensure that the hardware facilities are in a safe condition. Although the HSE checklist is relatively simple compared with "two documents," it focuses on the inspection on the safety state of objects, which is not

In the HSE-TDOC risk management mode, the HSE guidance can be used to control conventional operational risks; the HSE plan can be used to prevent unconventional operational risks, i.e., the "two documents" are to regulate human behavior; and the HSE checklist, i.e., "one checklist," can be used to inspect the state of objects. HSE-TDOC not only can be used for the risk control of mobile projects but also for the safety management of fixed workplaces. Besides, HSE-TDOC not only can be used for safety management in normal conditions but also for emergency response. Therefore, HSE-TDOC could serve as a HSE risk management mode to manage HSE risks arising from daily production and operation activities in grassroots organizations. Till now, HSE-TDOC as project risk management mode has been successfully applied in the frontline organizations of China National Petroleum Corporation (CNPC) for more than

**28**

20 years [11].

procedures and technical specifications are put into the HSE guidance. Through educating with the HSE guidance in daily training, the knowledge including the operating procedures can be grasped by employees, and the operating procedures can only be obeyed by them on the basis of their knowing, otherwise if they know little of the operating procedures, let alone obey them.

At present, although many enterprises have paid great attention to staff education/training, the training effect is not satisficing due to single method, disorganized contents, and lack of continuity [12–16]. To a certain extent, the HSE guidance has solved problems relating to staff technical skill training. As the HSE guidance contains all the information that should be grasped by employees such as position-specific operating procedures and emergency response procedures, it is a collection of technical skills that should be grasped by employees for a specific position. Through continuous education of the HSE guidance, employees will grasp all the knowledge required by the position and hence improve their skills to prevent risks.

#### **5.2 HSE plan for unconventional operational risk management**

The HSE plan is a document developed to prevent unconventional risks of a project that are not included in the HSE guidance. Unconventional risks not only include risks arising from a variety of unconventional activities which cannot be normalized by the pre-established operating procedures and technical specifications due to the changes such as the content or environment of the operational activities but also risks arising from various changes. It should be clear that if the risk has been already managed by either PTW (the risks arising from excavation, hot work, work at height, temporary electricity, entry into confined space, etc.) or MOC or other management tools, there is no need to mention in the HSE plan. The HSE plan is designed to manage the risks that have not been controlled by either HSE guidance or PWT or MOC or other management tools that have not been managed yet due to various reasons.

Due to the reason that the management of unconventional risks of a project is not included in the HSE guidance which is about the management of conventional risks, they can be basically managed by means of the combined use of HSE plan, PTW, and MOC. Therefore, all the identified risks (conventional risks + unconventional risks) can be managed through the combined use of HSE guidance and HSE plan.

#### **5.3 HSE checklist for management of objects (equipment, facilities, etc.)**

Based on the principle of territorial management, HSE checklist is a form designed according to a scientifically reasonable route (order) to prompt inspection personnel to pay more attention to critical parts or vulnerable components of field hardware facilities that are used or managed by employees on each position, such as tools and machines, equipment, etc., in order to improve the efficiency of discovering hidden dangers. Each position is provided with a HSE checklist. Through the combined use of the HSE checklists of all positions, full inspection on all the hardware equipment, facilities, tools, and devices can be achieved.

Based on the characteristics of each position, it is necessary to conduct an inspection on hardware equipment and facilities used or managed by the position before shifts or during working hours (whichever is applicable), to ensure that the hardware facilities are in a safe condition. Through the use of position-specific HSE checklist, unsafe state of objects will be fully inspected and effectively controlled, thereby improving the efficiency of safety check.
