The SRI Group The SRI Group IncorporatedIncorporated

www.thesrigroup.comwww.thesrigroup.com

• Safety Consulting Firm based in Conroe, Texas

• 30 years of experience

• 600+ Safety Process Assessments

• Over 500 facilities throughout the world

• 29 VPP Sites

• Numerous Best in Class and Top Decile Clients

The SRI Group

ASCOAir Products & ChemicalsAir LiquideAlbemarleAmerada HessAmerican Ref-FuelBASFBaker HughesBayerBP AmocoChampion TechnologiesChevron TexacoChevron PhillipsConoco PhillipsDegussaDow

Duke EnergyEthylExxon-Mobil FermentaGenCorpGeneral ChemicalGoodyearHughes ChristensenHuntsman ChemicalHoneywellKronos Inc.Louisiana PacificLyondell CitgoMarathon Ashland PetroleumMerisolMotiva Murphy Oil

NACCONAPCO National SteelNova ChemicalOhmstede Olin BrassOMNOVA SolutionPhillips 66PlastipackSchenectady InternationalShell OilSunoco ChemicalsUnited Space AllianceUSS SteelValsparWestlake Group

Client List

Asking the RightAsking the RightQuestionsQuestions

• Take TimeTake Time

• People get DefensivePeople get Defensive

• Teaching to the TestTeaching to the Test

• Differences of OpinionDifferences of Opinion

• AccountabilityAccountability

• Little ChangesLittle Changes

Audit ProblemsAudit Problems

Audit DefinedAudit Defined

• Methodical Examination and Review to Methodical Examination and Review to

Review and Verify. Review and Verify.

• Evaluation of a Person, Organization, Evaluation of a Person, Organization,

System or Activity.System or Activity.

• Improve ComplianceImprove Compliance

• Reduce RiskReduce Risk

• Best Practice SharingBest Practice Sharing

• Keep the Boss Out of JailKeep the Boss Out of Jail

Audit StrengthsAudit Strengths

Asking the WrongAsking the WrongQuestionsQuestions

What they’re notWhat they’re not

• WalkthroughsWalkthroughs

• Safety InspectionsSafety Inspections

• Perception SurveyPerception Survey

Audit Re-DefinedAudit Re-Defined

Evaluation to Verify the Evaluation to Verify the

Effectiveness of a Process, Effectiveness of a Process,

System or ActivitySystem or Activity

• Ensure the current systems, procedures and

activities are sufficient for the desired level of

performance.

• Ensure current efforts are creating the desired

outcomes and dynamics.

Purpose

Proper MeasurementProper Measurement

• ActivitiesActivities

• Systems / ProcessesSystems / Processes

• ResultsResults

Input Measures

People

Systems

Information

Activity Activity ActivityOutput

Outcomes

INPUTS INPUTS

PROCESS ACTIVITIES PROCESS ACTIVITIES RESULTSRESULTS

PERFORMANCE PERFORMANCE MEASURES MEASURES

Process Measures

Result Measures

Are We Doing Things Right?

Are We Doing The Right Things?

MeasurementMeasurement

MeasurementMeasurement

• Annual Process Assessment

• Manager’s Monthly Assessment

Types of Audits

Annual Assessment MethodsAnnual Assessment Methods

• Work Site Reviews Work Site Reviews

• InterviewsInterviews

• Documentation ReviewsDocumentation Reviews

• SME / Owner PresentationsSME / Owner Presentations

Completed on a monthly basis.

Pick 1 Team, Area or Department

Deep dive on 1 or more system, procedure or activity

Feedback both up and down

Manager’s Assessment Protocol

Focus of the Assessments Focus of the Assessments

• Structure Structure

• OwnershipOwnership

• CapabilitiesCapabilities

• EffectivenessEffectiveness

• DesignDesign

• Organization Organization

• Defined ExactlyDefined Exactly

• InfrastructureInfrastructure

Focus - StructureFocus - Structure

• LeadershipLeadership

• Accountability Accountability

• InvolvementInvolvement

Focus - OwnershipFocus - Ownership

• SkillsSkills

• Expertise Expertise

• WillingnessWillingness

Focus - CapabilityFocus - Capability

• ResultsResults

• Dynamics Dynamics

• SynergySynergy

• CultureCulture

Focus - EffectivenessFocus - Effectiveness

• General InformationGeneral Information

• Management LeadershipManagement Leadership

• Responsibility & AccountabilityResponsibility & Accountability

• Process Organization & Communication Process Organization & Communication

• Critical SystemsCritical Systems

• Prevention ActivitiesPrevention Activities

• Process Evaluation & ImprovementProcess Evaluation & Improvement

Assessment ElementsAssessment Elements

• Are we profitable ?Are we profitable ?

• Do we have the resources ?Do we have the resources ?

• What is the ultimate goal ?What is the ultimate goal ?

• What has to change and why ?What has to change and why ?

• What are the barriers to success ?What are the barriers to success ?

• Is our current effort comprehensive ?Is our current effort comprehensive ?

• What other systems can we leverage ?What other systems can we leverage ?

General InformationGeneral Information

• Vision, Values and PolicyVision, Values and Policy

• Goals and ObjectivesGoals and Objectives

• Championing Championing

• Safe Operating Decisions Safe Operating Decisions

• MentoringMentoring

• MOC of PersonnelMOC of Personnel

Management LeadershipManagement Leadership

• What matters most here XYZ ?What matters most here XYZ ?

• Do business ever conflict with safety ?Do business ever conflict with safety ?

• What is your personal involvement ? What is your personal involvement ?

• How are new members of the leadership team How are new members of the leadership team indoctrinated ? indoctrinated ?

• How are safety concerns incorporated into How are safety concerns incorporated into strategic planning goals ?strategic planning goals ?

Management LeadershipManagement Leadership

• Line Management PhilosophyLine Management Philosophy

• Defined Roles and ResponsibilitiesDefined Roles and Responsibilities

• Acceptance at Each LevelAcceptance at Each Level

• Performance AppraisalsPerformance Appraisals

• Discipline SystemsDiscipline Systems

• InvolvementInvolvement

Safety ResponsibilitySafety Responsibility

• Are you held accountable for safety ? How ?Are you held accountable for safety ? How ?

• What are your specific safety responsibilities ?What are your specific safety responsibilities ?

• For what and how do you hold your subordinates For what and how do you hold your subordinates accountable ?accountable ?

• What are the consequences for non-compliance ?What are the consequences for non-compliance ?

• Are safety responsibilities additional to your real job ? Are safety responsibilities additional to your real job ?

Safety ResponsibilitySafety Responsibility

• Meeting and Communication StructureMeeting and Communication Structure

• CommitteesCommittees

• Start of Shift CommunicationStart of Shift Communication

• Communication EffortsCommunication Efforts

Process OrganizationProcess Organization

• How are important decisions communicated to you ?How are important decisions communicated to you ?

• Is safety covered in staff meetings or in dedicated Is safety covered in staff meetings or in dedicated safety meetings ?safety meetings ?

• Where are the gaps in our current communication Where are the gaps in our current communication effort ?effort ?

• Are Safety meetings used to manage all aspects of Are Safety meetings used to manage all aspects of our safety effort ?our safety effort ?

Process OrganizationProcess Organization

• Engineering ControlsEngineering Controls

• Inspection EffortsInspection Efforts

• Corrective ActionCorrective Action

• HousekeepingHousekeeping

Safe Work ConditionsSafe Work Conditions

• How are corrective actions communicated ?How are corrective actions communicated ?

• How do you measure the appropriateness and How do you measure the appropriateness and effectiveness of hazard reviews ?effectiveness of hazard reviews ?

• What level of feedback are you given on capital What level of feedback are you given on capital projects ?projects ?

• What is inspected, How often and Why ?What is inspected, How often and Why ?

• How often are pre-use inspections completed ?How often are pre-use inspections completed ?

Safe Work ConditionsSafe Work Conditions

• HSE ProceduresHSE Procedures

• Standard Operating ProceduresStandard Operating Procedures

• Emergency ManagementEmergency Management

• Contractor SafetyContractor Safety

• Health and HygieneHealth and Hygiene

• Compliance EffortsCompliance Efforts

• Incident InvestigationIncident Investigation

Critical SystemsCritical Systems

• What % of the time do we follow procedures ?What % of the time do we follow procedures ?

• What would you do right now if we lost What would you do right now if we lost instrument air pressure ?instrument air pressure ?

• Are contractors following our procedures ?Are contractors following our procedures ?

• What % of minor injuries are reported ?What % of minor injuries are reported ?

• Are most investigation used to fact or fault ?Are most investigation used to fact or fault ?

Critical SystemsCritical Systems

• TrainingTraining

• Task AnalysisTask Analysis

• Pre Work EvaluationsPre Work Evaluations

• ObservationsObservations

• Awareness ActivitiesAwareness Activities

• Coaching ActivitiesCoaching Activities

• StewardshipStewardship

• Hazard RecognitionHazard Recognition

• APS / RCAAPS / RCA

Prevention ActivitiesPrevention Activities

• Are we training new hires properly ?Are we training new hires properly ?

• Which job or task worries you most ?Which job or task worries you most ?

• What do you learn from your last What do you learn from your last observation ?observation ?

• When was the last time your supervisor talk to When was the last time your supervisor talk to you about safety ?you about safety ?

• What was the last improvement initiative What was the last improvement initiative concerned with ? Has it worked ?concerned with ? Has it worked ?

Prevention ActivitiesPrevention Activities

• AuditsAudits

• Data Analysis and UsageData Analysis and Usage

• Action TrackingAction Tracking

• MeasurementMeasurement

Process ImprovementProcess Improvement

• How do you know that you’re doing a good job ? How do you know that you’re doing a good job ?

• What data is reviewed in your last safety meeting What data is reviewed in your last safety meeting and what did the group do in response ?and what did the group do in response ?

• Are action items completed on time ?Are action items completed on time ?

Process ImprovementProcess Improvement

King / QueenKing / QueenFor The DayFor The Day