SHE Requirements for Contractors Offshore (Projects) · Chapter HAZID/HAZOP has been added . 4. Operational level . Chapter Transfer offshore has been updated . Formulation SHE RR

SHE Requirements for Contractors Offshore (Projects)

Public information Version 1.3.2 SSC 18-024


DATE 04.09.2018 / Rev. 1.3.2 PAGE 2 of 22 REF.NO. SSC18-024

Index of changes and releases Date Changes Version Author Authorized by 11-1-2016 - 1.0 T. De Fruyt (NLO) SHE Manager 3-5-2017 Operational SHE

requirements have been combines with General SHE requirements for Contractors "SSC15-037". 1. General

Chapter has been updated.

2. Policy Chapter has been added. Strategic level Chapter has been updated.

3. Operational level Chapter has been updated.

4. Annexes Annexes added.

1.1 S. Schuldt T. De Fruyt (NLO)

J. Nielsen (NLO)

12-10-2017 2. Policy level Chapter Live Saving

Rules has been supplemented with FAIR Approach

3. Strategic level Chapter HAZID/HAZOP

has been added 4. Operational level

Chapter Transfer offshore has been updated

Formulation SHE RR have been renamed SHE realization requirements (SHE RR)

1.2 S. Schuldt J. Nielsen

02-08-2018 Formatting optimized, integration of O&M aspects, Marine Operations Plan included, Training requirements revised, content thoroughly revised

1.3 O. Dronke J. Nielsen

30-08-2018 Cover sheet and scope adjusted, Vessel requirements adjusted

1.3.1 O. Dronke J. Nielsen

04-09-2018 Document number changed 1.3.2 O. Dronke J. Nielsen Information protection classification A1, I1, C1: Public Information



Content 1. GENERAL ................................................................................................................................... 5 1.1 Purpose ............................................................................................................................ 5 1.2 Scope ............................................................................................................................... 5 1.3 Definitions ....................................................................................................................... 5 1.4 Relation with other Client guidelines / Requirements ................................................ 6 2. POLICY LEVEL ............................................................................................................................ 7 2.1 General ............................................................................................................................. 7 2.2 Mission ............................................................................................................................. 7 2.3 Safety Vision 2018 .......................................................................................................... 7 2.4 Life Saving Rules and FAIR Approaches ..................................................................... 8 2.4.1 Life-Saving Rules ......................................................................................................... 8 2.4.2 Application of the FAIR Approach ................................................................................ 8 2.4.3 Stop Work ..................................................................................................................... 8 3. STRATEGIC LEVEL ...................................................................................................................... 8 3.1 Legal and other requirements and Compliance with Regulations ............................ 8 3.2 Incentive program ........................................................................................................... 9 3.3 Contractor SHE Management and Organisation ......................................................... 9 3.3.1 Safety Culture Ladder ................................................................................................... 9 3.3.2 SHE management system ............................................................................................ 9 3.3.3 Coordination ................................................................................................................. 9 3.3.4 Subcontractor management ......................................................................................... 9 3.4 Leadership and Management commitment ................................................................ 10 3.5 Business reviews .......................................................................................................... 11 3.6 Risk Management ......................................................................................................... 11 3.6.1 HAZID and HAZOP studies ........................................................................................ 11 3.6.2 Risk Assessment ........................................................................................................ 12 3.7 SHE in the design phase .............................................................................................. 12 3.8 SHE documents and SHE plans .................................................................................. 12 3.8.1 SHE documents for contract negotiations .................................................................. 12 3.9 SHE meetings and audits ............................................................................................. 13 3.9.1 SHE Meetings ............................................................................................................. 13 3.9.2 Audits .......................................................................................................................... 13 3.10 Reporting SHE incidents .............................................................................................. 13 3.11 Incident investigation ................................................................................................... 14 3.12 SHE Training and personal certificates ...................................................................... 14 3.13 SHE communication ..................................................................................................... 14 3.14 Reporting SHE performance metrics .......................................................................... 14 3.15 Emergency response organization ............................................................................. 15 3.15.1 General ....................................................................................................................... 15 3.15.2 Attendance recording (mustering) .............................................................................. 16 3.15.3 Emergency drills ......................................................................................................... 16 3.15.4 Medic .......................................................................................................................... 16 3.16 Rules for working in shipyards ................................................................................... 16 3.17 Personal protective equipment (PPE) ......................................................................... 16 3.18 Environment .................................................................................................................. 17 3.19 Waste management ...................................................................................................... 17 4. OPERATIONAL LEVEL ............................................................................................................... 18 4.1 Dismissal of personnel ................................................................................................. 18 4.2 Access to persons, information and locations .......................................................... 18 4.3 Adverse Weather Conditions ....................................................................................... 18 4.4 Defibrillator (AED) ......................................................................................................... 18 4.5 Diving ............................................................................................................................. 18



4.6 Drugs, Alcohol and Medication ................................................................................... 18 4.7 Helicopter ...................................................................................................................... 18 4.8 Identity and age ............................................................................................................. 19 4.9 Language ....................................................................................................................... 19 4.10 Man basket .................................................................................................................... 19 4.11 Permit to Work (PTW) ................................................................................................... 19 4.12 Personal Safety Logbook (PSL) .................................................................................. 20 4.13 Temporary Living Quarters (TLQs) ............................................................................. 20 4.14 Transfer offshore .......................................................................................................... 20 4.14.1 Transfer to fixed structures ......................................................................................... 20 4.14.2 Vessel to vessel transfer ............................................................................................ 21 4.15 Working Hours .............................................................................................................. 21 4.16 Violence and weapons ................................................................................................. 21 4.17 Visitors ........................................................................................................................... 21 4.18 Vessel requirements ..................................................................................................... 21 4.19 Exclusive metre zones ................................................................................................. 21 4.20 Electrical safety ............................................................................................................. 21 SHE REALIZATION REQUIREMENTS (SHE RR) .................................................................................... 22



1. General

1.1 Purpose An important concern of the Client is the protection of the Health, Safety and Environment (following SHE) to all his employees, Contractor employees and the general public. We should all work together to reduce and eliminate SHE incidents. This document sets out the general and operational SHE requirements for Contractors working for the Client. The requirements described here are complementary to the relevant international and national laws and regulations. This document outlines the minimum requirements that Contractors (Subcontractors included) shall comply with. SHE is a core value in all work performed for the Client. Contractors shall comply with all relevant policies, rules and procedures set forth by the Client.

1.2 Scope This document is intended to be generally applicable to projects and O&M activities. It applies to all Contractors of the Client and their Subcontractors where contractually agreed. This document does not stand alone – nor should it be interpreted as the exclusive requirements for Contractors. In addition to this guideline, specific SHE rules may apply, such as site specific rules.

1.3 Definitions Contractor A person or organization which provides services to the Client under terms specified in a contract. Note: individuals or organizations supplying goods are not regarded as Contractors in the scope of this guideline, but as suppliers. Of course, a supplier may also be a Contractor if both goods are supplied and work performed. Identity document Any document approved in the EC that may be used to identity of the bearer. E.g. passport, European identity card, residence permit document. Personal Safety Logbook (PSL) The Personal Safety Logbook is a personal document containing records of all the holder's relevant (safety) training courses. In addition, it may also contain medical information. The Client accepts the PSL of SSVV and WEG/DGMK. Subcontractor An individual or organization that signs a contract to perform part or all of the obligations of another's contract. Client site A physical site owned by the Client or a (temporary or permanent) workplace under the (direct or indirect) management control of the Client, e.g. (non-limitative): an office building, substation, offshore platform, construction site, cable laying site or vessel. Stop Work Compare section “2.4.3 Stop Work“



Emergency versus crisis When reference is being made to (Operational) Emergency Response, then this is referring to emergency response on a project level. On strategic level this is referring to the level of crisis management. Emergency response procedures focus on the direct operational response at the scene of the incident with the goal to preserve and protect the personnel, environment, assets, etc. from harm. Incidents might be so severe that they also have a (strategic) impact on the organizations involved. In these situations only on site emergency response is not enough to effectively mitigate the impact of the situation and a crisis management response is needed. The focus of the crisis management response is to identify this strategic impact, develop a crisis management strategy and take the critical decisions and actions needed to mitigate this impact.

1.4 Relation with other Client guidelines / Requirements • Guideline CSS13-014 “Definitions and classification of SHE incidents” (RR 1).

This guideline provides rules on which incidents are in and out of scope, how to classify incidents and how to determine hours worked.

• Guideline CSS15-009 “Reporting, investigation and review of SHE incidents” (SHE RR 2). This guideline contains general rules for reporting SHE incidents, which incidents to investigate (when, who, how) and how incident investigations are reviewed in the different layers of the organization.

• SSC17-005 “Approved methods for SHE incident investigation” (SHE RR 3). This document contains a list of methods that are suitable in the Client's view for establishing direct and underlying (root) causes of SHE incidents.



2. Policy level

2.1 General It is important that our Contractors are aware of, recognize and adhere to the Client's Mission and Vision, and more specific Client's Safety Vision and Life Saving Rules. In the following paragraphs, general information is given. Detailed information on these topics can be found on the Client website www.tennet.eu.

2.2 Mission The mission consists of two key elements:

• providing security of electricity supply • developing an integrated and sustainable North West European electricity market.

2.3 Safety Vision 2018 The Client has the ambition to reduce the number of accidents to zero. When work is performed, safety may never be up for discussion. We expect everyone, our employees and Contractors alike, to work safely – or not at all. In quantitative terms, it is our objective to realize an LTIF lower than 1.0 by 2018, for our own employees as well as those of our Contractors. We want every employee or Contractor at the Client to return home safely every day. The Safety Vision 2018 sets the following priorities:

• Safety Leadership: our safety performance must reflect our operational excellence. We want to be recognized as a leader on safety, and we invest in this.

• One TenneT Standard: we strive for a harmonized and integrated approach to safety. We have introduced a uniform system for reporting incidents, and guidelines for conducting incident investigations. Incident investigations are evaluated at executive level.

• Contractor Management: we seek to optimize the safety performance of our Contractors. We do this by carefully selecting Contractors, also based on their safety performance, and by including them in our way of working in order to achieve our safety goals.

http://www.tennet.eu/



2.4 Life Saving Rules and FAIR Approaches

2.4.1 Life-Saving Rules TenneT has introduced six life-saving rules that includes six rules and the FAIR Approach (Flowchart Analysis of Investigation Results). Our six Life-Saving Rules are:

1. Protect against falling when working at height; 2. Use personal protection equipment when required; 3. Do not work, walk or stand under a suspended load; 4. Comply with electrical safety principles; 5. Prevent dropped tools and equipment 6. Work with a valid work permit when required

Each LSR violation will be investigated thoroughly. We promote an open reporting culture. We therefore encourage the reporting of any incidents, also the one which includes a breach of a LSR.

2.4.2 Application of the FAIR Approach The Life-Saving Rules have the highest priority for TenneT - if a Life-Saving Rule has been violated, we must learn from it and derive measures to prevent similar violations in the future. The purpose of the FAIR method is to learn about the reasons for (possible) violations and the context in which they occur. It is important to understand why the rule was violated. If there has been an incident that did not comply with a life-saving rule, the FAIR Approach must always be used as soon as possible. In a 3-step process, the FAIR method helps executives or the responsible person on site to (1) classify the category of LSR violations based on the underlying motives (2) test that categorization through the substitution test, and (3) develop improvement measures to prevent future situations. The flowchart for the 3-step process and more information on the FAIR approach are available on the TenneT website www.tennet.eu.

2.4.3 Stop Work We are of the opinion that accidents can be avoided if leaving the chance to employees to call for a Stop Work anytime they face a situation in which they feel unsafe. The work shall not be continued before work conditions has been assessed by all involved parties and found to be safe. Even though in cases where no additional measures are required no blame shall be accounted to the employee who has called for the Stop Work. Instead his courage and honesty shall be honored. We expect Contractors to reflect the right for employees to call for a Stop Work on company level. Stop Works shall be reported to the Client following the reporting requirements in this document.

3. Strategic level

3.1 Legal and other requirements and Compliance with Regulations Contractors shall comply with all relevant and applicable (inter)national SHE legislation, including international maritime law. Requirements from Client are to be considered as an addition to or as a binding interpretation of legal and other requirements. This includes selection by Client of certain laws, codes or standards as applicable.

http://www.tennet.eu/



In case of a dispute or introduction of new regulation during the project Client always reserves the right to determine the interpretation of a given regulation and to what extend it is applicable to the project.

3.2 Incentive program The Contractor is required to have two incentive programs in place. One program must cover the persons working on the site. Another program must cover the project level i.e. the project manager and other key functions. Both programs must:

• stimulate positively • be based on team performance • be limited to a certain phase of the project • Improvements in SHE performance based on the key performance indicators

included in the SHE RR 06 "Performance Indicators"

3.3 Contractor SHE Management and Organisation

3.3.1 Safety Culture Ladder The Safety Culture Ladder (SCL) is an engaging and structured method to promote awareness of our respective attitudes and behaviors concerning Safety. In the Client’s view this is a necessary step towards fulfilling the Client's ambition of achieving zero accidents. If no SCL certificate is available, the Contractor undertakes to comply with the required SCL Level 3 certification in accordance with the SHE-RR 04 "Safety Culture Ladder - Requirements for Contractors" Contractor shall submit its time and activities plan to fulfil this requirement to the Client.

3.3.2 SHE management system The Contractor shall maintain a documented SHE management system according to ISO 45001 (safety management system) and ISO 14001 (environmental management system). For safety management: In the transition period OHSAS 18001 will be accepted until 31.03.2021. SCC / VCA (Safety Certificate Contractors) will be accepted as well. The Client allows for alternative management systems, whereas the proof of equality has to be supplied by the Contractor. Where appropriate, the interface between the Client’s and Contractor’s SHE management systems shall be recorded by the Contractor in a SHE management system interface document. Similarly, Contractor shall record, where necessary, the interface between third parties and the Contractor’s SHE management system. If a Contractor is responsible for multiple sites it is required that the same safety measures are taken and that the safety regime is the same, taking into account differences between onshore and offshore works.

3.3.3 Coordination The Client shall appoint a person who will be responsible for SHE coordination in the design and execution phase of the works. The tasks of the coordinator shall be in accordance with the applicable laws and laid down in a SHE coordination agreement.

3.3.4 Subcontractor management Contractors are allowed to award subcontracts to subcontractors but are required to announce the subcontractors to the Client four weeks ahead of work execution. Should the



Client have justified objections against a subcontractor the Client shall be entitled to reject a subcontractor. The Contractor is accountable for the work of the subcontractor as it is his own work. The Contractor shall have an auditable system in place for Contractor management, which includes following steps as a minimum:

• SHE evaluation of the potential subcontractor prior to contract award shall be performed. Results of this SHE evaluation shall have a significant impact on the contract award criteria;

• Process to assure all Subcontractor SHE documentation has been submitted, reviewed and approved prior to any scope start;

• Monitoring of the SHE performance during project execution, including planned SHE audits

3.4 Leadership and Management commitment Following the safety Vision 2018, safety leadership translates to Contractor management commitment in the following ways:

• Investigations of Contractor SHE incidents are to be led by a non-SHE Contractor employee with management responsibility. Investigation reports must be signed off be a senior manager (min.1 level above project level) of the Contractor.

• Following a Contractor incident investigation, a member of the board of the Contractor may be invited to the Client's Incident Review Board. Similarly, in case of repeated incidents of a lesser category.

• Management of the Contractor (min. 1 level above project level) may be requested to perform or attend Safety Walks.

• Following a Lost workday case (LWC) the management of the Contractor (min. 1 level above project level) must present the corrective and preventive actions taken to the Client in a meeting. A similar meeting can be requested by the Client in case of repeated incidents (non-LWC), by incidents with high risk potential or following events demonstrating clear deviation from a responsible safety culture.

The Contractor is required to split the works into phases and organize at least a pre-start kick-off meeting for each of these phases to discuss SHE expectations, potential SHE management system interfaces and specific SHE issues and requirements in accordance with the contract. The splitting of the works in phases shall be subject to the approval of Client. The kick-off meeting shall be held as soon as practical before the performance of the relevant part of the Works. The Contractor shall organize a kick-off meeting with his Subcontractors which kick-off shall be led by the highest ranking manager within Contractor's project organization. Items to be discussed at the pre-start kick-off meeting will include as a minimum:

• Client’s SHE policy and expectations; • Reiteration of SHE requirements for contracts and any additional specific SHE

requirements identified in the contract; • Review suitability of Contractor’s SHE arrangements; • Review of any agreed SHE key performance objectives, targets and indicators; • Review management of high risk activities & controls (including permit to work

requirements & key procedures); • Review Contractor SHE management plan and / or bridging document, emergency

response plans etc. (or if not complete, plans for completion); • Review SHE roles and responsibilities;



• Review SHE orientation processes to be implemented (e.g. the Client requirements, subcontractor orientations and project se specific orientations for new personnel & visitors);

• Review of processes for hazard & incident reporting & behavior based observation programs;

• SHE reporting and communication requirements; • Review Contractor SHE training program; • Confirmation of relevant Contractor’s personnel competence; • Confirmation of the scope and schedule of key SHE activities including: SHE

orientation / induction, SHE meetings, SHE training, audits and reviews; • Interaction of Client and Contractor contingency plans and ensure that the

emergency response plan is fully understood by the Contractor's Personnel and other persons expected to be present on the Site

• Environmental management requirements; • Communication plan for verbal and written briefing of the members of the Contractor /

subcontractor personnel and other relevant persons on key information and outcomes from the pre-commencement kick-off meeting.

Client expects the Contractor to demonstrate leadership and commitment to SHE as described in the relevant chapter of ISO 45001. This includes Contractors' leadership involvement in the investigation and follow-up of SHE incidents.

3.5 Business reviews The Contractor safety performance will be linked to payment milestones during the contract negotiation. During and after the runtime of the project or the contracted activity, the SHE performance of the Contractor will be evaluated including focus on the cooperation between site personnel and back office functions across the value chain. The results may have consequences for the Contractor.

3.6 Risk Management

3.6.1 HAZID and HAZOP studies In the planning phase, before the start of additional project phases and in the event of significant changes, the Contractor must perform HAZID and HAZOP studies for the individual work sections in order to identify the activity- and system-related dangers. In the event of extensive work on the system in the operating phase, HAZID and HAZOP studies must be performed by the Client. The purpose of these HAZID and HAZOP studies is to identify the dangers at an early stage and to allow corresponding safety measures to enter in the design of systems and planning of the work already before the dangers arise in that: • Potential hazards are identified • Potential changes in the work process are identified • Their causes are investigated • Resulting risks are assessed • Measures for avoiding or reducing these risks are defined The results of the studies therefore form the basis for the hazard assessments during the construction phase as well as for the hazard assessments for the operating phase.



The Contractor must organize these HAZID and HAZOP studies in the project phases and invite / include suppliers, design and construction companies as well as the Client. HAZID – Hazard Identification Study The HAZID process serves to identify all significant hazards in connection with the considered activity. The HAZID process is regulated, for instance, in EN ISO 17776:2002 (guidelines on tools and techniques for hazard identification and risk assessment). HAZOP – Hazard Operational Study The HAZOP is a safety procedure that serves to investigate the safety of technical systems; for instance, the standard IEC 61882:2001-05 “Hazard and operability studies” describes the performance of the HAZOP in detail.

3.6.2 Risk Assessment Contractors will carry out a hazard identification and risk assessment of all routine and non-routine activities and situations (including foreseeable emergency situations) before these activities are carried out. The outcome will be shared with the Client. The Client may ask additional information to be delivered before the activities may take place or the situation to be created. The SHE risk assessment matrix incl. the acceptance criteria for risks of the Contractor must be approved by the Client before start of work. The Client expects Contractors to follow the As Low As Reasonably Practical (ALARP) principle. ALARP can entail a combination of the steps in the Hierarchy of Control.

3.7 SHE in the design phase The Hierarchy of Control and ALARP principles as described in the chapter 3.6.2 also apply to the design phase. The design shall consider the risks that may appear in any of the phases in the life cycle of the end product. It’s expected that the Contractor in an early design phase, so before design freeze, will do a Design Risk Assessment (DRA) workshop with all parties involved in the design. This includes the Marine Warranty Survey (MWS) and any Certifying Authority. The Design Risk Assessment workshop will be chaired by a competent chairman. The Client shall be informed at least two weeks in advance of the proposed date and location of the Design Risk Assessment Workshop. The Contractor shall be responsible for the follow-up and tracking of all actions to close-out that are a result of the DRA workshop. If the Contractor does not have design responsibility but is executing work according to a design, they will, on request of the client, be required to participate in DRA activity to enable the optimum outcome and provide input for safe constructability from their experience as a contractor.

3.8 SHE documents and SHE plans

3.8.1 SHE documents for contract negotiations The following SHE documents are expected to be delivered from the Contractor in the tender phase:

• valid certificate of the SHE management system according to ISO 45001 or comparable and ISO 14001 and comparable



• certificate Safety Culture Ladder or action plan • project-specific SHE master plan

The SHE master plan shall be submitted project-ready, in other words directly ready for use in the project. Placeholders can be left in the documents for information that will only be known in the project phase (e.g. for the responsible project manager or the occupational safety expert). The topic SHE documents is regulated in the Dutch working conditions legislation, specifically The Working Conditions Decree. Requirements for SHE documents are described in RR 09-NL “Preparation of SHE design phase and execution phase plans”.

3.9 SHE meetings and audits The Client may organize SHE meetings, SHE audits or surveys involving Contractor's personnel. The Contractor shall facilitate these activities upon request and grant unlimited access to Contractor employees and information. The Contractor will enable his employees to take part in these events.

3.9.1 SHE Meetings SHE will be the first topic of discussion at all project meetings. There will also be specific meetings during which SHE will be emphasized or meetings for the exclusive purpose of discussing SHE issues and enhancing the project SHE program. As a minimum the following meetings will be held for the purpose of enhancing safety:

• Kick-off meetings held by project management prior to the start of each of phases of Works;

• The monthly progress meeting between the Parties, • Daily pre-task meetings held by foremen, also referred to as Last Minute Risk

Analyses (LMRA); • Weekly meetings of the project SHE professionals including the project manager of

the Contractor and the Engineer; • Weekly project coordination meetings chaired by a representative of project

management other than a SHE manager.

3.9.2 Audits Following an audit, a report must be produced containing non-conformities and observations, positive as well as negative. As part of the report any non-conformity must be assigned to a responsible person and mitigations carried out within a given timeframe the maximum being three month. Client shall be informed regarding internal Audits planned by the contractor or its subcontractors Should an inspection from the authorities (e.g. SodM) take place for any work covered by the scope of the work the Contractor must notify the Client and provide a copy of the inspection report to the Client.

3.10 Reporting SHE incidents Contractors shall report all SHE incidents, accidents, near miss and potential incidents (PI) that occur during work related activities that are executed under a contract on behalf of the Client. Incidents, accidents and near miss shall be reported by phone to the MOC. PI’s can be recorded in a register (Hazard Observation Card system) and shared on a monthly basis with



the Client. Further requirements are laid down in SHE RR 01 “Guideline CSS13-014 - Definitions and classification of SHE incidents”. The Client reserves the right to transfer the reporting to a web-based system. In this case the Client provides access data and training and asks the Contractor to use cloud-based the system for SHE reporting.

3.11 Incident investigation Incidents occurring during activities controlled by Contractors must be investigated by the Contractor. Management is expected to take an active role in the investigation process as described in paragraph “3.4 Leadership and Management commitment”. The Client remains the right to investigate the incident independently (apart from the Contractor's obligation to investigate) or conduct a joint investigation (together with the Contractor). This will be decided and initiated by the Client project lead. Detailed requirements are laid down in SHE RR 2 “Guideline CSS15-009 - Reporting, investigation and review of SHE incidents”.

The incident must be analyzed using a method that is suitable for establishing both the direct and indirect causes. The Client uses the Tripod Beta method and prefers Contractors to use this method as well. A list of methods that are accepted for this purpose in the Client's view are described in SHE RR 03 “Guideline SSC17-005 - Approved methods for SHE incident investigation”.

The Contractor shall maintain a register of all incidents / accidents as per Client’s categories, attached to this document. This register shall be communicated to the Client on a monthly basis.

3.12 SHE Training and personal certificates The Client requires a minimum entry level of SHE education for all Contractor’s personnel to ensure that it has the basic knowledge required to perform work safely. The Contractors’ training concept shall at least fulfill the SHE RR 05 “Training and medical requirements”. All applicable certificates required by this document shall be in place, valid and available for verification at any time. On request of the Client the certificates shall be sent to the Client for verification. Certificates required to deliver shall be send in time without further notice. This clause refers among others to certificates for personnel trainings, equipment, vehicles etc.

3.13 SHE communication Before the commencement of any task by the Contractor, the person in charge of the task must discuss the task in detail with all those Contractor's personnel involved. Pre-task toolbox talks or LMRA's (Last Minute Risk Assessments) shall be performed and documented by the Contractor. The status of the tasks in progress will be discussed on a daily basis by Contractor with the Client and other Contractors or parties to ensure coordination of all the parties involved. Contractors and its subcontractors shall provide weekly progress reports.

3.14 Reporting SHE performance metrics Contractors will report monthly (for O&M phase quarterly) data on the extent of work performed and the number of SHE incidents occurring. The report shall be handed in on the fourth workday in the month following the reporting month. The Client guideline 'Definitions and classification of SHE incidents', described in SHE RR 01 provides the basis for reporting. The Contractor shall draw an integrated report, including data of all its subcontractors.



As a minimum, the Contractor shall report (subcontractors included) numbers of

• employees on-site • hours worked (exposure hours) • SHE inspections • emergency response drills • SHE audits • HAZID / HAZOPS carried out • Number of pre-start SHE talks (also referred to as Last Minute Risk Analyses) • Incentives issued • PTW’s issued • induction sessions ran • TBT’s • Stop works • incident investigations started • event types human related according to requirements in this document • event types environmental related • High risk incidents (HRI) / events involving a breach of a LSR

Furthermore the report shall include:

• Overview of PI’s (Safety Observation Cards) and tracking status • Update of waste register

The Contractor is asked to use a standardized format (excel sheet, RR08 “Reporting Template for Contractors”) for the reporting of the monthly SHE statistics provided by the Client. The Client reserves the right to switch to a web-based system for the monthly SHE reporting. In this case the Client provides access data for the cloud based system.

3.15 Emergency response organization

3.15.1 General All Contractor employees shall be familiar with emergency response plans for the project and shall participate in emergency drills. The procedures to be in place by the Contractor and reviewed by the Client before start of work shall include but not be limited to the following scenarios:

• Crisis management plan aligned with the Client crisis management; • Emergency response plan (ERP);

The Contractor shall liaise with the Client to ensure that the procedures considering external emergency organizations interface effectively. This shall include project specific details of emergency response arrangements including:

• Corporate individuals responsible for crisis management; • Contact details for project parties (Employer and Contractors); • External emergency facility contact details; • Emergency response initial actions flowchart.

The Contractor needs to develop emergency response procedures to deal with emergencies. Safety drills to test the response capability (for emergency evacuation and fire) shall be incorporated into the Contractor’s SHE plan. As a minimum a drill must be performed before starting a new project phase. This will include the formation and training of an emergency response team.



3.15.2 Attendance recording (mustering) The contractor shall ensure that the contractor's employees record their attendance to works and the Site in order that numbers can be satisfactorily accounted for in the event of fire or any other emergency situation.

3.15.3 Emergency drills As a minimum a drill must be performed under the following circumstances:

- Prior to start of a new phase of the works (must be included in the project time schedule)

- Changes to the emergency response plan (ERP) - Changes to the Emergency Notification Flowchart (ENF) - As required under company rules, Vessel SMS, Flag or class e.g. fire, man over

board, abandon ship and further safety drills Drills must include subcontractors and other parties on site.

3.15.4 Medic For any site with more than 100 persons a Medic is required. A qualified medical doctor on a vessel in accordance with IMO (International Maritime Organization) / according to NOGEPA (Netherlands Oil and Gas Exploration and Production Association) fulfills this requirement. The medic or doctor must be able to document his competencies on request. An Emergency Response Team must be formed and trained. The site must provide the medic a suitable room.

3.16 Rules for working in shipyards When working on shipyard or comparable manufacturing sites (not applicable to factories), the Contractor shall provide all SHE documentation of this yard in which Client's SHE requirements (this document) has been included. All works shall be performed according to the approved Operating Instructions / Method Statement and Risk Assessment for this work. Compliancy to the IMCA Publication “IMCA HSSE 032 Guidance on safety in Shipyards” shall be ensured. The term vessel is applicable to platform or jacket or any other products to be ordered by the client assemble in ship yards. All incidents and accidents occurring on shipyards, manufacturing sites linked to a Client project shall be communicated to the Client according of the Clients Accident and incident categories.

3.17 Personal protective equipment (PPE) The Contractor shall provide their employees with suitable and inspected personal safety equipment. The type and scope of the PPE must be defined in the risk assessments and / or operating instruction for the planned work. The Contractor is obliged to instruct his employees in proper use. Minimum PPE requirements are

- safety shoes S3 standard, ankle-high - high-visibility vests or clothing class 2 - safety helmet (climbing helmet where appropriate) - Safety glasses must always be carried by the worker and be worn in case of

attendant hazards for the eyes according to Contractors risk assessment or markings on site.



3.18 Environment The Contractor is obligated to take all required measures to protect the environment and avoid damage and stress to persons and property from ground works, waste materials, noise and other emissions. The threshold limit values established in this regard by statute may not be exceeded. The Contractor shall hand-in to the client the environmental impact assessment according to ISO 14001 8 weeks before start of work.

3.19 Waste management The Contractor must properly dispose or recycle in his name and at his expense all waste or residual materials arising or produced by the Contractor as waste producer in accordance with the waste-related laws and regulations, subject to any deviating written agreements. Ownership, risk, and responsibility under waste legislation pass to the Contractor at the time when the waste accrues, subject to any deviating written agreements The Client shall reserve the right of examination and approval of the disposal methods and proof of disposal before awarding the disposal contract. All waste management records shall be provided the Client.



4. Operational level

4.1 Dismissal of personnel The Client keeps the right to dismiss Contractors’ personnel from site, project or all TenneT projects acting in violation of any rule.

4.2 Access to persons, information and locations Contractors must lend immediate and unrestricted access to the Client personnel wishing to visit locations in order to carry out incident investigation, SHE inspections, safety walks and talks similar activities. Contractors will promptly provide any information deemed relevant by the Client in the light of the purpose of the visit. In case of an incident, direct access to the site of the incident, to the victim and to the witnesses and to any other information sources relevant to the investigation shall be granted.

4.3 Adverse Weather Conditions When adverse weather conditions present a potential risk to personnel, the Employer expects good judgment and risk based decisions to be used and action taken, up to and including stopping the job. Communication between offshore site, emergency services and crew transfer must be established and tested frequently. It must be determined before carrying out work if rescue is possible due to weather conditions. An adverse weather procedure shall be submitted to the Client.

4.4 Defibrillator (AED) A defibrillator (AED) must be available on all sites and staff trained in the use.

4.5 Diving By following the ALARP principle diving should be avoided. Should diving turn out to be needed IMCA guidelines (International Marine Contractors Association guideline) or equivalent must be followed. Notification shall be done to the Client in due time, along with task specific Risk Assessment.

4.6 Drugs, Alcohol and Medication The use, possession, transportation, promotion or sale of illegal drugs, controlled substances, drug paraphernalia and alcohol on the site is absolutely prohibited. Use of prescription or over-the-counter medications that may impair your ability to work safely shall be discussed with the supervisor or medic before beginning work. The Client does not tolerate drug abuse - substance abuse exposes everyone to the risk of injury and can lead to the damage of property and equipment.

4.7 Helicopter All helicopter operations must be conducted according to JAR OPS 3 (Operating instructions for commercial traffic with helicopters). In addition to that a minimum of 15 minutes between any flight activities within the offshore part of the site shall be maintained. In any event a 500 m safety zone from the offshore work activity shall be taken into account.



4.8 Identity and age All persons present on a Client location must be over 18 years of age and carry a valid identity document, which must be shown on request. Any document approved in the European Union that may be used to identity the bearer is accepted, e.g. passport, European identity card or residences permit. The Contractors’ personnel needs to be recognized belonging to the Contractor (name of company and person). Labelling of helmets is common and accepted. Alternatively labelled clothes will be accepted as well as long as they are almost permanently worn and not covered by equipment (e.g. harness).

4.9 Language It is intended that the common language used for the project shall be English. However, should it be unavoidable that Contractors intend to bring workers who have little or no verbal and or written command of the English language, it is required that appropriate and effective measures are taken by the employing Contractor to manage communication to and from these workers and to sufficiently mitigate and manage any risks presented by communication or cultural difficulties. These measures will include:

• Multi lingual induction; • Multi language signs with clear pictograms; • Education on the meaning of key oral warnings (e.g. “stop” ); • The provision of competent bilingual interpreters or bilingual foremen; • Translation of key safety information.

4.10 Man basket The Client’s minimum standard is a FROG or TORO device. The acceptance criteria is considered to be rigid, enclosed, buoyant, self-righting in case of immersion. The use of Billy Pugh type devices is prohibited. For use of man basket operations, the ALARP principle is applicable as man basket shall not be used as primary method. The risk assessment for man basket operations shall be provided to the Client for approval.

4.11 Permit to Work (PTW) The performance of high risk and / or all offshore work must be approved by a suitable work permit system. Such work includes the following types:

• Working at height • Work on and in the vicinity of electrical systems • Working above water • Hot work (e.g. welding, cutting, grinding) • Work in excavations and shafts or narrow spaces; • Lifting operations; • Work with hazardous substances • Radioactive activities. • Diving activities • etc.

For parts of the Site (e.g. construction site / ship / system), there may be separate distinctive PTW systems. The PTW systems must be described precisely in the SHE plan. The description shall include e.g. process, forms for work approval, time limits, checking of measures, etc.



The PTW system must also ensure that interfaces with other work are identified in a timely fashion and the work for preventing mutual endangerment can be coordinated together. In addition, the responsible persons are documented in the PTW system. An issued work permit may only be valid for eight hours or one shift and must be filled out by hand according to the circumstances at the Site and possibly the daily changing working conditions. In case of offshore works the validity term may be twelve hours. The Permit to Work system shall be controlled by an authorized person who shall be appointed in the SHE Plan.

4.12 Personal Safety Logbook (PSL) The employees of the Contractor must carry a PSL in order to prove the status of SHE training. The PSL shall be presented at the request of the Client. The green PSL (Netherlands) from SSVV and the orange PSL (Germany) from WEG / DGMK are accepted. Other PSL’s are subject to approval by the Client. The original certificates from training centers will be accepted as well as trainings registered in WINDA or TenneT academy.

4.13 Temporary Living Quarters (TLQs) Should offshore TLQs be used the NORSOK standard applies. The Contractor must at own initiative and responsibility manage the knock on effects of using TLQ's. This includes but is not limited to:

• Fire safety must be integrated with existing systems • The manning concept must be adjusted • Water supply and water treatment • Capacity of Life Saving Appliances • Waste management • Ventilation and power supply • Office space and locker rooms

The Client must be notified in advance of the installation of TLQ, and the competent authorities must be informed, including specification of the duration of use.

4.14 Transfer offshore The transfer of personnel to the substation shall be conducted via helicopter landing platform. In cases where the helicopter platform is (still) not in operation, the Contractor may request the use of the boat landing. The request concept shall include the frequency of intended transfers, a procedure for transfer as well as a suitable and sufficient risk assessment. The request shall be handed in 3 month before transfer activities start. The concept has to consider the use of fall protection system (free climbing not accepted). This concept shall comply with the Arbocatalogus requirements for offshore transfer (http://windenergiebedrijven.dearbocatalogus.nl/en/arbo/753).

4.14.1 Transfer to fixed structures Transfers between a fixed structure (i.e. a platform or a jack up barge) and a vessel shall be preferably done using a motion compensating system (Walk 2 Work principle). Surface elevated ships (SES) and Crew Transfer Vessels (CTV) shall be at second choice and not be intended as main means of transfer.

http://windenergiebedrijven.dearbocatalogus.nl/en/arbo/753



Use of man basket between a fixed and a moving structure should be avoided (ALARP principle) but is allowed considering the Employer's Requirements for use of man basket.

4.14.2 Vessel to vessel transfer Vessel to vessel transfer is subject for approval for each case. At a minimum one of the vessels must be equipped with a boat landing and a fall protection system shall be included. Methods with lower protection level (e.g. man basket, pilot ladder or swing ropes) will be not allowed.

4.15 Working Hours The European offshore work time regulations are applicable to all offshore work.

4.16 Violence and weapons Weapons are generally strictly forbidden at Clients sites. The Client defines weapons as such items that are declared as illegal by "Wet wapens or munitie". The weapons policy of the Contractor shall include the control of knives and prohibition of open bladed knives (i.e. cutter knives). The use of knives during a project shall be strictly controlled by a suitable system (i.e. PTW system) and a thorough risk assessment. The Hierarchy of Control and ALARP principle applies when deciding upon tools.

4.17 Visitors Visits to non-office locations by persons not directly involved in the works being carried out on that location (e.g. visitors) must be approved in advance by the project manager and the Client.

4.18 Vessel requirements The Contractor shall ensure that working conditions on vessels registered abroad comply with the working conditions of ships registered in the Netherlands (in case of a Dutch project) or in Germany (in case of a German project). Further vessel requirements are laid down in the RR07 “Marine Operations Plan”.

4.19 Exclusive metre zones Offshore Safety Zones around assets and vessels must be agreed in consultation with the Client, minimum Safety zone will be 500 m unless specified otherwise. Safety zones related to construction areas will be designated, demarcated and notified in consultation and compliance with national, licensing and permitting Authorities and International standards and norms.

4.20 Electrical safety In the Netherlands we work according to the offshore electrical safety standard (OESS). The OESS is based on the NEN 3140 and NEN 3840. On an operational level an approved electrical work plan is required for all activities. The electrical work plan is initiated by the Offshore Installation Manager (OIM). The “Werkverantwoordelijke” (WV) draws up a work plan, containing the electrical risks for installation and people. The WV hereby specifies the safety measures to be taken for this specific work as well as who will carry out this work and with which designation. WV offers these for OIV (Operationeel Installatie Verantwoordelijke = Senior Authorized Person, SAP) approval. The OIV assesses this plan and takes into account the operational management in relation to the work to be carried out. After agreement with the OIV, the WV starts with the work plan. After the work, the WV reports the OIV.



SHE Realization Requirements (SHE RR) Realization Requirements (RR) are applicable to projects and O&M. RR Title Latest revision 01 Guideline CSS13-014-Definitions and classification of

SHE incidents 2.0 / 10.07.2015

02 Guideline CSS15-009-Reporting, investigation and review of SHE incidents

1.2 / 09.01.2017

03 Guideline SSC17-005-Approved methods for SHE incident investigation

1.0 / 17.03.2017

04 Safety Culture Ladder - Requirements for Contractors 1.0 / 09.08.2018 05 Training and medical requirements 1.0 / 09.08.2018 06 Performance Indicators 1.0 / 09.08.2018 07-NL Marine Operations Plan 2.0 / 26.07.2018 08 Reporting Template for Contractors 1.3 / 27.07.2018 09-NL Preparation of SHE design phase and execution phase

plans 1.0 / 09.08.2018

RR09-NL

REVISION 1.0 Preparation of SHE design phase and execution phase plans DATE 09.08.2018 Realization Requirements Offshore Projects / O&M PAGE 1 of 2

PREPARATION OF SHE DESIGN PHASE AND EXECUTION PHASE PLANS

The Realization Requirements (RR) are part of the SHE Requirements.

1 Headline

Pursuant to Section 2.31 of the Working Conditions Decree, the contractor and the SHE Execution Phase Coordinator have to draw up a comprehensive SHE Plan (safety, health and environmental plan) at the time the work is carried out. This is the plan referred to in Sections 2.28 and 2.30 of the Decree. The existence of the plan has to be brought to the attention of the Client as regards both the design phase and the execution phase. Documents to be produced SHE design phase plan and SHE execution phase plan Document specifications SHE design phase plan and SHE execution phase plan:

• The contractor needs to base and detail its SHE Plans in line with the SHE Plan that the Client supplied for the design phase and overall SHE Plan;

• The contractor has to fully cover electrical safety in the relevant SHE Plan (Safety here concerns work carried out on or close to high-voltage installations, etc.);

• The contractor is responsible for coordinating the SHE Plans of the subcontractors and independent auxiliaries, and incorporates these plans into his general plan.

Structure of SHE file The contractor has to prepare and maintain a SHE file. For clarity, the contractor shall maintain and keep record of all SHE relevant documentation and data, as intended in the ISO 45001 which record shall be deliverable upon request to the Client. Document to be produced SHE file Document specifications Pursuant to Article 2.31 of the Working Conditions Decree, the SHE Coordinator for the execution phase is to complement the SHE file. Pursuant to Section 2.30 of the Working Conditions Decree, the Contractor is to add the following items to the SHE file:

• A list of the SHE risks, such as the residual risks from the construction phase, environmental risks, and risks inherent to the execution phase.

• SHE Plan for the design phase (including an extensive risk analysis for the management phase). • SHE Plan for the execution phase (including an extensive risk analysis for this phase). • TRA (Task Risk Analysis) and RI&E (Risk Inventory and Evaluation) for the risks from the execution

phase are also relevant for the management phase. • A summary of references to SHE-related documents, such as safety standards, specifications and

criteria in use; SHE Plans prepared for the design and execution phases; SHE-related risk analyses from the design and execution phases; as-built data (specifications and drawings); on-site

RR09-NL

REVISION 1.0 Preparation of SHE design phase and execution phase plans DATE 09.08.2018 Realization Requirements Offshore Projects / O&M PAGE 2 of 2

installations; test documentation; material and product information sheets used; and user manuals, maintenance manuals and instruction lists.

• The results of periodic safety and risk analyses. • Specifications of requirements from the specification schedule. • Inspection and other certificates, warranties, CE markings, protective equipment to be used, list of

tools to be used. • List of components on-site (primary, secondary and tertiary). • Environmental permits. • Map showing areas of exposure to risks relating to electro-magnetic fields or to harmful noise. • Emergency plan for the management phase. • Risk inventory and evaluation for the management phase. • Lessons learned from the project. • List of outstanding items. • The results of the regular safety and risk analyses.

Guideline reporting, investigating and reviewing SHE incidents

SSC15-009

Public Information

Version 1.2

Guideline reporting, investigation and review of SHE incidents DATE 9 January 2017

PAGE 2 of 15 REF.NO. SSC15-009

Index of changes and releases

Date Changes Version Author Authorised by 02-04-2015 Guideline SSC13-071 Investigations of incidents

regarding SHE is fully integrated into this guideline and is therefore withdrawn.

1.0 F. Geijlvoet (SSC)

R. Marchal (SSC), after consultation with COO

16-11-2015 Scope set to segments instead of legal entities. In addition to FAT, LWC and HRI: MTC and RWC must also be investigated. LSR violations are no longer HRI but as a separate category. Fixed template for investigation report is abandoned. Basis for investigation report is iTask.


R. Marchal (SSC)

09-1-2017

The default method for investigating TenneT SHE incidents is Tripod Beta. Contractor SHE incidents are preferably to be investigated using Tripod Beta, but alternatively, a different method that is on a list of methods that is approved by TenneT may be used. Methods that are not on the list may only be used after approval by SSC


D.J. Haverkamp (SSC)

Information protection classification A1, I1, C1: Public Information



Content

1. INTRODUCTION ........................................................................................................................................... 5 1.1 Aim of the guideline ............................................................................................................................ 5 1.2 Scope .................................................................................................................................................. 5 1.3 Main changes compared to the previous version ............................................................................... 5 1.4 Relation with other TenneT guidelines ............................................................................................... 5 1.5 Relation with legislation ...................................................................................................................... 6 1.6 Responsibilities ................................................................................................................................... 6

2. INCIDENT REPORTING ............................................................................................................................... 7 2.1 Which SHE incidents to report, when and how. ................................................................................. 7 2.2 Responsibilities regarding the reporting of SHE incidents.................................................................. 7

3. INVESTIGATION OF SHE INCIDENTS ........................................................................................................ 8 3.1 Which SHE incidents must be investigated ........................................................................................ 8 3.2 Roles and responsibilities for SHE incident investigation ................................................................... 8

Senior manager .................................................................................................................................................................. 8 Investigation leader ............................................................................................................................................................ 9 Investigation team members ............................................................................................................................................... 9

3.3 When to investigate ............................................................................................................................ 9 3.4 How to investigate ............................................................................................................................... 9 3.5 Final product of the investigation: the report .................................................................................... 10 3.6 Confidentiality ................................................................................................................................... 10

4. SHE INCIDENT REVIEW ............................................................................................................................ 11 4.1 Introduction ....................................................................................................................................... 11 4.2 Which SHE incidents have to be reviewed ....................................................................................... 11 4.3 Structure of the SIRS ........................................................................................................................ 11

First level SIRS ................................................................................................................................................................. 11 Second level SIRS ............................................................................................................................................................ 11 Third level SIRS (Incident Review Board, IRB) ................................................................................................................. 12 Fourth level SIRS (Incident Review Board with contractor, IRB-C) .................................................................................... 12

4.4 Elements of the review...................................................................................................................... 13

ANNEX A DEFINITION OF INCIDENTS ................................................................................................ 14 Introduction ............................................................................................................................................. 14 SHE incident ........................................................................................................................................... 14 Potential SHE incident ............................................................................................................................ 14 High risk incident ..................................................................................................................................... 14



ANNEX B REFERENCE GUIDE FOR SHE INCIDENT REVIEW ......................................................... 15



1. Introduction

1.1 Purpose of the guideline In this guideline you will find the TenneT requirements on reporting and investigating SHE incidents and on reviewing SHE incident investigations. With it, we offer a framework to develop and align work processes on these matters. This guideline aims to set companywide standards, harmonization and quality assurance. TenneT is of the opinion that reporting and investigating SHE incidents and reviewing SHE incident investigations are important factors to realize our safety goal of 'zero harm'. Learning from SHE incidents is an important element in this development.

1.2 Scope This guideline applies to all departments that fall under the 'regulated tasks' part of the TenneT Group Legal Overview organization chart as published on the TenneT site on intra- and internet. In this guideline these entities are collectively referred to as “TenneT”. This guideline also applies to the joint ventures of TenneT whenever TenneT:

• is the operator; or: • has majority or controlling interest and has an officer assigned as the senior managing director of the

joint venture operation. The guideline applies to all contractors of TenneT. The guideline is implemented by way of contracts, general terms and conditions, supplier qualification terms etc.

1.3 Main changes compared to the previous version • The default method for investigating TenneT SHE incidents is Tripod Beta. • Contractor SHE incidents are preferably to be investigated using Tripod Beta, but alternatively, a different

method that is on a list of methods that is approved by TenneT may be used. Methods that are not on the list may only be used after approval by SSC.

1.4 Relation with other TenneT guidelines • Guideline SSC13-014 Definitions and classification of SHE incidents. The present guidelines uses this

guideline as a frame of reference, mostly for definitions relating to incidents. • Process description SSC14-037 Investigation of SHE incidents. In this document, the process of the

investigation of SHE incidents is described in detail.



• List of approved methods for SHE incident investigation SSC17-005. The list includes methods that can

be used for investigating She incidents. The methods included are suitable for identifying both direct and underlying causes of the incident.

• Guideline SSC15-010 Information protection. This guideline is relevant as it contains TenneT rules on confidentiality that apply to the investigation report (and other related documents).

1.5 Relation with legislation Wherever this document in conflict with national, European or international maritime legislation, the latter prevail. In all other cases, the guideline is to be followed.

1.6 Responsibilities This guideline has the following layering regarding responsibilities: • Operational management is responsible for the implementation and execution of this guideline • Corporate Safety and Security (SSC) is responsible for keeping the guideline up-to-date and for checking

the measures of operational management on compliance, reviewing the effectiveness and reporting the findings to the board. SSC supports the business with the implementation and if needed the execution of this guideline

• Corporate Audit (AUD) checks whether the above processes have been implemented and are executed conformably.



2. Incident reporting

2.1 Which SHE incidents to report, when and how. With TenneT, all Safety, Health and Environment (SHE) incidents including potential SHE incidents must be reported. A SHE incident is 'an unplanned event or chains of events that has, or could have resulted in injury or damage to the environment' (see Annex A for further guidance). If SHE incidents are not reported, no further actions can be taken. A SHE incident has to be reported as soon as reasonably practicable after its occurrence (≤24 hours after its occurrence at the very latest). All SHE incidents, including SHE incidents of contractors and third parties have to be reported accordingly.

2.2 Responsibilities regarding the reporting of SHE incidents All TenneT employees have the responsibility to:

• report all (potential) SHE incidents they have knowledge of as soon as practicable after their occurrence (≤24 hours at the very latest) in the designated reporting system.

• to provide a complete and reliable report. This includes giving all required information and providing documents, pictures, sketches etc. where relevant. In the Netherlands, the SHE incident reporting system (currently named iTask) guides the employee through all relevant questions. In Germany, the Marine Operations Centre or the SHE Hotline staff will ask all relevant questions.

Senior managers are responsible for their subordinates and their contractors to report SHE incidents (including the quality of these reports). Furthermore, they are responsible for the formal classification of the SHE incident following the guideline Definitions and classification of SHE incidents. The aim of the classification is to label the SHE incident as a Fatality, Lost Workday Case, Restricted Work Case, Medical Treatment Case, First Aid Case, Near Miss, Potential Incident, Environmental Incident or High Risk Incident.



3. Investigation of SHE incidents

3.1 Which SHE incidents must be investigated SHE incidents of the following categories must be investigated: • Fatality (FAT) • Lost workday case (LWC) • Restricted work case (RWC) • Medical treatment case (MTC) • High risk incident (HRI) Investigation of SHE incidents belonging to any of the categories below is optional: • First aid case (FAC) • Near miss (NM) • Potential incident (PI) • Environmental incident (EI)

3.2 Roles and responsibilities for SHE incident investigation

Senior manager The senior manager of the victim is responsible for the SHE incident investigation. In the case of SHE incidents without a victim (e.g. an environmental incident or a near miss), the senior manager who is responsible for the work that was carried out is responsible for the investigation. In case of a contractor SHE incident, the senior manager of the department that hired the contractor is responsible. More specifically, the responsibility includes:

• to investigate every SHE incident with mandatory investigation (see 3.1). • to investigate SHE incidents without mandatory investigation whenever he (she) sees reason to do

so. The SHE expert advises him (her) on this matter. • to appoint an investigation leader1. • to provide necessary resources to the investigation team (manpower, time, and budget). • to enable the investigation team access to information, persons and locations. • to translate the investigation team's recommendations into specific measures, controlling the

implementation of these measures and evaluating their effect.

1 The investigation leader is not a SHE expert but someone of the line organization..



• to put the investigation report on the agenda of the MT for review (see chapter 4).

SHE incidents occurring during activities controlled by contractors are investigated by the contractor, supported where necessary by TenneT SHE specialists and other specialist advisers. The incident investigation report submitted by the contractor should be reviewed and agreed with by the investigation leader. Despite the above, TenneT, based on the judgement of responsible management, can perform its own investigation into an incident as a result of the client responsibility that TenneT has.

Investigation leader The investigation leader is responsible for:

• assembling the investigation team. • carrying out the investigation according to the process description SHE incident investigation. • to control the investigation process, including timely completion of the investigation (≤14 workdays

after the incident occurred)2. • to ensure that the investigation (report) meets the quality requirements as set in this guideline.

Investigation team members Members of the investigation team are responsible for:

• cooperating with the other team members and carrying out instructions of the investigation leader • carrying out the investigation according to the process description Incident Investigation. • the timely completing the investigation (≤14 workdays).

3.3 When to investigate Employees must report SHE incidents in the designated reporting system as soon as practicable after their occurrence (≤24 hours at the very latest). Also, the senior manager must appoint an investigation leader as soon as possible after the incident occurred (≤24 hours at the very latest).

3.4 How to investigate The incident investigation must be started as soon as an investigation leader has been appointed. The designated method for investigating TenneT SHE incidents is Tripod Beta. Contractor SHE incidents are preferably investigated using Tripod Beta, but different methods are allowed as well. A list of approved methods is published on the intranet (SSC17-005). Contractors wanting to use a method that is not on the

2 Circumstances may require this period to be extended, in this case the reasons are to be added in iTask by the Investigation leader.



list must refer to SSC for approval. As a minimum, the investigation must result in: • An account of what happened (e.g. description of the event, timeline, sequence of events) • An account of the direct and underlying causes • Specific recommendations addressing the direct and underlying (root) causes • A written investigation report that covers the three aspects listed above A detailed description of the investigation process can be found in the Process description SSC14-037 Investigation of SHE incidents.

3.5 Final product of the investigation: the report All SHE incident investigations must result in a comprehensive investigation report in iTask. When it is foreseeable that information related to the incident is to be made available to third parties (e.g. Labour Inspectorate, Berufsgenossenschaft, National Safety Board, lawyers, etc.), the investigation leader must consult Legal Affairs (LA) before doing so. Request for copies of incident investigation reports – whether internal or external - should be considered individually in accordance to the guideline Information protection.

3.6 Confidentiality Investigators will use all information confidentially. The guideline Information protection applies to all documentation that is written in course of the investigation process, including the final report.



4. SHE incident review

4.1 Introduction SHE incident investigations are to be reviewed systematically. TenneT has implemented an SHE incident review system (SIRS) consisting of four different levels. The aim of the SIRS is to check the quality of the investigations, the translation and implementation of the recommendations and to expand the learning curve from the level of individual incidents to the entire organization. An important aspect in the prevention of SHE incidents is learning from previous incidents. The SIRS identifies areas of poor and good practice, risks and lessons learnt with the aim to improve the safety management and culture.

4.2 Which SHE incidents have to be reviewed All SHE incidents that have to be investigated are to be reviewed. The list includes: fatalities (FAT), lost workday cases (RWC), restricted work cases (RWC), medical treatment cases (MTC) and high risk incidents (HRI).

4.3 Structure of the SIRS

The SHE incident review system consists of four levels.

First level SIRS The first level of review is by the senior manager who is responsible for the incident investigation. Participants of the 1st level SIRS are:

• senior manager(s) responsible for the investigation; • investigation leader.

Responsibilities of the 1st level SIRS are to ensure that all relevant incidents are investigated and to review the quality of the investigation by assessing the corrective actions. Also, to adapt the relevant risk assessment in agreement with the relevant safety expert accordingly and to document the incident and results of the investigation in the iTask system.

Second level SIRS The second level of review is during the MT meetings (MTM) of TenneT TSO B.V. and TenneT TSO GmbH. Every MT reviews all investigated SHE incidents that occurred under its scope of control. Participants of the 2nd level SIRS are:



• MT members; • the senior manager(s) responsible for the investigation(s). The MTs make a selection of incident investigations to be discussed in the IRB (see next paragraph). Criteria for the selection may be: seriousness and complexity of the incident, impact on TenneT's company values, scope and complexity of the recommendations, lessons to be learnt on corporate level, etc. The selected incident investigations to be discussed in the IRB must be handed to the secretary of the IRB, viz. SSC. Responsibilities of the 2nd level SIRS are to review all investigations, examine the root causes, consider relevance of recommendations and to add recommendations if needed. Also, to make suggestions how lessons learned can be proactively shared within the organisation and to send proposals of relevant incident investigations and findings for IRB and IRB-C to SSC.

Third level SIRS (Incident Review Board, IRB) Incidents proposed by the MT (see previous paragraph) or proposed by SSC are reviewed in the IRB. Participants of the IRB are: • chairman of the executive board; • 2nd executive board member; • senior manager(s) responsible for the investigation(s); • secretary (SSC). Responsibilities of the IRB are to review incident investigations and give recommendations on corporate and strategic level to further improve the safety culture at TenneT.

Fourth level SIRS (Incident Review Board with contractor, IRB-C) Incidents proposed by the MT or proposed by SSC concerning a contractor are reviewed in the IRB-C. Participants of the IRB-C are: • chairman of the executive board; • CEO of the contractor; • responsible senior manager of TenneT; • responsible senior manager of the contractor (or equivalent, e.g. relevant overall project manager); • secretary (SSC). Responsibilities of the IRB-C are the same as for the IRB. In the diagram below, all four levels of the IRS and the interrelations are shown.



4.4 Elements of the review When reviewing a SHE incident investigation (report), both the process and the findings and recommendations shall be reviewed. Annex B contains a sheet with topics for evaluation and a frame of reference for each of these topics.



Annex A Definition of incidents

Introduction This annex gives basic definitions of the most relevant terms (SHE incident, potential SHE incident and high risk incident) as these form the basis of this guideline. A full overview of incident related definitions is given in the guideline Definitions and classification of SHE incidents.

SHE incident In the guideline Definitions and classification of SHE incidents, a SHE incident is defined as "an unplanned or uncontrolled event or chain of events that has – or could have - resulted in at least one fatality, injury or illness, or physical or environmental damage". When the incident results in injury or damage to the environment, the incident may be classified as a (e.g.) fatality, lost workday case or first aid case (see guideline Definitions and classification of SHE incidents for further guidance). When the incident did not lead to injury of damage to the environment, it is commonly called a near miss.

Potential SHE incident The guideline Definitions and classification of SHE incidents also distinguishes potential incidents, being "an unsafe practice or hazardous situation that may cause an incident'. Mark that the 'unplanned or uncontrolled event or chain of events' did not occur and that no injury or damage to the environment was caused. Examples of potential incidents are: an icy office entrance (hazardous situation), working without a work permit when its use prescribed (violation of safety regulation), not wearing a safety helmet on a construction site (violation of safety regulation), drinking and driving (violation of life-saving rule).

High risk incident In many cases, an incident could have resulted in a slightly different outcome; a twisted ankle instead of a bruise. A (potential) incident that could, in other circumstances, have realistically resulted in one or more fatalities is classified as a high risk incident. In addition, an environmental incident which, in other circumstances, could have realistically resulted in very serious environmental damage is also counted as a high risk incident.



Annex B Reference guide for SHE incident review

This annex offers guidance for those involved in the review of SHE incident investigations. The topics mentioned in this reference sheet can be discussed during a review of an incident investigation. The document offers a frame of reference to evaluate the quality of the investigation. For easy use, the criteria are presented in the form of a table. This reference document is based on the present guideline reporting, investigation and review of SHE incidents and the Process description Investigation of SHE incidents (SSC14-037).

Nr Topic Description Report format TenneT format agreed upon by SHE teams. Contractors may use their own format as long

as contents are comparable with TenneT format. Contents of the

report

Report must contain: - name of investigation leader; - overview of facts; - timeline (sequence of events); - results of the root cause analysis; - recommendations

Timeliness of the investigation

Report must be delivered within 14 workdays after the incident. If longer: what caused the deviation of the standard process time?

Analysis method Use of Tripod Beta (TenneT) or another approved method (contractors). Investigation team The team must consist of a minimum of two persons. One of these persons must be a

silver accredited Tripod Beta practioner. Immediate causes Could any of the immediate causes have been foreseen?

Why did any of the direct factors that caused the incident exist? Were any of these factors 'business as usual'?

Barriers Were the barriers in theory adequate to prevent the accident from happening? Were missing barriers identified and why were these missing?

Underlying causes Did the analysis establish underlying causes? Is every step in the analysis based on factual information?

Recommendations Does the report contain specific recommendations? Are the recommendations based on the findings of the analysis? Do the recommendations address barriers and underlying causes alike?

Actions Are the recommendations translated into SMART actions? Which actions will be taken and when? Who is responsible to take these actions? Who will monitor the progress and to whom will this person report?

Communication How are the lessons learnt communicated to a broader public?

RR07-NL

PROJECT LEADER Frauke Wolfsturm CLIENT TenneT AUTHOR Various DEPARTMENT NLO

DATE July 26, 2018 VERSION v.2.0 VERSION DATE - STATUS Reviewed REFERENCE ONL-TTB-04757 PAGE 1 of 33

Marine Operations Plan Offshore Grid –the Netherlands

TenneT TSO B.V. DATE February 7, 2018 REFERENCE ONL-TTB-04757 PAGE 2 of 33

Contents

Record of changes 2

Abbreviations 3

List of Figures 4

List of Tables 5

Reference 5

1. Introduction 6

2. Roles and Responsibilities (Until Platform Take-Over) 8

3. Roles and Responsibilities (After Platform Take-Over) 12

4. Vessel Selection 15

5. Traffic Procedures 20

6. Emergency Response 28

7. Reports 30

Appendix 1 - Adverse weather guideline 32

Appendix 2 - Borssele Alpha & Beta 33 Record of changes

Revision Date Description Pages


Abbreviations

*: Maritime authority Abbreviation Definition 5 DLA 5 Day Lookahead *GNA Gemeenschappelijke Nautische Autoriteit (GNA) or Common Nautical Management

(CMN) of the river Scheldt region, mutual initiative of the Flemish and Dutch authorities *ILT Inspectie Leefomgeving en Transport (ILT) or Transport and Water Management

Inspectorate *NSI The Netherland Shipping Inspectorate *RWS Rijkswaterstaat (RWS) or Directorate-General for Public Works and Water Management *SODM Staatstoezicht op de Mijnen or State Supervision of Mines CAT Category COC Certificate of Competence COLREGs International Regulations for Preventing Collisions at Sea CR Cable Route DNVGL International Classification Society DP Dynamic Positioning DPR Daily Progress Report ECDIS Electronic Chart Display and Information System GSO TenneT Grid Service Offshore, includes the MOC MC Marine Coordinator MOC TenneT Marine Operation Centre, located in Lehrte, Germany MOP Marine Operation Permit MWS Marine Warranty Surveyor OHVS Offshore High Voltage Substation OIM Offshore Installation Manager OM Operations Manager OPL Overall Project Lead PL Project Leads for the various work teams / packages POB Persons on board SAR Search and Rescue, responsibility area of the Netherlands Coastguard SIMOPS Simultaneous Operations TelCo Telephone Conference TenneT NLO TenneT Netherlands Offshore UNCLOS General Provisions on Ships’ Routeing and United Nations Convention on the Law of the

Sea VTS Vessel Traffic Service W2W Walk to Work


List of Figures

Figure 1 - Organigram Until Platform Take-Over .............................................................................................. 8 Figure 2 - Organigram After Platform Take-Over ............................................................................................ 12 Figure 3 - Emergency and Notification call lines for accidents and incidents ................................................. 28 Figure 4 - GNA Area Borssele Alpha & Beta ................................................................................................... 33 Figure 5 - Platform Locations .......................................................................................................................... 33 Figure 6 - OWF Zones Borssele Cluster ......................................................................................................... 33


List of Tables

Table 1 - Overview "Net Op Zee" ...................................................................................................................... 6 Table 2 - Regulating Authorities ........................................................................................................................ 7 Table 3 - General Communication Requirements ........................................................................................... 27 Table 4 - Contact Details Dutch Coastguard ................................................................................................... 28 Table 5 - Location Borssele Alpha & Beta ....................................................................................................... 33 Reference

A. Danish Maritime Authority in cooperation with DNVGL, Summary report on North Sea regulation and standards: Review of Maritime and Offshore Regulations and Standards for Offshore Wind, December 2015

B. The Netherlands Ministry of Economic Affairs, White Paper on Offshore Wind Energy: Partial review of the National Water Plan, September 2014

C. G+ Offshore Wind Health and Safety Organisation in partnership with energy institute, Good practice guideline: The safe management of small vessels used in the offshore wind industry, January 2018

D. Maritime & Coastguard Agency, National Workboat Association: The Workboat Code, Industry Working Group Technical Standard, June 2014

E. Arbocatalogus wind energy companies: http://www.windenergiebedrijven.dearbocatalogus.nl/en F. National Emergency Response Plan North Sea (“Incidentbestrijdingsplan (IBP) Noordzee, versie

2016), Dutch only website: http://www.savedigiplan.nl/ibp/noordzee/pagina.php G. Netherlands Regulatory Framework (NeRF) of the Netherlands Shipping Inspectorate:

https://puc.overheid.nl/nsi/ H. IMCA 287 - Guidance on the Transfer of Personnel to and from Offshore Vessels and Structures I. DNVGL Industry Guidance - Gangway Access To Offshore Facilities - Walk-to-Work (W2W) J. TenneT MOC setup and tasks, revision 1.0 K. CSS13-014 - Definitions and classification of SHE incidents L. CSS15-009 - Guideline reporting, investigation and review of SHE incidents M. SSC 15-037 – General SHE requirements for contractors

http://www.savedigiplan.nl/ibp/noordzee/pagina.php

https://puc.overheid.nl/nsi/


1. Introduction

TenneT has officially been appointed as offshore grid operator in the Netherlands, and will develop -as contribution to the Energy Agreement- at least 3,500 MW of offshore-connections until 2023. All with a standardised Offshore High Voltage Substation. By means of the National Energy Agreement, the Dutch government wants to achieve a substantial increase in the share of wind energy in the Netherlands’ energy mix. To increase offshore wind energy capacity, the government has designated zones in the North Sea for the development of new wind farms. Table 1 - Overview "Net Op Zee"

With its standardised offshore grid concept, TenneT will bring the offshore wind energy onshore, to a high voltage substation. From there, the national high-voltage grid will distribute the wind energy to households across the country.

1.1 Scope This plan is the primary document to describe the processes of Marine Operations for TenneT NLO. This plan states how installation vessels, support vessels, work boats and crew boats are managed by a Marine Coordinator to support all offshore activities from TenneT or its contractors. A Permit to Work process is not part of this plan and will be handled in a different document. Chapter 2 describes the roles and responsibilities during the installation phase before formal take-over of the platform by TenneT. Chapter 3 describes the roles and responsibilities after take-over by TenneT focussing on the commissioning and normal operations of the platform.


1.2 Applicability Although Marine Coordination is not required by law in the Netherlands, it is an essential instrument which involves the planning and oversight of marine operations to be undertaken within the safety zone and cable corridor. Furthermore the Marine Coordinationcooperates with the operational responsible person on the platform and the coastguard to provide effective incident response. The role inherently has an involvement with the sequencing of vessels and is the focal point for registering the whereabouts of all crew and visitors, those that have boarded a vessel and are transferred to offshore installations. The contractors who are operating vessels that need to enter the substation area or do cable related works are required to liaise with the Marine Coordinator, and keep him advised of all vessel movements in alignment with this procedure have. The MC has the overriding authority to prohibit marine operations within the safety zone or cable corridor with reference to agreed operational limits. All transport equipment that is assigned to projects is listed in a database maintained by TenneT. Registration and approval of training certificates of project personnel is described in the permit to work procedure.

1.3 Regulatory Framework When choosing areas for offshore development and their sites, the Dutch government applies a navigational safety framework developed by Director of Maritime Affairs at the Ministry of Infrastructure and the Environment. The Framework is based on relevant international provisions and regulations: International Regulations for Preventing Collisions at Sea (COLREGs), General Provisions on Ships’ Routeing and United Nations Convention on the Law of the Sea (UNCLOS). The competent offshore authority for the Dutch offshore waters in the Netherlands is Rijkswaterstaat (RWS). Examination, inspection and investigations related to occupational safety and health and offshore working hours fall under the remit of Staatstoezicht op Mijnen (SodM) which is part of the Ministry of Economic affairs and climate. The Netherlands Shipping Inspectorate (NSI), as a sub-department of Inspectie Leefomgeving en Transport (ILT), has responsibility for flag state and port state inspections, certification of seafarers and ship registration. The NSI has responsibility for enforcement investigation of maritime accidents, in addition to the safety investigation responsibilities of de Onderzoeksraad / Dutch Safety Board. A summary of the regulating authorities is shown in Table 2. Table 2 - Regulating Authorities

Regulator Authority Emergency Response Coastguard Flag/ Port State NSI Coastal State RWS Health and Safety Regulator offshore SodM Working hours offshore SodM


2. Roles and Responsibilities (Until Platform Take-Over)

All following Roles and Responsibilities described are directly connected to marine coordination processes. Functions not mentioned might be explained in different charts or organigrams. Platform take-over is defined as the date when the Provisional Acceptance Certificate is signed. The TenneT Marine Operations Centre (MOC) supports the TenneT project management until take-over. MOC Field Operations reviews documents, participates in meetings and takes care of vessel inspections. The MOC 24/7 is monitoring all offshore activities and is the single point of contact in case of emergencies and the interface towards the TenneT crisis management organisation. More details can be found in the MOC setup and tasks document [J]. Figure 1 shows the organigram until Platform Take Over.

TenneTProject Management

TenneTMOC

Construction ContractorProject Management

Construction ContractorOIM / MC

Cable ContractorProject Management

Construction ContractorVessels on Site

Cable ContractorVessels on Site

2.12.2

2.3 2.4

2.5 2.5

Figure 1 - Organigram Until Platform Take-Over


2.1 MOC Responsible for: The MOC is single point of contact for all marine and offshore activities by or on behalf of TenneT. The MOC is responsible for vessel inductions and inspections. The Marine Coordinator duties are: - Support any Search and Rescue (SAR), MEDEVAC (Medical Evacuation) and salvage operations,

upon request of Dutch Coastguard or other Governmental Bodies Informing and coordinating

project related activities with relevant Authorities,

- Checking and approval of vessel and crew certificates according to TenneT requirements,

- Visiting the vessel for pre-entry survey and marine induction before start of the offshore activities,

- Verify if project vessels are equipped with, and properly instructed in the project requirements

regarding the use of communication measures, such as VHF and telephone.

- Provide a 24/7 link to the TenneT internal crisis management with regards to incidents and

emergencies

2.2 OIM / Marine Coordinator Responsible for: The OIM / Contractor Marine Coordinator is responsible for overall monitoring, access control and personnel tracking related to all vessels within the 500m safety zone around the platform until formal take-over by TenneT. The Contractor Marine Coordinator duties are: - Checking and approval of vessel and crew certificates according to the contractor vessel

requirements,

- Visiting the vessel for pre-entry surveys and marine induction before start of the offshore activities,

- To monitor every vessel approaching the site boundaries to identify the vessel, its speed and

course. If required, escalate to relevant authority,

- Tracking the embarkation/ disembarkation of all project personnel using vessels to transit to, in and

from the TenneT site, which will be defined by TenneT SHE, by using a personnel tracking system,

- Liaise with Guard Vessel and Vessel Masters if there are traffic related conflicts or requests for

deviation of procedures,

- Verify if all project vessels are equipped with, and properly instructed with the project requirements

regarding the use of communication measures, such as VHF and telephone,

- Keep TenneT MOC fully informed by sharing all daily vessel reports and information sent to the

authorities,

- Support any Search and Rescue (SAR), MEDEVAC and salvage operations, upon request of Dutch

Coastguard or other Governmental bodies,


- Support the project Emergency Response Team in line with the project emergency response

procedures,

- Maintain a log of all vessel movements using the ECS and verbal communications,

- Inform the coastguard of the activities prior to the start of the works and on a regular basis.

- Ensure 24/7 single-point of contact availability

2.3 Construction Contractor Responsible for: Management of marine activities inside the contractual scope of work and comply with TenneT SHE, Marine Coordination procedures and any legislation applicable. The Contractor duties are: - Ensure a safe and effective Marine Coordination is in place to fulfil safe installation and

commissioning activities,

- Submitting the information required by the TenneT Project Leadthat enables TenneT to effectively

identify potential interfaces and set priorities in planned marine activities,

- Assign sufficient resources to manage the Permit to Work and Marine Operation Permit system

effectively in line with TenneT project requirements,

- Ensure that all chartered vessels within the scope of work of the contractor have fulfilled the legal

and additional TenneT project vessel requirements, before they enter the field,

- Report any deviations regarding legislation and project procedures to the MOC and PL,

- Report all marine and environmental related incidents to MOC,

- Notify and report follow up on all marine and environmental related incidents to the coastguard,

- Apply the relevant Contractor Emergency Response Plan when necessary,

- Adequate management of the Next of Kin (NOK) information from contractors’ personnel.


2.4 Cable Contractor Responsible for: Management of marine activities inside the contractual scope of work and comply with TenneT SHE and Marine Coordination procedures. The Contractor duties are: - Submitting the information required by the related PL that enables TenneT to effectively identify

potential interfaces and set priorities in planned marine activities,

- Assign sufficient resources to manage the Permit to Work and Marine Operation Permit system

effectively in line with TenneT project requirements,

- Ensure that all chartered vessels within the scope of work of the contractor have fulfilled the legal

and additional TenneT project vessel requirements, before it enters the field,

- Report any deviations regarding legislation and project procedures to the MOC,

- Report all marine and environmental related incidents to the MOC directly,

- Apply the relevant Contractor Emergency Response Plan when necessary,

- Adequate management of the Next of Kin (NOK) information from contractors’ personnel.

- Ensure 24/7 single point of contact availability

2.5 Vessel Master Responsible for: Safe execution of their operations in accordance with applicable legislation and project marine coordination procedures. The Vessel master or delegate duties are: - Ultimate responsible for the safety of all crew and PAX on board,

- Ensure that the execution of all activities related to their operations in the TenneT Project always

comply with Health, Safety and Environmental legislation and project requirements,

- Conduct all communications as defined in this procedure,

- Report any deviations regarding legislation and project procedures to the MC,

- Report all marine, aviation and environmental related incidents to the coastguard directly,

- Inform MC EPCI Contractor, MOC and other relevant parties about all marine, aviation and

environmental related incidents after report to coastguard,

- If an unauthorized vessel is observed entering the project safety area, report to MC directly and

support as required by MC.


3. Roles and Responsibilities (After Platform Take-Over)

All following Roles and Responsibilities described are directly connected to marine coordination processes. Functions not mentioned might be explained in different charts or organigrams. Platform take-over is defined as the date when the Provisional Acceptance Certificate is signed. Platform operator is TenneT Grid Service Offshore (GSO) which consists of four departments: Offshore Logistics (including MOC), Offshore Maintenance, Offshore Operation and Offshore Operational Readiness and Support Services. Figure 2 shows the organigram after Platform Take Over.

TenneTGSO

TenneTMOC

TenneTOIM

ContractorVessels on Site

AuthoritiesCoastguard / SSM

Offshore WindfarmMOC

3.1 3.2

3.3

Figure 2 - Organigram After Platform Take-Over


3.1 OIM Responsible for: Safe execution of all activities related to the OHVSs. The OIM duties are: - Planning preventive maintenance activities, support failure analysis and coordinate troubleshooting

visits,

- Responsible for the supervision of maintenance activities and cargo operations,

- Maintain communication with the MOC,

- Encourage a safety culture in line with the standards set by TenneT,

- Conduct safety inspections, hold training drills, and contribute to Safety Inductions,

- Ensure that all activities on the offshore facility are conducted using safe working practices and

using the appropriate safety measures.

- Operational Emergency Response team leader on board of the platform,

- Assess all Permit To Work requests of all contractors incl. vessel operations and SIMOPS,

- Act as first point of contact for the OWF with regards to installation activities and O&M,

- Updating and maintaining platform related O&M documents.

3.2 MOC Responsible for: The MOC is responsible for overall monitoring, access control of all vessels associated with the operation and maintenance of TenneT controlled areas and emergency response, as well as marine inductions and inspections. The Marine Coordinator duties are: - Informing and coordinating asset related activities with relevant Authorities,

- Checking and approval of vessel and crew certificates according to TenneT requirements,

- Visiting vessels for pre-entry survey and marine induction before start of the offshore activities,

- Verify if all contracted vessels are equipped with, and properly instructed with TenneTrequirements

regarding the use of communication measures, e.g. VHF and telephone,

- To monitor every vessel approaching the site boundaries to identify the vessel, its speed and

course. If required, escalate to relevant governmental body,

- Tracking the embarkation/ disembarkation of all personnel using vessels to transit to, in and from

the TenneT site, by using the personnel tracking system,

- Liaise with Guard Vessel and Vessel Masters regarding traffic conflicts or requests for deviation of

procedures,

- Support any Search and Rescue (SAR) and salvage operations, upon request of Dutch Coastguard

or other Governmental bodies,


- Support the Emergency Response Team in line with the t Emergency Response procedures,

- Maintain a log of all vessel movements in the installation 500m zone,

- Fulfil all duties related to the MOC in the PTW procedure.

3.3 Vessel Master Responsible for: Safe execution of their operations in accordance with applicable legislation and TenneT marine coordinationprocedures. The Vessel master or delegate duties are: - Ultimate responsible for the safety of all crew and PAX on board,

- Ensure that the execution of all activities related to their operations in TenneT scope of work,

always comply with Health, Safety and Environmental legislation and TenneT requirements,

- Conduct all communications as defined in this procedure,

- Report any deviations regarding legislation and TenneTt procedures to the MOC,

- Report all marine, aviation and environmental related incidents to the MOC directly after report to

coastguard,

- If an unauthorized vessel is observed entering the TenneT safety area, report to MOC directly and

support as required by MOC.


4. Vessel Selection

These guidelines are developed to give TenneT insight in the process of vessel selection. It can also be used by contractors to see in what way they comply with the tools used in the industry in order to properly select vessels to work within the TenneT scope. Vessel selection is a complicated process involving (inter)national standards, legislation and guidelines. As projects will involve vessels from various flag states, throughout the industry various organisations, governmental bodies and classification societies have developed a number of documents TenneT will use as a reference. This document will not summarize the information available in various documentation, rather give a brief summary of the steps to follow, where to comply to and the different roles TenneT and contractors will have in the process. It will also explain in what perspective the MOC, will take part in this process The major guidelines can be found in the following documents which for TenneT are made available under the Offshore NL SharePoint folder for the MOC. As mentioned in the document itself, the Construction Vessel Guidance is amongst others primarily targeted to project-, and package managers and SHE teams The following guidelins shall be applicable to all TenneT Marine Operations: Source Document G+ / Energy Institute Construction Vessel Guidance Renewable UK Vessel Safety Guidance IMCA Publication-289 (Vessel assurance) IMCA Publication-236 (International guidelines for the safe operation of dynamically

positioned offshore supply vessels) IMCA Publication-138 (Common marine inspection document) IMCA Publication-258 (Marine inspection for small workboats) MSF Guidelines for Offshore Marine Operations TenneT IH-OS-650 Dynamic Positioning / Specification for Offshore Vessels

4.1 Scope and roles Vessel selection covers 6 main area's that will be briefly commented in this document. − Regulatory framework − Health and Safety Management − Vessel selection − Vessel assurance − Major construction equipment audit − Training and competence This document will mainly focus on the aspects of HSE, vessel selection and vessel assurance, with a brief explanation of the regulatory framework. The area's "major construction equipment audit" and "training and


competence" will be referred to but not discussed in this document.

4.2 Roles and responsibilities For the vessel selection, TenneT distinguishes 3 different roles to take part in the process. Marine Warranty Surveyor (MWS): Where in the scope of the project a MWS is assigned, such as installation of cables and platform, in general all aspects relating to vessel selection will be covered within the scope of the MWS. Contractor: For parts of the project not covered by MWS, TenneT will largely delegate the vessel selection to its contractors. In this case TenneT assumes that its contractors will, as a minimum, handle the selection of vessels based on the same guidance mentioned in this document. Third parties: When the role of MWS or contractor is not assigned, either TenneT or a delegated third party will either have to take over the selection of vessels in order to assure that the procedure is followed to satisfaction. Within TenneT, in principle the role of the MOC will be to obtain an overview of the steps taken by the MWS or the contractor. TenneT will have the right to verify each individual selection process, and when necessary, require a second opinion with regards to the selection process. The MOC will conduct a fit for purpose inspection before a vessel will commence operations. Furthermore, the MOC will maintain a database of all vessels operating within the TenneT scope. The database will include all relevant certificates and documents.

4.3 Regulatory framework The regulatory requirements will come from 3 major aspects: − Flag state and classification requirements − Minimum number of marine personnel on board − Training and competence These aspects in the Netherlands will be regulated by the following authorities: Regulator Authority NL Flag/ Port State NSI Coastal State RWS Health and Safety Regulator offshore SodM Working hours offshore SodM

Besides this, a large part of the regulations are developed and maintained by the IMO and directly implemented in the Dutch legislation.

4.4 Suitability assessment Before a vessel can be selected a suitability assessment should be conducted. Within this process


information should be obtained with regards to the operational safety management system for the vessel. As the vessel owner, with statutory roles and responsibilities for the vessel master, will be the responsible organisation for the safety of vessel and crew, the assessment should include the entire organisation, both shore based and offshore. The assessment should not only focus on compliance with the ISM code, but also focus on the equipment that is not part of the vessels' general planned maintenance system. For vessels excluded from the ISM code requirements of the IMO for vessels of 500gt and more, special care should be taken as to assure that these vessels will comply to the code as far as reasonably practical. Basic principles as to what different safety management systems should follow can be found in the "Construction Vessel Guidance". In support of the suitability assessment, TenneT, or its contractor, should arrange for an audit of the Vessel Operator’s shore side office to verify compliance with the Vessel Operator’s management system. The outcome of this audit should be verified using available systems such as a CMID / MISW and by conducting an on board inspection of a contractors vessel in order to find prove that all requirements are met.

4.5 Vessel inspection and assessment verification Each vessel intended to operate within the TenneT scope needs to be in the possession of a MISW / CMID not older than 1 year. A copy of this report, including all appendices, close out reports and reference documents, have to be forwarded to the MOC.

4.6 Small Workboats All small service vessels operating, or intending to operate, within the TenneT scope should have been subject to a MISW in accordance with IMCA M 189/S 004 Marine Inspection for small workboats (common marine inspection document for small workboats) within the last 12 months. A MISW report may contains supplementary sections for different vessel types and may be used as a basis for inspecting any type of vessel covered by the MISW criteria. The criteria for vessels subject to a MISW is set as a vessel of less than 500 gross tonnage and/or less than 24m and is therefore not required to comply with the International Safety Management (ISM) or the International Ship and Port Facility Security (ISPS) codes. For TenneT standards it is strongly recommended that the principles outlined within the two codes are worth following. It has been recognised by the industry that this types of vessels oppose a higher than average risk compared to other vessel types operating in the windfarm industry. The MISW inspection/audit process is not undertaken to assess a vessel’s suitability for operations, rather its aim is to enable an assessment of the vessel’s operating safety status, by examining all aspects of the safety management system (SMS) in place on board. This will include any observations with regard to the vessel’s internal structural integrity; the safety of its personnel; and its compliance with environmental protection requirements.


The report forwarded to TenneT should provide copies of all photos and supporting documentation produced or acquired during the inspection. Reviewing a previous report does not waive any right to conduct an inspection of the vessel, but should at least be taken into consideration when assessing the degree/extent of any further inspection requirement. When a new MISW is required before entering service or during a charter, the site management (and Vessel Operator) should request a copy of the draft report as soon as practical to assess findings at an early stage and establish any required corrective actions. A copy of the final report should be provided to the site management within two weeks of the vessel being scheduled to engage on work within the wind farm.

4.7 All other vessels All other vessels operating, or intending to operate, within a wind farm should have been subject to a CMID in accordance with IMCA M 138 Common Marine Inspection Document within the last 12 months. A CMID report may contains supplementary sections for different vessel types and may be used as a basis for inspecting any type of vessel covered by the CMID criteria. The criteria for vessels subject to a CMID are vessels of 500grt and more, and/or 24m or more in length. The CMID inspection/audit process is not undertaken to assess a vessel’s suitability for an industrial operation, rather its aim is to enable an assessment of the vessel’s operating safety status, by examining all aspects of the safety management system in place on board. This will include any observations with regard to the vessel’s internal structural integrity; the safety of its personnel; and its compliance with environmental protection requirements. Like all such audits the CMID process provides a ‘snapshot’ only of the state of the vessel and it must be recognised that inspectors can only report on what they find during the inspection. The report forwarded to TenneT should provide copies of all photos and supporting documentation produced or acquired during the inspection. Reviewing a previous report does not indicate that an updated inspection of the vessel is not required, even if it is less than 12 months old, but should at least be taken into consideration when assessing the degree/extent of any further inspection requirement. When a new CMID is required before entering service or during a charter, the site management (and Vessel Operator) should request a copy of the draft report as soon as practical to assess findings at an early stage and establish any required corrective actions. A copy of the final report should be provided to the site management within two weeks of the vessel being scheduled to engage on work within the wind farm.

4.8 Fit for purpose inspection The CMID / MISW should be verified through a fit-for-purpose inspection by a competent person before a service vessel engages in marine operations. A fit-for-purpose inspection should be either initial or more detailed. In conducting an initial survey, the competent person should as a minimum:


− conduct spot-checks of any required statutory certificates and verify that they are in order; − confirm that any findings from previous surveys or CMID / MISW inspections have been appropriately

addressed; − confirm that key assumptions from the suitability assessment with regard to vessel facilities and vessel

selection criteria are valid − audit the marine crew’s familiarity with the vessel management system by verifying the functionality of

the ISM system and the level of participation of the crew in this. This also means verifying the crews participation in drills, and when in doubt, witnessing a service vessel emergency drill, which may include: − fire drill; − man-overboard drill; − main propulsion or steering failure drill; − collision or grounding drill; − marine pollution (oil spill) drill; − evacuation from an offshore structure drill, or − vessel evacuation and abandonment drill.

Where there is evidence to doubt the findings of the CMID / MISW after a fit-for-purpose inspection, site management should either: − request a review of the competence assurance system used by the original CMID / MISW Inspector; − request a new CMID / MISW inspection, or − conduct a more detailed fit-for-purpose inspection, including the scope of the CMID / MISW. In-operation inspections should be established for service vessels with a charter period longer than six months to ensure that they remain fit-for-purpose. The audit should be carried out to the scope of an initial fit-for-purpose inspection.


5. Traffic Procedures

Until Platform take over, the Marine Coordination Procedure of the contractor is valid and can deviate from the following chapters unless otherwise instructed by TenneT. The first operational TenneT offshore facilities in the Netherlandswill be located in the Borssele OWF. Details of the field can be found in Appendix 2. The purpose of monitoring vessel traffic by the MOC is to ensure that all vessels operating in the project can conduct their activities in a well-coordinated manner, improving safe marine operations. The MOC must be notified of all traffic movements within the TenneT site to keep an up to date log of all movements.

5.1 Safety Zone

5.1.1 Platform Protection of the OHVS from non-project related shipping will be provided by a pattern of Cardinal Buoys during the construction phase. The location of the buoys is indicated in the project related field layout, showed in the relevant appendices of this document. Furthermore, a 500-m safety zone has been designated around the specific platform. Vessel separation zones might be defined within the safety zone, based on the specific vessel category and conducted activities. These specific zones will be communicated by the relevant to the duty MC, who is responsible for distribution of this information to relevant parties and monitoring compliance.

5.1.2 OWF Protection of the OWF from non-project related shipping is provided by a pattern of Cardinal Buoys. Furthermore, a 500-m safety zone has been designated around the OWF using the outer turbines as reference points. Every project vessel working for/at TenneT’s interest is held to keep clear of OWF’s safety zone, where possible.

5.1.3 Approach Passage & Pre-Entry Ensure that visual contact is maintained with vessel once it enters the 500m safety zone and during approach to/departure from the platform. If there are any concerns about the approach, contact the vessel bridge immediately. Preparation

Vessel has to be accepted by TenneT before deployment. An agreed work plan or permit to work has to be exchanged before operations. Confirm the weather conditions meet the criteria for a visit (ref. Chapter xx). Obtain forecasts and tidal predictions for the duration of the visit and confirm these conditions are suitable for the visit to proceed.


Pre approach activities (outside 500m zone) Contact OIM and obtain confirmation that there are no hazards apparent on the platform. Inform of planned visits and discuss other shipping in the area where applicable. Obtain permission to enter the 500m zone of the platform and request (if needed) that the foghorn will be switched off. If accepted the MOC will submit a Marine Operations Permit. Contact any other vessels in the area that are supporting the platforms and confirm their movements. (Survey, diving support, standby and supply vessel). Approach of vessel to platform (inside 500m zone) Note; At all times the vessel Master may at his discretion abort the activity if in his opinion the safety of the vessel or personnel is being compromised. Select approach direction heading, using the approach drawings "Data cards". Satisfactory completion of relevant DP checklists.

1. Approach passage & pre-entry − Vessel passage plans must not have installations as waypoints. Final waypoint must be offset from the

installation − Establish contact and ensure that radio-working channels are understood − Pre-entry checks to be carried out in a drift off situation testing interaction / communications with

installation. Determine who (on the installation) is responsible for maintaining contact with the vessel − Should control of the vessel be transferred to another station (e.g. fwd to aft) or a different operating

mode is selected (e.g. manual to full DP) then it should be ensured that all manoeuvring arrangements are responding as anticipated before undertaking any close proximity operations

− Discuss the planned approach and proposed work − Any installation delays expected? Bulk transfer permits? Weather side working risk assessment?

Installation staff availability? Notify vessel if any overboard discharges from the installation could affect operations

− DP reference system targets in correct position and ready (reflectors clean etc) − Identify and set trigger and hold points which determine operation start/stop/hold or prompt a risk

assessment or risk assessment review − Vessel to confirm to installation once ready to enter safety zone Only once the installation is fully satisfied that the vessel has undertaken the necessary pre-entry checks and that the work plan minimises the length of time the vessel will be required to be in close proximity to the installation should permission to enter the safety zone and proceed to the set-up location be given. If it has been identified that working in a drift on condition will be required then, before permission to enter the 500m safety zone is given, a risk assessment must be undertaken by both the vessel and the installation, mitigations put in place as required and agreement between the OIM and Vessel Master made before allowing operations to be undertaken.


2. Approach (500m - 200m approx.) Approach and work alongside installation to be made in the same mode as tested during pre-entry process. Should ‘mode of operation’ or control station be changed then the full range of system checks should be undertaken again to ensure that systems are operating correctly. − A correct approach should have the vessel coming alongside obliquely. The vessel should not approach

head on. − Speed is 3 knots or less, depending on the vessel type and weather conditions − Escape routes identified 3. Position set-up This is the process whereby vessel personnel determine how adequately the vessel is managing to hold position before starting the final approach. This should be done far enough away so that, if something goes wrong, the vessel crew have enough time to take corrective action. It can take some time to acquire a stable position and allow a DP model to build up (up to 30mins) Position set-up to take place well away from the installation (position such that installation collision avoided if equipment failure occurs during set up checks) − 1½ x vessel length for drift-off operations − 2½ x vessel length for drift-on operations During this time the vessel personnel are to satisfy themselves that: − DP references and sensors are stable − Vessel motion is within operational limits − Vessel machinery operation within limits i.e. power utilisation not greater than 45% 4. Final approach (200m approx. - working position) & alongside working Once satisfactory set-up checks are complete and permission has been given by the installation to move to the working location, the vessel should be manoeuvred towards the installation in incremental steps (circa 10m) at a time using progressively smaller steps. If the operation is going to involve working in a ‘drift-on’ condition, then a joint (installation and vessel) risk assessment must be undertaken. − Speed ≈ 0.5kts (0.3m/s) − Minimum separation distances to be maintained 5. Exiting safety zone Once operations are complete and the vessel is ready to depart the safety zone the following should occur: − Confirm manifests / DG notes all on-board − Hose(s) disconnected and clear − Deck secure (sea fastened) for transit − Vessel secure − Move to set-up position − Depart safety zone in a controlled manner following recommended speeds as per entry process


− Transfer controls once outside safety zone − Once outside safety zone vessel to obtain instructions (client control etc.) − Provide ETAs for next location 6. Alongside / Working & Trigger Points Whilst the vessel is within the safety zone, the following conditions should be monitored by vessel and installation personnel to ensure suitability to continue normal operations: − weather / environmental conditions (wind strength & direction, sea state, currents, visibility) − vessel motions − other vessel traffic − maintaining good communications − sufficient personnel on bridge, deck and engine room for intended operation − bulk hose operations (depending on weather, SIMOPS i.e. bulk transfers and deck cargo operations may

take place at the same time if all parties agree) o rigging and connections o condition, position and adequacy of floatation devices o crane driver to remain within crane cab o in the event of an Installation alarm; make safe and disconnect

− monitoring overboard discharges from installation − crane movement 7. Possible Delays When working alongside the installation, possible delays to the operation can come from many factors including (but not limited to): − helicopter operations − installation drills / GPA − meal breaks / installation personnel unavailability / shift changes and handovers − crane SIMOPS – other Installation activity − change in plan or loading sequence − sea state, visibility, wind or current reaching operational limits − ERRV drills If any delay becomes extended, then it is prudent to release the vessel outside of the 500m safety zone until operational status returns to normal.

5.2 Planning Process

5.2.1 General Procedure/Marine Operation Permit All vessels intending to enter the TenneT controlled 500 m Safety Zone must apply for a Marine Operations Permit (MOP). To apply for the MOP, the form ‘TenneT MOP’ needs to be filled out, signed and send to the MOC by vessel master or contractors person in charge of the operation. An issued Permit to Work for the


operation on board the vessel as well as the filled out 500 m entry checklist have either to be attached to the application or sent later when prepared. After receiving the necessary documentation, the MOC will issue a marine operation permit for the valid working window with a maximum duration of 24 hrs. The permit will then be reissued every day as long as the operations continue or must be ceased due to safety/operational reasons. The application must be reissued by the vessel if the contractor’s person in charge changes. Only if deemed necessary the MOC can extend the 24hr-validity of the MOP for Emergency Response RescueVessel (ERRVs) operating irregularly over a longer period in the safety zone of the platform.

5.2.2 Weather Criteria and Limitations In general TenneT utilizes the Advese weather guideline matrix as shown in Appendix 1 The duty MC retains the right to suspend marine activities in extreme circumstances such as the onset of severe weather, lightning forecasts, or restricted visibility. The Marine Coordinator however will never over rule the International Collision Regulations. It is the responsibility and prerogative of each vessel’s Master to decide the limiting weather criteria for their vessel and take appropriate action accordingly. If a vessel’s Master considers that the weather conditions exceed the maximum limit determined for the vessel, this information shall be passed to the duty MC, who will report appropriately within Project Team.

5.2.3 5 Day Look Ahead For a Marine Operation Permit to be granted, the contractor must send every day a filled out 5 Day Look Ahead Form to MOC before 09:00 Dutch local time. Unplanned activities, such as Trouble Shooting activities do not need to be incorporated in the 5DLA. Output of each contractors planning is the 5 Day Look Ahead. Main purpose of the 5 Day Look Ahead is to create an overview of planned activities and identify possible conflicts (SIMOPS). The MOC is responsible for distribution of the 5DLA, to TenneT project management and every contractor. In the event of simultaneous operations being identified, TenneT project management will decide on priorities and inform contractors accordingly. In addition to the 5 Day Look Ahead, Marine Operations must be announced 14 days in advance to the MOC for proper planning of SIMOPS. 5DLAF to be send to [email protected]

[email protected] Request for distribution list 5DLA to be send to [email protected]

[email protected] After platform take-over will the MOC exchange the 5DLA with the Marine Coordinators of the surrounding

mailto:[email protected]





offshore windfarms on a daily basis. In case of SIMOPS a daily telco between the Marine Coordinators to identify and resolve planning conflicts will be held by MOC.

5.3 Conducting of Transfers In general it can be stated that usage of a W2W solution is preferred from a safety point of view, TenneT refers to DNV-GL Industry Guidance for Gangway Access To Offshore Facilities - Walk-to-Work. For the safe transfer of personnel in all other cases following guideline is applicable: IMCA 287 - Guidance on the Transfer of Personnel to and from Offshore Vessels and Structures. To ensure the safe movement and personnel tracking to and from the platform it is the responsibility of the Contractors that a dedicated person notifies the MOC in case of the following activities: − Arrival and departure at/from seaport, − Arrival and departure at/from structure/working location, − PAX lists for transfers from/to an OSV/OIV/Accommodation Vessel, − POB list updates in case of changes of POB.

5.4 Specific Vessel Operations The vessels named in the following paragraphs are categorised according to their size and manoeuvrability. The categories range from 1 to 4, where 1 is presenting the highest category. Whenever a conflict of interest is to be expected between two categories, the ship categorized in the higher category is leading.

5.4.1 Category 1: Offshore Installation Vessels If an Offshore Installation Vessel (OIV), e.g. a Jack-Up Barge (also when used as accommodation platform) is planned to access a specific location at the site, a Marine Permit should be obtained by the Contractor responsible for the OIV. This Permit is only valid for one location. At that location, the master of the OIV is responsible for: − Management of local PTW processes, − Tracking of personnel on board and on the asset, − Emergency response, etc.

Any vessel shall not cross the 500 Meter zone of the OIV, without specific permission by the Master of the OIV. Every person engaged in installation vessel operations offshore, which do not belong to vessels crew, must have their passport and necessary certificates entitling to work on board.

5.4.2 Category 1: Diving Support Vessels As a minimum, diving operations shall be conducted in accordance with the requirements of Dutch regulations which apply to diving operations in general and offshore diving operations. However, the International Code of Practice for Offshore Diving, IMCA D 014, issued by the International Marine Contractors Association shall take precedent where more stringent than the national regulations. The diving contractor shall also be aware of regulations, codes and standards issued by the IMO.


If a Diving Support Vessel (DSV) is planned to access a specific location within the OHVS safety zone, the Contractor responsible for the vessel should obtain a Marine Permit. This Permit is only valid for one location. At that location, the master of the DSV is responsible for: − Management of PTW processes, − Tracking of personnel on board and on the asset, − Emergency response, etc.

A vessel shall not cross the 500m zone of the DSV, without specific permission by the Master of the DSV. People engaged in diving vessel operation offshore, who are not belonging to vessels crew, must have their passport and necessary certificates entitling to work on board. The DSV must inform the guard vessel and/or MOC when diving operations are commenced. After notification of the start of diving operations, the DSV broadcasts a navigation warning and keep track of other boat movements. In case any hazardous interface or interference is expected, the guard vessel and/or MOC will notify the DSV accordingly. When the divers are out of the water, the contractor must notify MOC and/or guard vessel and must cancel the navigation warning.

5.4.3 Category 2: Offshore Support Vessels If an Offshore Support Vessel (OSV) is planned to access a specific location within the OHVS safety zone, the Contractor responsible for the vessel should obtain a Marine Permit. This Permit is only valid for one location. If the vessel is planning to perform crew transfers to a structure, for example, by means of gangway, the Contractor should request a location specific Permit to Work (PTW) for the planned activities. Vessels shall not cross the 500m zone of the OSV, without specific permission by the Master of the OSV. People engaged in OSV operations offshore, who are not belonging to vessels crew, must have their passport and necessary certificates entitling to work on board.

5.4.4 Category 3: Crew Transfer Vessels If a Crew Transfer Vessel (CTV) is planned to access a specific location within the OHVS safety zone, the Contractor responsible for the vessel should obtain a Marine Permit. This Permit is only valid for one asset. However, in case a Category 1 vessel is in charge of a specific asset and the 500 Meter zone is applied. The CTV Master specifically needs to obtain the permission of the Category 1 Vessel Master to enter this area/asset regardless of a valid Marine Permit. People engaged in CTV operations offshore, who are not belonging to vessels crew, must have their passport and necessary certificates entitling to work on board.


5.4.5 Category 4: Rigid Inflatable Boats/Rescue Boats The use of Rigid Inflatable Boats (RIB) is only allowed in case of cable installation activities in shallow waters and rescue operations or emergency situations.

5.5 Traffic Regulations

5.5.1 Infield Traffic When operating in the safety zone the instructions of the MOC, either given verbally or as remarks in the issued permit, must be followed at all times.

5.5.2 Breach of Safety Zones If an un-authorized vessel is observed entering the 500 Meter safety zone, the MOC shall log vessel details and report to the Coast Guard and Police if necessary.

5.5.3 General Communication Requirements Table 3 - General Communication Requirements

TenneT Marine Operation Centre Eisenbahnlängsweg 2a 31275 Lehrte

E-Mail: [email protected] Phone 24/7: +49 5132 89 2400 VHF Listening Channel: 16 / 75 VHF Working Channel: 75


6. Emergency Response

TenneT’s Emergency response plans are all prepared according the flow chart in figure 3. Specific emergency response communication plans are published for individual projects and activities.

Emergency and Notification call lines for accidents and SHE-relevant incidents at TenneT

Guidance

Event Event controlled

Emergency response plan contractor

MOC

Notification by contractor

Event classified as FAT / LWC /

RWC or MTC?

Involvement of Incident Manager needed?

iTask notification

Yes

No

No

Inform Incident Manager NL

MOC notifies the project as per

priority list

The first project personnel contacted by the MOC needs to

do the further communication within the project if required.

Yes

Date: 11/01/2017Owner: NLO - SHERevision: 02

Process flow by contractorProcess flow by MOCProcess flow by TenneT NLO

Project escalation as required

In case of escalation to TenneT’s Crisis Management the

NLO organisation will act as functional

specialist

Figure 3 - Emergency and Notification call lines for accidents and incidents

6.1 Traffic Coordination in case of Accidents If there is an accident, incident, or required evacuation, the Emergency response / SAR procedure contained within the Offshore Communication & Emergency Chart (ERP) must be followed. The duty MC is to participate and assist as required in emergencies and provide all available data to the On-Scene Commander (OSC) and local Maritime Rescue Coordination Centre: Table 4 - Contact Details Dutch Coastguard

JRCC Den Helder MHKC Building, Rijkszee- en Marinehaven 1 1781 ZZ Den Helder

Phone Alarm: +31 900 0111 VHF Channel: 16 DSC: VHF Channel 70 and MF 2187,5 kHz


Callsign during SAR: Den Helder Rescue Callsign other matters: Netherlands Coastguard E-Mail: [email protected] Phone Non-Urgent: +31 223 542300

The Dutch coastguard must be advised of any incident that causes obstruction to the waterways and / or incidents causing pollution of water. In case of severe incidents the State Supervision of Mines (SodM) must be Notified.



7. Reports

The MOC must be informed about all permit requirements related to marine operations and emergency response.

7.1 Information Exchange TenneT - OWF A 5 Day Lookahead with regards to vessel activities shall be shared and a telephone conference held daily between TenneT and a representative per wind farm. In addition a 14 Day notification scheme will be implemented. The basis of both 5 DLA and TelCo (layout, data exchange channel, etc.) will be agreed between all parties in a formal way initiated by the MOC.

7.2 Weather After platform take-over a weather forecast will be distributed by MOC or a delegated contractual partner. Vessels working on behalf of TenneT can obtain this forecast by submitting a request to the MOC by mail.

7.3 Arrival/Departure An arrival/departure report must be sent via email according to the distribution list when a vessel arrives/ departs at port or site. The distribution list will be announced by the MOC. The report shall cover as a minimum: − Name and call sign, − Current position (last midnight position (format: xx°-xx,x’/xxx°xx,x’ in WGS 84)), − Planned way/operations for the following 24 hours, − Bunker figures, − Name of platform when on location or name of port if alongside, − Remarks (SHE), incidents, − POB/capacity.

7.4 Daily Progress A Daily Progress Report (DPR) must be filled out and sent to the TenneT MOC by email. The report must be prepared and submitted in accordance with the defined template and distribution list, which will be announced by the MOC. The report shall cover all operations and activities of the past 24 hours between 0000 LT and 2400 LT and must be transmitted until 1200 LT of the following day. Furthermore, the actual number of persons on board (POB) must be stated therein. A draft DPR shall be sent to the MOC for review prior to the start of the operation.


7.5 Weekly Progress A Weekly Progress Report (WPR) must be filled out and sent to the TenneT MOC by email. The report must be prepared and submitted in accordance with the defined template and distribution list, which will be announced by the MOC. The report shall cover all operations and activities of the past week from Monday 0000 LT till Sunday 2400 LT and must be transmitted until 1200 LT of the following Monday. Furthermore, the actual number of persons on board (POB) must be stated therein. A draft WPR shall be sent to the MOC for review prior to the start of the operation.

7.6 Incident The initial report of an incident must be performed by phone or E-Mail to the TenneT MOC according the emergency response plan. An Incident report for all accidents and incidents which must be reported has to be filled out and sent to the TenneT MOC by E-Mail on the very next working day after an occurrence and MOC is responsible to register the event in iTask.


Appendix 1 - Adverse weather guideline

P = Permitted TEMPWindforce in Beaufort 6 7 8 9 10 11 12Windforce in knots 22 / 27 28 / 33 34 / 40 41 / 47 48 / 55 56 / 63 > 64Windforce in m/sec 10.8 / 13.8 13.9 / 17.1 17.2 / 20.7 20.8 / 24.4 24.5 / 28.4 28.5 / 32.6 > 32,6

S = Suspended Significant Wave Height (Hs) in m

3,0 4,0 5,5 7,0 9,0 11,5 13,5

activity

sea state condition white foam crestswhite foam blowing away

crests breaking - foam in streaks

high waves - crests roll over - foam dense streaks

very high waves - crests long overhanging - sea becomes white - visibility affected

exceptionally high waves - crests blown away - sea white - visibility affected

enormous waves - air filled with foam and spray - visibility very seriously affected

Work 'over the side' 1) M M S S S S S N / A M S S < 5 deg M 2) S

Scaffolding (outdoors/general-not 'over the side')

P P M 3) S S S S N / A N / A M 7)

S < -5 deg and

ice M 2)

S < -5 deg and

ice

Work 'on deck' P P P 3) M 4) M 4) S 5) S 5) N / A P PS

< -5 deg and ice

M 2)

S < -5 deg and

ice

From platform to vessel (boat captain to agree at all

times)P S S S S S S N / A N / A M 7)

S < -5 deg and

ice M 2)

S < -5 deg and

ice

deck P M 6 & 14 M 6 & 14 S S S S N / A N / A P 7)

S < -5 deg and

ice M 2)

S < -5 deg and

ice

Helicopter operations (pilot makes f inal decision at all times) 8)

P P P M 9) M 10) S S P 11) P 11) P 12)

P provided no icing

M 11) M 13)

Crew Transfer 15) M S S S S S S M 17) min. 250m M 17) S S S

1) Work "over the side" - standard always a stand-by vessel. 2) Ensure suitable clothing/shelter 3) Carry out weather watch (secure loose items) 4) Lee-side passage allowed 5) Stay indoors 6) Consider whipline only 7) Ensure sufficient lighting 8) At windforce 9 and above no flights to satellite platforms - in exceptional cases approval of Production Superintendent required. For departing helicopters from onshore, see Adverse weather guidelines of the concering heliport. 9) No long term shut-down10) No stop / start11) At pilot discretion12) OIM and pilot to agree - to be within legal permit 13) OIM and pilot to agree14) Only under Permit to Work15) Personnel transfer may be possible up to a sea state of maximum 3.5 metres in significant wave height depending on the transfer system in use.16) Transfer operations shall be conducted during daylight hours. If transfer by personnel basket during non-daylight hours is unavailable, the transfer areas shall be adequately illuminated17) At all times the crane driver must be able to view the personnel basket and the transfer areas

M = Marginal, OIM to agree, take precautions, see x)

ANYBODY HAS THE RIGHT TO REFUSE WORK UNDER CLEARLY UNSAFE CONDITIONS

Crane operations

HEAVY RAIN

SNOW / ICE

WINDFORCE / WAVE HEIGHT VISIBILITY

vertical < 500 m

horizontal < 500 m night


Appendix 2 - Borssele Alpha & Beta

Introduction

The Borssele Wind Farm Zone consists of 5 sites with a total installed capacity of 1400 MW. The Offshore High Voltage Substation (OHVS) Borssele Alpha is required to link up the Ørsted wind farm which consists of sites I and II (700 MW). The Borssele Beta platform has an interlink connection of 66 kV with Borssele Alpha and provides the grid connection for the Blauwwind wind farm which consists of sites III and IV (680 MW) and for the Innovation Site V (20 MW).

Field Layout An essential part of every mariner’s safety is a nautical chart which gives the bridge team an overview of the area where the marine operation will take place. Details of such an area needs to be handed over by the project to every vessel and can be found in following paragraphs. Platform Location Table 5 - Location Borssele Alpha & Beta

Platform Latitude Longitude Alpha 51° 41’ 59.717’’ N 003° 03’ 24.148’’ E Beta 51° 43’ 35.464’’ N 002° 57’ 56.001’’ E

Figure 6 - OWF Zones Borssele Cluster

Figure 5 - Platform Locations

Figure 4 - GNA Area Borssele Alpha & Beta

Approved methods for SHE incident investigation SSC17-005

Public information

Version 1.0

Approved methods for SHE incident investigation DATE 17 March 2017

PAGE 2 of 5 REFERENCE SSC17-005

Document history

Date Changes Version Author Authorisation

17-03-2017 - 1.0 F. Geijlvoet (SSC) R. Marchal

(senior manager, SSC)

Information protection classification

A1, I1, C1 Public information



Contents

1. INTRODUCTION ........................................................................................................................................... 4

1.1 Purpose and aim ................................................................................................................................. 4

1.2 Scope .................................................................................................................................................. 4

1.3 Main changes compared with the previous version ............................................................................ 4

1.4 Relation to other TenneT documents ................................................................................................. 4

2. LIST OF METHODS ...................................................................................................................................... 4

3. REFERENCES .............................................................................................................................................. 5



1. Introduction

1.1 Purpose and aim

The TenneT requirements for the investigation of SHE incidents are described in the Guideline Reporting,

investigating and reviewing SHE incidents (SSC15-009). As to the method that must be used for the

investigation of SHE incidents, the guideline makes a distinction between TenneT incidents and contractor

incidents. TenneT incidents are to be analysed using the Tripod Beta method. For contractor incidents, no

specific method is required other than a method that enables the investigator to determine both the direct

and underlying (root) causes of the SHE incident. The aim of the present document is to present a list of

methods that are suitable in our opinion.

1.2 Scope

The list of methods presented in this document is a non-limitative list and is frequently updated.

1.3 Main changes compared with the previous version

Not applicable.

1.4 Relation to other TenneT documents

This document is related to the Guideline Reporting, investigating and reviewing SHE incidents (SSC15-

009).

2. List of methods

The list of methods presented in the table below was selected on the capability of the method to determine

underlying (root) causes. The list is non-limitative. If the investigator uses one of the methods listed below,

the investigator will be able find both direct and underlying (root) causes of the SHE incident, provides the

method is applied correctly. The use of a method does not guarantee that the outcome of the investigation is

good, in the sense that the results are valid and reliable, but it will enable the investigator to identify the

causes in a systematic way.



If the investigator wishes to use a method that is not on the list, please contact [email protected] before the

analysis is started in order to discuss the method so that it may be added to the list if evaluated positively. If

this is not done, the chances are that TenneT will not approve of the investigation after the results are

communicated with TenneT on the grounds that no underlying causes are established.

Nr Name of the method Also known as

1 STAMP System-Theoretic Accident Model and Processes

2 Acci-map

3 Achilles

4 Apollo RCA Apollo Root Cause Analysis / ARCA

5 3CA Control, Change Cause Analysis, CCCA

6 ECFA+ Events and Conditional Factors Analysis

7 ETA Event Tree Analysis

8 ETBA Energy Trace and Barrier Analysis

9 FTA Fault Tree Analysis

10 HFACS Human factors Analysis and Classification System / Human Reliability Analysis

11 HPES Human Performance Enhancement System

12 LOPA Layer of Protection Analysis

13 MORT Management Oversight and Risk Tree

14 MTO Man, Technology and Organisation analysis

15 PRISMA Prevention and Recovery Information System for Monitoring and Analysis

16 S137

17 SIRE Systematische Incident Reconstructie en Evaluatie

18 SOAT Systematic Cause Analysis Technique

19 SOL Sicherheit durch Organisationales Lernen

20 Storybuilder / ORCA

21 TapRoot

22 Tripod Beta / Tripod TRACK Tripod Analysis and Categorisation Kit

3. References

The methods in this document were selected based on the information in the literature listed below.

Alphen, W. van, Gort, J., Stravast, K.and Zwaard, A (2015). Leren van ongevallen; een overzicht van

analysemethodieken. The Hague, Sdu publishers.

Fahlbruch, I. and Meyer, I. (2013). Ganzheitliche Unfallanalyse; Leitfaden zur Ermittlung grundlegender

Ursachen von Arbeitsunfällen in kleinen und mittleren Unternehmen. Dortmund, Federal Institute for

Occupational Safety and Health.


RR04

REVISION 1.0 Safety Culture Ladder – Requirements for Contractor DATE 09.08.2018 Realization Requirements Offshore Projects / O&M PAGE 1 of 2

SAFETY CULTURE LADDER – REQUIREMENTS FOR CONTRACTOR

The Realization Requirements (RR) are part of the SHE Requirements. In this RR TenneT refers to the safety culture ladder system from NEN which can be found here: www.safetycultureladder.com. Information on TenneT safety vision and program can be found our website.

1 Safety Culture Ladder: a safety culture management system

TenneT strives for Safety Excellence in executing the activities by ourselves and our contractors. Therefore an important part of the TenneT Safety Vision is the development and implementation of a sound safety culture. Safety culture is most effectively implemented on top of safety regulations and safety management systems etc. Furthermore safety culture at TenneT will be implemented in the full supply chain. This is why it relates to the TenneT’s Contractors as well. TenneT has selected the Safety Culture Ladder (=SCL) system as an effective and structured instrument to implement and maintain solid safety attitude and behavior in the supply chain. SCL consist out of 5 maturity levels of safety culture and should be considered as a growth model. The lad-der steps indicate the level of development in which a company operates in the field of safety awareness (from pathological attitude towards safety to being a leading progressive company on safety issues).

2 TenneT ambition: certification level 3

TenneT requesting its suppliers to get certified on the Safety Culture Ladder system (or equivalent safety culture system) for level 3 within a maximum period of 18 month (after awarding the contract, or after receiving the formal request by TenneT). With the SCL certificate on level 3 the Contractor demonstrates that their safety culture represents a quality aspect of their organization. TenneT is willing to accept equivalent safety culture management systems for the coming period if they meet certain criteria representing the essentials of the SCL system, which are the following:

• The system is based on different development phases from safety behavior and attitude in the organization.

• The system shall largely cover the aspects and company characteristics of the SCL. • The system can include self-assessments but must be assessed and audited an independent

organization with a pre-determined frequency. • The system shall include safety culture development in the supply chain • The system shall cover those organizational units which are directly involved working for TenneT

and having influence on the safety culture. • The system is part of an integral safety system (with occupational health, Safety and environment

integrated with technical safety). • The system elements and auditing results shall be available for TenneT.

http://www.safetycultureladder.com/

RR04

REVISION 1.0 Safety Culture Ladder – Requirements for Contractor DATE 09.08.2018 Realization Requirements Offshore Projects / O&M PAGE 2 of 2

3 The Safety Culture Ladder: introduction

The SCL is controlled by an independent institute, NEN, in the Netherlands. Safety culture systems have been developed and implemented by the oil & gas industry in the 90's, based on self-assessment methods. Since then, many industries have implemented safety culture into their organizations and in 00's the system has been developed into an independent certifiable system for safety culture. SCL certification is now applied in procurement processes from larger infrastructural assets by several contracting authorities. The SCL consists out of 5 levels, from which the lowest level (pathological) is not considered. The SCL measures safety attitude and behavior and is focused on 6 aspects being:

• Leadership and involvement • Policy and strategy • Organisation and contractors • Workplace and procedures • Deviations and communication • Audits and statistics.

Within the 6 aspects the SCL is diversified in 18 characteristics. In total there are 59 requirements / questions for every of the remaining 4 levels. During an audit (interview), employees of the organization will be interviewed on their knowledge and awareness from the safety culture within the company. Interviews are executed by 2 interviewers and take about 1 – 1.5 hours per interview. There is not a fixed set of questions; the interview will unfold in how the interviewed person perceives safety within his environment. On every question can score points can be achieved, mostly also if requirements are reached partly. Finally the interviewers make up the total scores and compare the interview results with the SCL requirements to determine the actual safety culture level of the company.

4 The Certification Scheme

The certification sequence for TenneT requires after 18 months a full certification, in the years 2 and 3 an Experience Audit (SAQ+) is executed in order to keep track on the improvement activities from the action plan. Then in year 4 again a full certification is required. Via this sequence we have increased the validity of a full SCL certificate from 1 year to 4 years, including the check-up actions in the period in between. Contractor works in a cooperation (joint venture, Kooperation, VOF, etc.), all parties of that cooperation need to be certified, unless there is a dedicated project organization for longer time on a large project. Should only part of the Contractor is working for TenneT, only those persons working for TenneT and the employees influencing the safety culture from that part of the company, are required to be certified. Implementation from the SCL requires only one obligated phase, which is the final certification. However, a proven approach is to start with a self-assessment (through certification questions including online version), followed by composing a GAP analysis by actual results from the self-assessment related to the requirements of the desired SCL level, setting up and executing an action plan to meet the required level, organize a partial audit (40%) as described in the manual and subsequently run for the final audit. Audit costs are described in the SCL manual and are dependent on company size (FTE) and selected certification institute.

RR06

REVISION 1.0 Key Performance Indicators DATE 09.08.2018 Realization Requirements Offshore Projects / O&M PAGE 1 of 2

KEY PERFORMANCE INDICATORS


1 Preface

The purpose of this document is to inform the user on the Key Performance Indicators which have been put in place to monitor the SHE performance of the offshore projects during execution phase. The Client’s requirements have been used as a guideline to establish the leading and lagging performance indicators. The set key performance indicators are to be monitored on a monthly basis and reported to the project management. Evaluations of the Key Performance Indicators shall be partly used as input for the management review.

2 Content

Leading key performance indicators (KPI's) – A leading indicator is an indicator that anticipates a future event, predicting an outcome. Lagging key performance indicators (KPI's) – A lagging indicator is an indicator that follow an event or a result.

3 KPI’s

3.1 Leading KPI's KPI #

Focus Performance Indicator Target

1.1 Leadership Project management inspections on site Min. 1 time per month

1.2

Emergency management Contractor management

Emergency response drills

Before start of each project phase

Above 95% compliant to drill matrix

1.3 Contractor management Project SHE audits

Min. 1 for each project phase

Above 95% compliant to audit matrix

1.4

Contractor management Incident

Near miss incident reporting

Achieve a high Near Miss / Accident ratio ("Bird's pyramid)

Each near miss reported within 24h

RR06

REVISION 1.0 Key Performance Indicators DATE 09.08.2018 Realization Requirements Offshore Projects / O&M PAGE 2 of 2

management NM corrective actions closed within 7 days

1.5 Hazard management Hazard identification and risk assessment

Each project covered by a HAZID

All risks have been mitigated as per hierarchy of control

1.6 Contractor management SHE observations Observations closed within 7 days

1.7

Contractor management Incentive program

Incentive program

Incentives have been awarded based on team performance for each phase of the project

Incentives have been awarded on the project level for each phase of the project

3.2 Lagging KPI's KPI # Focus Performance Indicator Target

2.1

Contractor management Incident management

Lost time accidents

LTIF < 1

Reported within 24 hours

Investigation report completed within 14 days

Corrective actions implemented within 30 days

2.2

Contractor management Incident management

Incident and accident management

0 Incidents and accidents

Reported within 24 hours

Investigation report completed within 14 days

Corrective actions implemented within 30 days

2.3 OH&S Compliance

Compliance to OH&S legislative and other requirements (Employers requirement)

No violations

2.4 Contractor management

Amount of open observation more than 7 days

0 outstanding observations longer than 7 days

RR05

REVISION 1.1 Training and Medical Requirements DATE 10.08.2018 Realization Requirements Offshore Projects / O&M PAGE 1 of 7

TRAINING AND MEDICAL REQUIREMENTS (RR05)


1 Scope / Intro

The area of applicability is the same as the area of applicability of the SHE Requirements. This document is not applicable to the marine crew of vessels. Therefore reference is taken to “Vessel Requirements” (RR07).

RR05


2 Matrix

DE only

Area / Activity Inductions Fitness Trainings Etc

onsh

ore

site

vess

el

avia

tion

plat

form

Offs

hore

hea

lth

certi

ficat

e in

cl.

phys

ical

cap

abilit

y

Sea

surv

ival

HU

ET +

CA-

EBS

Hel

icop

ter h

oist

Fire

figh

ting

Firs

t aid

Offs

hore

firs

t aid

Boat

tran

sfer

/ la

ndin

g

Wor

king

at h

eigh

t

Elec

trica

l aw

aren

ess

/ “Eu

P”

Working on onshore site / office x

Working on vessel x x x x x x1 x

Transferring to structure / Working on platform x x x x x x x1 x x x

Transfer by heli pad x x

Transfer by heli hoist x x x

Transfer by CTV (boat landing) x

1 A certain amount of personnel team (min. 2 per team / > 20%)

RR05


RR05


RR05


3 Details to the matrix

3.1 Inductions The induction concept of the Contractor shall consider induction trainings. Inductions shall be given before start of work on the relevant site. It needs to be repeated each 12 month.

3.2 Fitness for work 3.2.1 Medical examinations The suitability for use in offshore operations needs to be demonstrated by holding a valid health certificate according to one of the following standards:

OGUK, NOGEPA, OLF or AWMF Part of the above described certificate is a physical capability assessment such as NOGEPA ERT module where a ECG (Electrocardiogram) under stress will be performed. More info see below 3.2.2. Should a Contractor wish to present a different type of medical examination certificate, the Contractor shall provide evidence that the undergone examination meets the minimum standard (OGUK). 3.2.2 Physical capability assessment The physical capability can be proven by the “Chester step test” or the “Cycle ergometry test” (with reference to the AWMF guideline). Should a contractor wish to present a different type of physical capability assessment certificate, the Contractor shall provide evidence that the undergone test meets the minimum standard as mentioned above.

3.3 Trainings The “TenneT basic safety training standard” is customized for purposes working on offshore substations and vessels in the renewable energy environment. It keeps up the same level as the GWO training standard requires for working offshore and is actually going above it. Even though other standards focus on different purposes like working on wind turbine generators (e.g. GWO training standard) TenneT considers other standards equivalent for working on offshore substations. The Contractor agrees to accept personnel trained according to the “TenneT basic safety training standard” working on offshore substations under his control. 3.3.1 Sea survival It is often also called “Basic Offshore Training” or similar. By TenneT acknowledged standards are:

GWO Sea Survival NOGEPA „Basic Offshore Safety lnduction and Emergency Respone Training" (incl. HUET) OPITO BOSIET (course code 5700) / FOET (course code:5858) „Basic Safety and Emergency Preparedness Course" according Norwegian Oil and Gas

3.3.2 HUET CA-EBS By TenneT accepted “Helicopter Underwater Escape Training” standards:

NOGEPA OPITO Norwegian Oil and Gas

RR05


3.3.3 Helicopter hoist The helicopter hoist training needs to be attended with the helicopter provider the personnel flies with. Per helicopter type separate hoist training is required. 3.3.4 Fire fighting By TenneT accepted standards:

GWO Fire awareness NOGEPA “ERTM” or “ERTL” Training according to German “DGUV Information 205-023 Brandschutzhelfer”

3.3.5 First aid By TenneT accepted standards:

DGUV First aider (Standard of the German accident prevention assurance) GWO First Aid NOGEPA Offshore First Aid „First-aid basic course" according Norwegian Oil and Gas

3.3.6 Offshore First aid The qualification “Offshore first aider” is applicable to work in German waters and needs to be fulfilled by a certain portion of the team working in the offshore environment. A higher qualified person can fulfil this role as well (e.g. a physician). The minimum requirement is that at least 2 persons in a team are qualified as offshore first aider. Team sizes above 10 persons need to have 20% of the team member trained as offshore first aider. Reference is made to “Erste Hilfe in Offshore-Windparks” (Link). By TenneT accepted standards are:

DGUV Offshore First Aid GWO First Aid NOGEPA „Offshore First Aid" „First-aid basic course" according Norwegian Oil and Gas

3.3.7 Boat transfer / landing In most cases the transfer via boat landing is required in case of emergencies (2nd rescue path). In these cases a boat landing training is mandatory. When climbing the boat landing ladder it is mandatory to use the fall arrest system. Hence a fall arrest harness is required to use. Therefore working at height training is consequently mandatory. 3.3.8 Working at height By TenneT accepted standards:

Training according to DGUV Regel 112-198/199 GWO Working at height

Repeating interval in Germany is one year, otherwise according to training standard specification.

3.4 Etc 3.4.1 Electrical awareness By TenneT accepted standards:

Training according to DIN VDE 0100, DIN VDE 0150, DGUV V3 Competent person for electrical works

https://www.dguv.de/medien/fb-erstehilfe/de/pdf/offshore-engl.pdf

RR05


3.4.2 Weight restrictions PFPE (Personal Fall Protective Equipment) has by its nature limits in the capability to catch a person. A limit is set by shock absorbents and the static and dynamic load which needs to be caught when a person falls into the PFPE. Therefore TenneT sets a general weight limit to 136 kg incl. PPE and clothing. Depending on the PFPE system installed a stricter value may apply.

Guideline definitions and classification of SHE incidents

Public Information

Version 2.0 TenneT


DATE 15 October 2015

PAGE 2 of 29 REF.NO. CSS13-014

Index of changes and releases

Date Changes Version Author Authorised by

20-2-2013 - 1.0 F. Geijlvoet (SSC) Senior Manager SSC

10-7-2015

Major revision with

modification towards IOGP

2.0 F. Geijlvoet,

D.J. Haverkamp (SSC)

Senior manager SSC

Information protection classification A1, I1, C1: Public Information




Content

1. INTRODUCTION ........................................................................................................................................... 5

1.1 Aim ...................................................................................................................................................... 5

1.2 Scope .................................................................................................................................................. 5

1.3 Main changes compared to previous version ..................................................................................... 6

1.4 Relation with other TenneT guidelines ............................................................................................... 6

1.5 Responsibilities ................................................................................................................................... 6

1.6 Definitions of employee, contractor employee and third parties ......................................................... 7

1.7 Organizational allocation of incidents ................................................................................................. 7

1.8 Company and contractor definitions ................................................................................................... 7

2. CLASSIFICATION OF SHE INCIDENTS ..................................................................................................... 8

2.1 Basic definitions .................................................................................................................................. 8

2.2 Work related activities ......................................................................................................................... 9

2.3 Categorizing incidents....................................................................................................................... 10

3. REPORTING BOUNDARIES ...................................................................................................................... 10

3.1 In scope ............................................................................................................................................ 10

3.2 Out-of-scope ..................................................................................................................................... 11

4. CALCULATION OF HOURS WORKED ..................................................................................................... 12

ANNEX 1. INCIDENT CLASSIFICATION CATEGORIES .................................................................... 13

ANNEX 2. DEFINITION OF TERMS ....................................................................................................... 15

ANNEX 3. MEDICAL TREATMENT CASES AND FIRST AID CASES ................................................ 17

ANNEX 4. EXAMPLES AND GUIDANCE .............................................................................................. 19

I Contractor modes ........................................................................................................................... 19

II Organizational allocation of incidents............................................................................................. 19

III Casual visitors ................................................................................................................................ 20

IV Personal grooming and self-medication ......................................................................................... 20

V Restricted work day cases ............................................................................................................. 21

VI Transportation of people ................................................................................................................ 21

VII Work environment .......................................................................................................................... 23

VIII Working away from home .............................................................................................................. 23

IX Transportation of goods, tools and equipment ............................................................................... 24

X Injuries during training .................................................................................................................... 24

XI Meal period illnesses ...................................................................................................................... 25




XII Sports ............................................................................................................................................. 25

XIII Entertainment of or by business contacts ...................................................................................... 26

XIV Outings and social events .............................................................................................................. 26

XV 'Acts of God' and wilful acts ........................................................................................................... 26

XVI Misbehaviour .................................................................................................................................. 27

XVII Delayed death ................................................................................................................................ 27

XVIII Environmental impact ..................................................................................................................... 27

IXX Medical treatment case versus First aid case ................................................................................ 28




1. Introduction

1.1 Aim

The aim of this guideline is to provide the criteria for reporting and classifying Safety, Health and

Environmental (SHE) incidents. Classification is essential for the company incidents statistics. TenneT uses

incident statistics to monitor and steer continuous improvements

This guideline does not provide a framework on the reporting process itself; that information is given in the

guideline 'Reporting, investigation and review of SHE incidents' (CSS15-009).

This guideline is based on a commonly used guideline of the International Association of Oil & Gas

Producers for benchmarking purposes 1.

1.2 Scope

This guideline applies to the following TenneT entities:

Onshore NL.

Onshore GE

Offshore & DCI

In this guideline these entities are collectively referred to as “TenneT”.

This guideline also applies to TenneT's joint ventures whenever TenneT:

is the operator; or

has majority or controlling interest and has an officer assigned as the senior managing director of the joint

venture operation.

The above is further specified for the following situations:

Joint Venture Operations

In the case of joint ventures where the operating company is not TenneT, the companies in the partnership

1 IOGP. (2015). Safety data reporting users' guide, 2013 data. Retrieved on 20 August 2015, from:

http://www.iogp.org/Reports/id/Rep_2013su_ID_766




are required to reach agreement on to which company of the joint venture incidents are to be reported in

order to avoid double counting.

Joint Operatorship

In the case of joint operatorship the companies in the partnership are required to reach agreement on to

which company incidents are to be reported in order to avoid double counting.

Partner Operations

Incidents occurring in partnership operations (i.e. facilities for which the company owns equity, but is not the

operator) are excluded.

1.3 Main changes compared to previous version

The following main modifications have been made compared to the previous version of this guideline:

The IOGP reporting standards are included, wherever appropriate.

The definition of a High Risk Incident (HRI) has been simplified in line with but with modifications

compared to the IOGP standard. The TenneT Risk Matrix is no longer referred to.

The incident category of Permanent Total Disability has been deleted as a separate category (in line with

IOGP).

In line with IOGP, three contractor modes are distinguished. See paragraph 1.8.

The example incidents have been reviewed. New example incidents have been added. See annex 4.

A separate chapter on worked hours has been added. See chapter 4.

1.4 Relation with other TenneT guidelines

Guideline CSS 15-009 Reporting, investigation and review of SHE incidents. This guideline contains

general rules for reporting SHE incidents, which incidents to investigate (when, who, how) and how

incident investigations are reviewed in the different layers of the organisation.

Guideline CSS 15-010 Information protection. This guideline is relevant as it contains TenneT rules on

confidentiality that also apply to the underlying guideline.

1.5 Responsibilities

The senior manager is responsible for the reporting and classification of incidents in TenneT´s incident

management system. Safety experts provide active support. For guidance on this topic, see the guideline

Reporting, investigation and review of SHE incidents.




If an incident cannot be readily classified or if this guideline leaves room for discussion, senior management

decides on the final classification.

This guideline contains example incidents (appendix 4) for correct interpretation of the classification criteria.

1.6 Definitions of employee, contractor employee and third parties

A distinction is made between incidents of TenneT employees, contractors and third parties.

A TenneT employee is a person employed by and on the payroll of TenneT. Persons employed under

short service contracts are included as TenneT employees provided they are paid directly by TenneT.

A contractor employee is a person employed by a contractor (or a contractor’s sub-contractor) who is

directly involved in execution of prescribed work under a contract with TenneT.

A third party is a person with no business relationship with TenneT or a contractor of TenneT. Examples

of third parties are: general public, external post-delivery companies.

1.7 Organizational allocation of incidents

As of 2015, TenneT is reporting on segment level instead of legal entity level. There are three segments

defined within TenneT – Onshore NL, Onshore GE and Offshore & DCI. For the sake of internal reporting

each incident must be allocated to the responsible TenneT segment. A distinction between the following

situations is made:

In case of TenneT employees, the incident is allocated to the segment in line with the hierarchical

reporting line of the victim.

Incidents of TenneT employees working with a corporate department are allocated to either Onshore NL

or Onshore GE, depending on whether the employee has a Dutch of a German contract.

In case of contractor employees, the incident is allocated to the segment which assigned the contractor.

In case of environmental incident, the incident is allocated to the segment that has operational

responsibility.

1.8 Company and contractor definitions

Company work-related activities includes all work by TenneT employees, including attendance at courses,

conferences and TenneT organized events where participation is perceived as mandatory by the employee,




business travel, field visits or any other activity or presence expected by TenneT.

For the definition of contractor work-related activities, a distinction is made between the following three

contractual situations. Only mode 1 and mode 2 are regarded as contractor activities which must be

reported. Contractor mode 3 is not included in the TenneT incident statistics.

Mode 1

The contractor provides people, processes and tools for the execution of the contract, under the supervision,

instructions and SHE management system of TenneT. The contractor has a management system to provide

assurance that the workers for whom it is responsible are qualified and fit for the work and that the

processes, tools, materials and equipment they provide are properly maintained and suitable.

Mode 2

The contractor executes all aspects of the contract under its own SHE management system, providing the

necessary instructions and supervision and verifying the proper functioning of its SHE management system.

TenneT is responsible for verifying the overall effectiveness of the SHE management controls put in place by

the contractor, including its interface with subcontractors, and assuring that both TenneT’s and the

contractor’s SHE management system are compatible.

Mode 3

The contractor operates within its own SHE management system, which has no interfaces with the TenneT

SHE management system. The contractor is not required to report SHE performance data (including

incidents) to TenneT. However, this does not exclude the possibility that TenneT may wish to guide and

influence SHE performance under this type of contract.

2. Classification of SHE incidents

2.1 Basic definitions

A SHE incident is an unplanned or uncontrolled event or chain of events that has – or could have - resulted

in at least one fatality, injury or illness, or physical or environmental damage.

An occupational injury is any injury such as a cut, fracture, sprain, amputation, etc., which results from a

work-related activity or from an exposure involving a single incident in the work environment, such as

deafness from explosion, one-time chemical exposure, back disorder from a slip/trip, insect or snake bite.

An occupational illness is any abnormal condition or disorder of an employee, other than one resulting from

an occupational injury, caused by exposure to environmental factors associated with employment. This




includes both acute and chronic illnesses or diseases. They may be caused by inhalation, absorption,

ingestion of or direct contact with the hazard, as well as exposure to physical and psychological hazards.

2.2 Work related activities

An injury or illness must be considered work-related if an event or exposure in the work environment caused

or contributed to the resulting condition or significantly aggravated a pre-existing injury or illness. Work-

relatedness is presumed for injuries and illnesses resulting from events or exposures occurring in the work

environment unless one of the following exceptions applies in its entirety:

Occurs when an employee or contractor is present in the work environment as a member of the general

public (so: off duty);

Results solely from voluntary participation in a wellness program or in a medical, fitness, or recreational

activity, such as blood donation, physical examination, flu vaccination, exercise class, racquetball, or

baseball etc. Where the activity is company-sponsored the participation must be perceived by the

employee as voluntary for this exception to apply;

Involves signs or symptoms that surface at work but result solely from a non work-related event or

exposure;

Is solely the result of eating, drinking, or preparing food or drink for personal consumption (whether

bought on the employer’s premises or brought in). For example, if the employee is injured by choking on

a sandwich while in the employer’s establishment, the case would not be considered work-related. Note:

If the employee is made ill by ingesting food contaminated by workplace contaminants (such as lead), or

gets food poisoning from food supplied by the employer, the case would be considered work-related;

Is solely the result of doing personal tasks in the work environment outside of the employee’s assigned

working hours;

Is solely the result of personal grooming, self-medication for a non-work-related condition or is

intentionally self-inflicted;

Is the common cold or flu (note: contagious diseases such as tuberculosis, brucellosis, hepatitis A, or

plague are considered work-related if the employee is infected at work); and

Occurs during a commute from the home to the normal place of work or first stop unless it is company-

mandated transport.

The company statistics of TenneT include work-related incidents. Non-work related incidents are also

registered, if reported (e.g. for the sake of insurance data requests), but not considered part of the incident

performance of TenneT.




2.3 Categorizing incidents

Incidents are to be categorised according to the definitions provided in annex 1. The following should be

taken into account:

If a single event leads to multiple people being injured, the event counts for as many incidents as there

are people injured. Accordingly, a single event may be allocated to two or more responsible segments.

An event that resulted both in environmental impact and personal injury is counted as two incidents, even

though it resulted from one event.

All incidents and near misses that could have realistically resulted in one or more fatalities must be

additionally classified as a high risk incident (HRI).

3. Reporting boundaries

3.1 In scope

TenneT employees

TenneT employees.

TenneT secondees on assignment to non-operated joint ventures.

Contractor employees

Contractor employees on TenneT premises, except as noted in the Out of Scope below (paragraph 3.2).

Contractor employees travelling in TenneT-provided vehicles, watercraft and aircraft (TenneT-dedicated

or shared-service). In the context of this scope, TenneT-provided means that TenneT arranged and paid

for transportation in vehicles owned by a contractor, and contractor employees are expected to use the

transportation as a condition of their work assignment. This excludes commercial (public) transportation

that TenneT reimburses, but does not arrange.

Contractor employees acting in functions, such as inspectors, negotiators and representatives for

TenneT. These contractor employees are in scope both on and off premises as long as they are on

TenneT business.

Equipment and Transporters

Equipment and transport operations (equipment, cargo, crew and passengers), including shared service

contractor-owned vehicles, located on the TenneT premises – except as noted in the Out of Scope

section below (paragraph 3.2).

Transport operations (equipment, cargo, crew and passengers) involving TenneT-owned vehicles,

watercraft and aircraft.




Transport operations (equipment, cargo, crew and passengers) involving TenneT dedicated, contractor-

owned vehicles, watercraft and aircraft, when:

o on TenneT premises; or

o travelling directly between TenneT premises; or

o travelling while performing work on behalf of TenneT.

3.2 Out-of-scope

Employees, third parties and equipment

Mail, courier, service, and incidental delivery services on TenneT premises that are not contractually

dedicated for exclusive use by TenneT engaging with other firms as a normal activity (e.g. office supply,

vending machine deliveries).

Municipal services (e.g. utility connections, suction vehicle, road sweeper) personnel on TenneT

premises performing their normal activities. This exception does not apply to collection or handling of

process waste or other services directly related to operations.

Contractor employees who are performing work on the contractor’s premises – including fabrication

yards, design offices and maintenance shops.

Casual visitors and guests on company premises (e.g. customers, suppliers, public officials, tour groups)

that are escorted by TenneT employees or contractor employees.

Visitors and business partners on premises engaged in emergency response activities related to a non-

TenneT event.

(Mobile) cranes, diggers, horizontal directional drilling equipment, pile drivers, winching equipment,

deeploaders or marine vessels on TenneT premises that are non-operating and either:

o are on standby, waiting to commence work for TenneT; or

o have finished work for TenneT and are on standby, waiting to mobilize to another distinct location or to

be taken off of TenneT premises.

NB. This item only applies if there is an explicit understanding that the provider is not under contract to

TenneT at the time, and TenneT is allowing the standby storage to take place on premises for the sole

convenience and benefit of the contractor. It does not apply to operations at contractor shops, offices and

other facilities on TenneT premises.

Product releases that occur on TenneT premises when common-carriers, and spot-charter trucks and

vessels are:

o picking up products (e.g. diesel, transformer oil, SF6) after ownership has transferred to a customer or

transporter; or

o delivering products (e.g. fuel, transformer oil, SF6) before ownership has transferred to TenneT.




Business Entities

Business partners who have been authorized by TenneT to use a discrete, isolated work area on TenneT

premises that is solely under the control of the business partner and is for the benefit of more than one

customer, possibly including TenneT.

4. Calculation of hours worked

For the calculation of statistical indicators, the hours worked must be considered. The hours worked are the

hours that an employee is at the work location. The total number of hours includes paid overtime and

training, but excludes leave, sickness and unpaid overtime hours.

For onshore operations the actual hours worked are recorded, if possible. For offshore workers the hours

worked are calculated based on a 12 hours day. The hours worked are calculated separately for TenneT and

contractor personnel.

Time off duty, even if this time is spent on TenneT locations (e.g. overnight stay on a platform or a vessel), is

not included in the calculation of the hours worked. Injuries occurring on offshore platforms and vessels

during off-duty hours need not be included unless they are work-related, i.e. they are caused by other

personnel who are at work.




Annex 1. Incident classification categories

Environmental incident (ENV)

Incidents that have resulted in environmental impact.

Fatality (FAT)

Incidents that involve one or more people who died as a result of a work-related incident or occupational

illness. ‘Delayed’ deaths that occur after the incident are to be included if the deaths were a direct result of

the incident. All fatalities from an incident should be included in the report for the year the incident occurred.

First aid case (FAC)

Cases that are not sufficiently serious to be reported as medical treatment or more serious cases but

nevertheless require minor first aid treatment, e.g. dressing on a minor cut, removal of a splinter from a

finger. see annex 3.

High risk incident (HRI)

Any incident or near miss that could, in other circumstances, have realistically resulted in one or more

fatalities. In addition, environmental incidents which may have realistically resulted in significant

environmental damage can also be counted as a high risk incident.

Lost time injury (LTI)

The sum of injuries resulting in fatalities, permanent total disabilities and lost workday cases, but excluding

restricted work cases and medical treatment cases.

Lost time injury frequency (LTIF)

The number of lost time injuries per million hours worked.

Lost workday case (LWC)

Any work-related injury or illness, other than a fatal injury, which results in a person being unfit for work on

any day after the day of occurrence of the occupational injury. ‘Any day’ includes rest days, weekend days,

leave days, public holidays or days after ceasing employment.

Lost workdays (LWD)

The sum total of calendar days (consecutive or otherwise) after the days on which the occupational injuries

occurred, where the persons involved were unfit for work and did not work. In the case of a fatality no lost

workdays are recorded.

Medical treatment case (MTC)

Are those cases not severe enough to be reported as fatalities, lost work day cases or restricted




work day cases, but are more severe than requiring simple first aid treatment. Further guidance

on cases that qualify as medical treatment rather than first aid cases is given in annex 3.

Near miss (NM)

An unplanned or uncontrolled event or chain of events that has not resulted in a recordable injury, illness or

physical damage or environmental damage but had the potential to do so in other circumstances.

Potential incident (PI)

An unsafe practice or hazardous situation that may cause an incident (mark: an incident did not occur, as

opposed to a near miss).

Restricted Work Case (RWC)

Any work-related injury other than a fatality or lost work day case which results in a person being unfit for full

performance of the regular job on any day after the occupational injury. Work performed might be:

an assignment to a temporary job;

part-time work at the regular job;

working full-time in the regular job but not performing all the usual duties of the job.

Where no meaningful restricted work is being performed, the incident should be recorded as a lost work day

case (LWC). See annex 4, paragraph V for examples.

Total Recordable Incidents (TRI)

The sum of fatalities, lost work day cases, restricted work day cases and medical treatment cases.

Total Recordable Incident Rate (TRIR)

The number of total recordable incidents (TRI) per million hours worked.




Annex 2. Definition of terms

Contractor

A ‘Contractor’ is defined as an individual or organisation performing work for the reporting company,

following verbal or written agreement. ‘Sub-contractor’ is synonymous with ‘Contractor’.

Controlling interests

A controlling interest is an ownership interest in a corporation that has control of a large enough percentage

of voting stock shares such that no one stock holder or coalition of stock holders can successfully oppose a

motion by that interest.

Environmental

The natural elements including water, air and soil & groundwater as well as its biodiversity and living

species.

Hours worked

The hours worked are the hours that an employee is at the work location. The total number of hours includes

paid overtime and training, but excludes leave, sickness and unpaid overtime hours.

Incident

An unplanned or uncontrolled event or chain of events that has resulted in at least one fatality, recordable

injury or illness, or physical or environmental damage.

Joint venture

A commercial enterprise undertaken jointly by two or more parties which otherwise retain their distinct

identities.

SHE Management System

The company´s approach towards safety, health and environmental elements in the workplace, including its

processes and procedures. It does not have to be a management system according to standardized norms,

but may also consist of a rather ad-hoc business approach.

Injury

Any injury such as a cut, fracture, sprain, amputation etc. that results from a single instantaneous exposure.

Secondee

An employee who is temporarily transferred to other employment or another position

Third parties




Persons or organisations that are not employed by or contracted to TenneT or a contractor.

Work environment

Place under the direct or indirect control of the organization where a person(s) needs to be or to go by

reason of his/her/their work




Annex 3. Medical Treatment Cases and First Aid Cases

Medical Treatment Case (MTC)

An incident is classified as Medical Treatment Case (MTC) when the management and care of the patient to

address the injury or illness is above and beyond First Aid (see the 14 First Aid treatments listed below)

Medical Treatment does not include:

The conduct of diagnostic procedures, such as x-rays and blood tests, including the administration of

prescription medications used solely for diagnostic purposes (e.g. eye drops to dilate pupils);

Visits to a physician or other licensed health care professional solely for observation or counselling.

The following may not involve any treatment but for purposes of severity classification, will be

reported as MTC:

any loss of consciousness;

significant injury or illness diagnosed by a physician or other licensed health care professional for which

no treatment is given or recommended at the time of diagnosis. Examples include: punctured ear drums,

fractured ribs or toes, byssinosis and some types of occupational cancer;

needle stick injuries and cuts from sharp objects that are contaminated with another person’s blood or

other potentially infectious material;

occupational hearing loss;

medical removal under a government standard.

First Aid Case (FAC)

An incident is classified as a First Aid Case (FAC) if the treatment of the resultant injury or illness is limited to

one or more of the 14 specific treatments. These are:

1. using a non-prescription medication at non-prescription strength.

2. administering tetanus immunizations.

3. cleaning, flushing or soaking wounds on the surface of the skin.

4. using wound coverings such as bandages, Band-Aids™, gauze pads, etc. or using butterfly bandages or

Steri-Strips™.

5. using hot or cold therapy.

6. using any non-rigid means of support, such as elastic bandages, wraps, non-rigid back belts, etc.

7. using temporary immobilization devices while transporting an accident victim (e.g. splints, slings, neck

collars, back boards, etc.).

8. drilling of a fingernail or toenail to relieve pressure, or draining fluid from a blister.

9. using eye patches.

10. removing foreign bodies from the eye using only irrigation or a cotton swab.




11. removing splinters or foreign material from areas other than the eye by irrigation, tweezers, cotton swabs

or other simple means.

12. using finger guards.

13. using massages.

14. drinking fluids for relief of heat stress.




Annex 4. Examples and guidance

I Contractor modes

Contractor Mode 1 - examples

Hired staff e.g. for reception work or security with a work place at buildings or other properties of TenneT.

Contractor staff uses all facilities and equipment of TenneT, including e.g. IT services.

Staff hired by TenneT with a temporary assignment which is threated as TenneT own employees in terms

of safety processes and procedures. These people are usually hired for dedicated tasks.

Temporary workforce hired from an employment agency and not paid directly by TenneT (see also

Section 1.6).

Company representatives which got a safety briefing by TenneT and which are representing TenneT on

construction sites and platforms.


A contractor is working in a substation of TenneT doing e.g. maintenance work or installing new

components.

A contractor is working on pylons, on cables or other property of TenneT.

TenneT is bearing safety responsibility for the construction site on which the contractor is working in

terms of the national construction law (“Bauherr” / “Bouwheer”). This is the case for offshore platforms

which are connected to their jacket base. It also includes construction sites (including greenfield projects)

which are already owned by TenneT.


A platform is constructed in a yard which is not owned by TenneT. TenneT has staff on-site – either

permanently or occasionally. TenneT may impose SHE standards.

A transformer is constructed in a factory which is not owned by TenneT.

The contractor is working on a construction site not (yet) owned by TenneT. The location is not yet in

operation by TenneT. No TenneT employees are involved in the execution of the on-site work, but may

execute supervisory tasks.

TenneT sells the construction site to the contractor. The piece of land is disconnected from TenneT

operations.

II Organizational allocation of incidents

Example 1

The injured employee is contractually allocated to Corporate Procurement, but temporally allocated to




Corporate HR. The employee is hierarchically reporting to a team lead of HR. The incident is allocated to

Corporate HR.

Example 2

The injured employee was performing work for a project by Corporate HR, but reporting to a team lead of

Corporate Procurement. The incident is allocated to Corporate Procurement.

Example 3

Asset Management asks Grid Service to let a contractor assigned by Grid Service to do some additional

work. An incident occurring with this contractor is allocated to Grid Service.

III Casual visitors

Example 1

A visitor falls on the stairs of a TenneT office and fractures his leg. The incident is out-of-scope.

Example 2

An employee of TenneT TSO GmbH falls on the stairs in a TenneT office in the Netherlands. The incident is

in scope.

Example 3

A Labour Inspector on a TenneT construction site, escorted by either TenneT or contractor personnel, is hit

by a falling piece of wood. The incident is out-of-scope.

Example 4

During an open day on a newly built substation, organized by TenneT, a family member of an employee

stumbles and falls. The incident is out-of-scope

IV Personal grooming and self-medication

Example 1

An employee uses a syringe for self-medication, accidentally overdoses and needs medical treatment. The

incident is not work-related.

Example 2

An employee cuts his finger when cutting a birthday cake he took to the office to treat his colleagues. The

incident is not work-related. In contrast: another employee cuts his finger when cutting a cake to celebrate a




project milestone during a project team meeting. This incident is work related.

Example 3

An employee gets a vaccination he is going on a business trip to the far east. The employee suddenly

experienced an anaphylactic reaction. The incident is work-related. In contrast, should the same happen

during a flu vaccination, offered on a voluntary basis by TenneT, the incident is not work related.

V Restricted work day cases

Examples of meaningful restricted work are:

The injured person is continuing his normal job while other people take over the activities he or she

cannot carry out anymore.

The injured person is fulfilling administrative tasks on the construction site including e.g. updating safety

plans or preparing document for the next construction phases.

The injured person is guiding visitors at the construction site.

Example of restricted work which is considered not to be meaningful:

The injured person is at the construction site with supervisory tasks which are realistically seen not

needed

The injured person is working less than 50% of his original employment.

The injured person is at work without clear tasks to be fulfilled at the day of return.

VI Transportation of people

Work-related

Staff travelling on TenneT business using public or private transport from their normal place of residence

or regular place of work to a temporary place of work;

Staff travelling in TenneT arranged transport;

Staff travelling from their temporary accommodation (e.g. hotel) to a place of work.

Example 1

A department has a teambuilding day in a hotel. The employees travel to the hotel by public transport,

private car, bike and company car. As the hotel is not their regular lace of work, any accident occurring

during the journey is work related.

Example 2

A group of employees is on excursion to a new substation. On their way to the station, the coach has an




collision. As the coach was arranged by TenneT, the incident is work related.

Not work-related

TenneT and contractor staff commuting between home and normal work place not using transport

arranged by TenneT;

Non-business related travel in vehicles that are allocated to employees or contractor staff for their

unrestricted personal use;

TenneT and contractor staff commuting in private or public transport from their home to an assembly

point where they are collected in transport provided by their employer (e.g. personnel travelling to a

heliport);

Personnel deviating from a business trip for personal reasons provided this does not breach TenneT

procedures.

Note: the legal ownership of the means of transport is irrelevant, e.g. whether the car is privately owned, a

company car or a lease car is irrelevant to the determination whether the incident is work related.

Example 1

An employee on a business trip travelled by taxi from an airport to the hotel where he would stay. He was

injured in a road incident during the taxi journey. The injury is work related.

Example 2

An employee, who has a company vehicle for unrestricted personal use, was due to attend a business

meeting some distance away on a Monday morning. He decides to leave on the Friday and break the

journey by visiting friends. An incident occurred during the diversion from the normal route. The resultant

injury is not work related.

Example 3

An offshore worker was travelling by launch to an offshore platform. A sudden wave threw him up from his

seat and he hurt his back landing in his seat again. The injury is work related.

Example 4

While waiting for a traffic light during the journey home from work, a car rear-ends the employee's car,

causing a whiplash. The injury is not work related. Would the employee be travelling to a meeting on a

location which is not the regular place of work, then the incident would be work related.

Example 5

A contractor employee is on his way to a construction site of TenneT in his own private car. He skids off the

road into a ditch and is injured. The incident is not work-related..




Example 6

A group of contractor employees are on their way to a TenneT construction site in a minibus provided by the

contractor. The minibus is involved in a chain-reaction crash. Two of the employees are injured. The incident

is work-related, if TenneT pays for travelling time. Moreover, the incident is counted as two incidents as two

employees are injured. The injury is not work-related, if TenneT does not pay for travelling time.

Example 7

An employee slips and falls on the parking lot when leaving the office on his way home. As the parking lot

falls under control of TenneT, the incident is work related. In contrast, an employee slipping and falling on a

parking lot under control of a 3rd party (a neighbouring company, the municipality) is not work related.

VII Work environment

Example 1

An employee is watching as a transformer is craned from a deeploader onto a pontoon. As it happens, this is

taking place near his place of residence. The employee is off duty. He stumbles and twists his ankle. The

incident is out-of-scope.

Example 2

An employee falls when stepping off the moving walkway on the airport. The employee is on his way to a

business meeting abroad. The incident is work related

VIII Working away from home

When an employee is travelling on TenneT business, the total period away from the regular place of work,

including normal life activities, e.g. in a hotel, on offshore platforms and travelling by taxi to a meeting, are

considered to be part of employment. Any injury occurring during this trip is considered to be work related.

Injuries occurring during normal life activities are assumed to result from the employee’s presence at the

location, as required by TenneT or contractor, and therefore to be work related. If investigation of an incident

reveals that it was caused wholly by the action of the employee and failures of management controls did not

contribute, the incident is not work related.

Exceptions are made when an incident occurs while the employee seeks entertainment outside the hotel or

place he is staying, like going to a cinema, going sightseeing or similar recreational activities. These

incidents are not regarded as work related.

Example 1




An employee slips and twists his ankle while playing table tennis in a recreation room on an offshore

platform. If management controls were not breached the injury is not work related. If an injury would be

caused by a failure of one of the pieces of equipment it would be work related. E.g. when a pull cord of a

rowing machine snaps and the employee would consequently fall off the seat.

Example 2

An outbreak of food poisoning occurs on an offshore platform. As the outbreak clearly results from a failure

in hygiene standards of food storage, the illness is occupational.

Example 3

While on a business trip, an employee stumbles and twists his ankle when sightseeing during an evening off.

As going sightseeing is not required by his employer, the incident is regarded as non-work related.

Example 4

While on a business trip. an employee bumps into a lamppost on his way back to the hotel after a night out.

The incident is not work related.

IX Transportation of goods, tools and equipment

Considered to be work related

Transportation of goods, tools and equipment within TenneT managed locations;

Transportation of goods, tools and equipment on TenneT owned or contracted transport, including

subcontractors and spot hire transport;

Transportation of goods and equipment that is readily identifiable as related to the TenneT operations,

e.g. Unimogs, winches, or components for a new substation.

Not considered to be work related

Transport activities which are not dedicated to the supply of goods, tools and equipment for TenneT or its

contractors that are not readily identifiable as related to TenneT or its contractors and do not present a

high risk to TenneT, e.g. delivery of mail, use of road, air and sea freight, contractors engaged on multi

deliveries.

X Injuries during training

Injuries sustained during training or educational session are work related if the employee attends the training

on behalf of TenneT matters, i.e. when his direct supervisor has obliged or permitted him to participate in the

training. The injury and the exposure hours should be included in the TenneT statistics.




Example 1

An employee who was appointed as an emergency response officer participated in a fire fighting training

organised by TenneT and sustained an injury. As the injury occurred during the training sessions it is a work

related injury.

Example 2

If the same employee would be injured in a first aid training in which he participated in his own time because

he is a first aider in his free time as well, the injury would not be work related, unless TenneT would have

specifically asked him to participate in this training.

XI Meal period illnesses

Illness caused or mainly caused by exposures occurring during the employee’s meal period or other off duty

periods are not considered work related unless they result from exposures to hazards in the work area.

Example 1

An employee suffered food poisoning resulting from food provided by the employer. This case would be

considered to be work related.

Example 2

An employee was sitting in the canteen and eating food that he had brought to work. He suffered food

poisoning. The case would not be considered work related.

XII Sports

Incidents involving employees participating on voluntary base in TenneT sports programs (e.g. Committed

Power) or private sports clubs are not work related, even though TenneT encourages participation in these

programs and subsidises the costs of participation. If participation is required as part of employment, then

any resulting incidents are work related.

Example 1

An employee was injured during a volleyball match which was organised by the TenneT staff association.

The injury is not work related because being a member of the staff association and participating in staff

association activities do not form part of the job and TenneT does in no way oblige employees to participate.

Example 2




An employee was injured in a fitness centre in his home town during a fitness program he attended to

improve his condition in order to pass the medical test which is obliged for his function. The injury is not work

related. Even though a certain job may require to be physical fitness, the responsibility to be fit lies with the

employee.

XIII Entertainment of or by business contacts

An injury caused while an employee is entertaining a business contact, or while the employee is being

entertained by a other business contact, for the purpose of discussing or promoting business, would be

considered a work related injury.

XIV Outings and social events

Incidents that occur during TenneT organised outings or social events where the employee's presence is

non-optional are work related.

Example 1

During a Christmas gathering in one of the TenneT offices, an employee bumps his head against a tent pole.

As the employee's presence is completely optional, the incident is not work related.

Example 2

A TenneT employee falls and fractures his wrist during a mountain bike tour. The tour is part of a

teambuilding day. The incident is work related.

Example 3

A TenneT employee stumbles and falls when he walks to a restaurant with a group of colleagues in the

evening, after a teambuilding day. As the teambuilding day was closed late afternoon by the responsible

manager, and joining the colleagues for dinner was completely optional, the incident is not work related.

XV 'Acts of God' and wilful acts

Injuries from “acts of God” such as being struck by lightning while at work are considered to be work related.

Incidents occurring during the course of employment that are due to someone’s wilful act are reportable.

Example 1

An employee on a business trip was mugged after leaving a taxi on the way to check in to a hotel. The




injuries sustained are work related.

Example 2

A TenneT employee had an argument with an employee of a contractor over wearing a safety helmet on a

construction site, escalating in a fight. Any injuries sustained are work related.

XVI Misbehaviour

Injuries arising out of misbehaviour during work are work related.

Example 1

An employee was showing off by operating a cherry picker that he was not familiar with or authorised to use.

He lost control of the cherry picker and struck a fellow employee. Although the employee was engaged in a

prohibited activity his injury and that of the fellow employee are considered to be work related.

XVII Delayed death

If a person dies because of an incident, the incident is classified as a fatality. The amount of time that passes

between the incident and the moment of death is irrelevant. It may therefore be necessary to reclassify an

incident from as a fatality when the incident was initially classified as a lost workday case.

Example 1

If a fire kills one person outright, and a second dies three weeks later from lung damage caused by the fire,

both shall be reported as separate fatal incidents. In some cases, a delayed fatality may occur in the

calendar year after the incident. For example, if the above fire occurred on December 21, the second death

from it might occur in January of the next year.

XVIII Environmental impact

Environmental impact is the negative impact on the environment resulting from an incident. This section

illustrates with examples the main types of environmental impact.

Example 1

During repairs to a GIS (gas insulated switchgear) installation, 40 kg of sulphur hexafluoride (SF6) was

accidentally emitted. SF6 is a powerful greenhouse gas with a global warming potential (GWP) of 23,000 (1

kg CO2 = 1 GWP). Although not directly perceptible, the environmental impact of the emission is




considerable. The incident is therefore considered to have environmental impact.

Example 2

When laying road plates a digger tipped over. Fuel and oil spilled from digger lying on its side, polluting the

soil and groundwater and thus having clear environmental impact.

.

Example 3

During construction activities on a substation, a hydraulic hose of a working platform burst, spilling hydraulic

oil on the grass, polluting the soil and groundwater and thus having clear environmental impact.

Example 4

An overfilled oil water separator of a transformer on a substation spilled oil on a ditch on which it drained,

polluting the ditch. The incident has environmental impact.

Example 5

Three partly full 5 litre tins of liquid paint were found in in a general waste container on a construction site.

The waste was detected by the safety supervisor. If the container would have been removed with the paint

tins still in it, this would have breached waste disposal legislation criteria and could have led to prosecution.

Example 6

During maintenance on a substation, 80 litres of oil was spilled. The incident was not reported to the

authorities, despite clear legal obligation to do so. This could have led to persecution by the authorities.

Example 7

A substation was being constructed on a green-field site. The conditions of the permit for construction and

operation of the substation specified that disposal of hazardous waste should be reported to the

environmental authority. Oil and chemical waste was found in the local landfill site and was traced back to

unauthorised tipping by the construction contractor. This was a clear non-compliance with the permit

conditions and should be reported as an incident.

IXX Medical treatment case versus First aid case

Example 1

An employee is taken to see a doctor after he fell and hurt his ankle. His ankle is X-rayed and it turns out to

be sprained, not broken. The doctor advises him to take aspirin as a pain relief. As aspirin can be freely

obtained without a prescription. The incident is a First aid case.

Example 2




An employee is taken to the emergency room as he got a splinter in his eye. The medic succeeds in

removing the splinter with a cotton swab. The incident is a First aid case.

Example 3

An employee has a needle stick incident when replacing a trash bag. Looking into the bag he finds a used

needle of an insulin pen. He sees a doctor and is given a Hepatitis vaccination. The incident is a Medical

treatment case.