Office of Public Sector Information

Power of Executive in relation to safety cases and related documents

15.—(1) The Executive may direct a duty holder to prepare revisions to a current safety case in relation to such matters as the Executive may notify to him.

(2) When making a direction for the purposes of paragraph (1), the Executive shall explain why it believes that each revision is necessary and shall specify a period, not being less than 28 days, within which the duty holder shall submit such revisions to the Executive.

(3) Revisions submitted pursuant to paragraph (1) shall not be effective unless—

(a) the duty holder has sent a version of the current safety case which incorporates the proposed revisions, showing clearly where they are to be made, to the Executive; and

(b) the Executive has accepted the revisions.

(4) After the submission of a design notification required under regulation 6 or 9 and prior to the submission of a safety case in respect of a production installation, the duty holder for that installation shall provide the Executive with a copy of any document which, in the opinion of the Executive, may be directly or indirectly relevant to the duty holder’s preparation of the safety case for that installation within such reasonable time of the demand, being a period of not less than 14 days, as may be specified by the Executive.

(5) The Executive may suspend any current safety case where it does not accept any proposed revision thereto submitted to it pursuant to regulation 15(3) or 27(2).

(6) When suspending a current safety case in accordance with paragraph (5), the Executive shall explain why it believes that a suspension is necessary.

(7) During any period in which the current safety case for an installation is suspended, the duty holder for that installation shall ensure that it is not operated.

(8) The Executive may lift any suspension in respect of a current safety case when it is satisfied that the health and safety of persons who are likely to be affected by the lifting of any suspension will not be prejudiced in consequence of it.

Duty to conform with safety case

16.—(1) The duty holder shall ensure that the procedures and arrangements described in the current safety case which may affect health or safety are followed.

(2) In criminal proceedings for a contravention of paragraph (1), it shall be a defence for the accused to prove that—

(a) in the particular circumstances of the case, it was not in the best interests of the health and safety of persons to follow the procedures or arrangements concerned and there was insufficient time to revise the safety case pursuant to regulation 14; or

(b) the commission of the offence was due to a contravention by another person of regulation 8 of the Management Regulations and the accused had taken all reasonable precautions and exercised all due diligence to ensure that the procedures or arrangements were followed.

Notification of well operations

17.—(1) Subject to paragraph (2), a well operator shall ensure that no well operation is commenced unless he has sent a notification containing the particulars specified in Schedule 7 to the Executive at least 21 days (or such shorter period as the Executive may specify) before commencing that operation.

(2) In the case of a production installation a well operator shall ensure that—

(a) no well operation which involves—

(i) insertion of a hollow pipe in the well; or

(ii) altering the construction of the well,

is commenced unless he has sent a notification containing the particulars specified in Schedule 7 to the Executive at least 10 days (or such shorter period as the Executive may specify) before commencing that operation; and

(b) no well operation which involves drilling is commenced unless he has sent a notification containing the particulars specified in Schedule 7 to the Executive at least 21 days (or such shorter period as the Executive may specify) before commencing that operation.

(3) Where there is a material change in any of the particulars notified pursuant to paragraph (1) prior to completion of the relevant well operation, the well operator shall notify the Executive of that change as soon as practicable.

Keeping of documents

18.—(1) A duty holder shall—

(a) ensure that, when he sends—

(i) the design notification, in the case of a production installation; or

(ii) the safety case, in the case of a non-production installation,

to the Executive, it is notified of an address in Northern Ireland for the purposes of sub-paragraphs (b) and (e);

(b) keep copies, at the address referred to in sub-paragraph (a) and on the installation, of the following documents relating to the installation—

(i) the current safety case;

(ii) any summary of any review of the current safety case prepared pursuant to regulation 13(2); and

(iii) each audit report;

(c) keep copies on the installation of the following documents relating to the installation—

(i) any relocation notification and any material changes thereto;

(ii) any notification of combined operations and any material changes thereto; and

(iii) any notification of well operations and any material changes thereto;

(d) ensure that, in respect of each audit report, a written statement is made, recording—

(i) the main findings of the report;

(ii) the recommendations in the report; and

(iii) the action proposed to implement those recommendations, including the timescales involved,

and a copy of that statement is kept on the installation;

(e) ensure that a record is made of any action taken in consequence of an audit report, and a copy of that record kept at the address referred to in sub-paragraph (a) and on the installation.

(2) The copy of the current safety case referred to in paragraph (1)(b) and any other relevant documents shall be kept for so long as they are current, and the copy of the audit report, the written statement and the record referred to in that paragraph shall be kept for a period of 3 years after being made.

(3) The duty holder for an installation shall ensure that—

(a) its verification scheme, any modification of that scheme and any note made pursuant to regulation 19(2)(c) or 20(b) is kept at the address notified to the Executive pursuant to paragraph (1)(a) until the expiration of 6 months after such scheme or, as the case may be, modification of that scheme, has ceased to be current; and

(b) records, sufficient to show the matters described in paragraph 5 of Schedule 8, are kept at the address notified to the Executive pursuant to paragraph (1)(a) until the expiration of 6 months after the scheme pursuant to which they were compiled has ceased to be current.

(4) In this regulation, “audit report” means a report made pursuant to the arrangements referred to in regulation 12(1)(b).

Verification schemes

19.—(1) The duty holder for an installation shall ensure that a record of the safety-critical elements and the specified plant is made.

(2) After a record has been made in accordance with paragraph (1), the duty holder shall ensure that, in accordance with paragraph (3)—

(a) comment on that record by an independent and competent person is invited;

(b) a verification scheme providing for the matters contained in Schedule 8 is drawn up by or in consultation with such person;

(c) a note is made of any reservation expressed by such person as to the contents of—

(i) that record; or

(ii) that scheme; and

(d) that scheme is put into effect.

(3) The matters set out in paragraph (2) shall be completed—

(a) in the case of a production installation, before completion of its design; and

(b) in the case of a non-production installation, before it is moved into relevant waters with a view to its being operated there.

Review and revision of verification schemes

20.  The duty holder shall ensure that, as often as may be appropriate—

(a) the verification scheme for his installation is reviewed and, where necessary, revised or replaced by or in consultation with an independent and competent person; and

(b) a note is made of any reservation expressed by such person in the course of drawing it up.

Continuing effect of verification schemes

21.  The duty holder shall ensure that effect continues to be given to the verification scheme for his installation, or any revision or replacement of it, while that installation remains in being.

Defence

22.—(1) In any proceedings for an offence for a contravention of any of the provisions of regulations 19 to 21 it shall, subject to paragraphs (2) and (3), be a defence for the person charged to prove—

(a) that the commission of the offence was due to the act or default of another person not being one of his employees (hereinafter called “the other person”); and

(b) that he took all reasonable precautions, and exercised all due diligence, to avoid the commission of the offence.

(2) The person charged shall not, without the leave of the court, be entitled to rely on the defence in paragraph (1) unless, within a period ending 7 days before the hearing, he has served on the prosecutor a notice in writing giving such information identifying or assisting in the identification of the other person as was then in his possession.

(3) For the purpose of enabling the other person to be charged with and convicted of the offence by virtue of Article 34 of the 1978 Order, a person who establishes a defence under this regulation shall nevertheless be treated for the purposes of that Article as having committed the offence.

Exemptions

23.—(1) Subject to paragraph (2), the Executive may, by a certificate in writing, exempt any person, installation or well or class of persons, installations or wells from any requirement or prohibition imposed by these Regulations and any such exemption may be granted subject to conditions and with or without limit of time and may be revoked by a certificate in writing at any time.

(2) The Executive shall not grant any such exemption unless, having regard to the circumstances of the case, and in particular to—

(a) the conditions, if any, which it proposes to attach to the exemption; and

(b) any other requirements imposed by or under any statutory provisions which apply to the case,

it is satisfied that the health and safety of persons who are likely to be affected by the exemption will not be prejudiced in consequence of it, and that the exemption will be compatible with Article 3(2) of Council Directive 92/91/EEC concerning the minimum requirements for improving the safety and health protection of workers in the mineral-extracting industries through drilling(16).

Appeals

24.—(1) Any person who is aggrieved by a decision of the Executive—

(a) as to a finding of fact made by the Executive for the purposes of these Regulations which affects him as a duty holder or licensee or any installation for which he is or may be responsible;

(b) not to accept a safety case prepared by him and submitted to the Executive pursuant to regulation 7(1) or 8;

(c) to direct him to prepare revisions to a current safety case in accordance with regulation 15(1);

(d) not to accept a revision to a current safety case prepared by him and submitted to the Executive in accordance with regulation 9(5), 11(1), 14(2), 15(3) or 27(1) or (2);

(e) to suspend pursuant to regulation 15(5) a current safety case held by him;

(f) not to lift a suspension in respect of a current safety case pursuant to regulation 15(8);

(g) to grant to him an exemption certificate subject to a condition or a limit of time pursuant to regulation 23(1); or

(h) to revoke an exemption certificate granted to him pursuant to regulation 23(1),

may appeal to the Department of Enterprise, Trade and Investment.

(2) The provisions of Schedule 9 shall apply where an aggrieved person appeals to the Department of Enterprise, Trade and Investment.

(3) Any decision of the Executive which is the subject of an appeal under this regulation shall not be suspended pending final determination of the appeal.

Amendments

25.  The statutory provisions referred to in Schedule 10 shall be amended in accordance with that Schedule.

Revocation

26.—(1) Subject to paragraph (2), the 1993 Regulations are hereby revoked.

(2) Regulations 5, 8, 9, 14 and 16 of, and Schedule 4 to, the 1993 Regulations shall remain in operation until 6th October 2007 insofar as they relate to combined operations.

Transitional provisions

27.—(1) Subject to paragraph (4), where there is an intention to carry out combined operations within 3 years of the coming into operation of these Regulations, a duty holder shall ensure that before the first combined operation is commenced, he has made effective revisions to a current safety case accepted by the Executive pursuant to the 1993 Regulations which contain the particulars specified in—

(a) regulation 12, in relation to combined operations;

(b) paragraph 14 of Schedule 3, in relation to a production installation; or

(c) paragraph 13 of Schedule 4, in relation to a non-production installation,

not contained in the current safety case for that installation.

(2) Revisions made pursuant to paragraph (1) shall not be effective unless—

(a) the duty holder has sent a version of the current safety case which incorporates the proposed revisions, showing clearly where they are to be made, to the Executive; and

(b) the Executive has accepted the revisions.

(3) Subject to paragraph (4), a duty holder shall revise a current safety case accepted by the Executive pursuant to the 1993 Regulations within 3 years of the coming into operation of these Regulations so that it includes the particulars specified in—

(a) regulation 12 and Schedule 3, in relation to a production installation; or

(b) regulation 12 and Schedule 4, in relation to a non-production installation,

not contained in the current safety case for that installation.

(4) A duty holder may continue to comply with regulations 5, 8, 9 and 14 of, and Schedule 4 to, the 1993 Regulations in relation to a current safety case for a combined operation accepted by the Executive pursuant to the 1993 Regulations provided that within 18 months of the coming into operation of these Regulations he complies with regulations 10, 14, 16, 18 and 27(1) of, and Schedule 5 to, these Regulations.

(5) For the purpose of this regulation, where there are safety cases under regulations 3(2) and 6 of the 1993 Regulations in respect of an installation, “current safety case” means the safety case prepared under regulation 7.