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ABU DHABI CRUDE OIL PIPELINE PROJECT (ADCOP)

HSE AUDIT PROCEDURE 30-99-90-1682

C O N S L T IN G E N G IU N E E R S EPC CONTRACTOR:

PROJECT MANAGEMENT CONSULTANT:

China Petroleum Engineering & Construction (Group) Corporation Abu Dhabi Branch P.O. Box 127345

ILF Consulting Engineers P.O.Box 73250 Abu Dhabi, UAE

PROJECT:

ABU DHABI CRUDE OIL PIPELINE PROJECT

EPC Contractor Doc. No.: DOCUMENT No.:

30-99-90-1682

Rev. 0

Project No: E30153

PAGE:

1

of

9

DATE:

30/09/2008

REVISION RECORD

REV

DATE

ORIGINATOR

REVIEWED

APPROVED

DESCRIPTION

A

2008-06-11

OBI

AORIQILEN G

JIANG

For Review

B

2008-09-11

OBI

AORIQILEN G

JIANG

For Review

0

2008-09-30

OBI

AORIQILEN G

JIANG

AFC

© Copyright China Petroleum Engineering &Construction (Group) Corporation 2008 All rights reserved. “This document is issued for the execution of Abu Dhabi Crude Oil Pipeline (ADCOP) project. Copying this report without the permission of CPECC, ILF and IPIC is not permitted.

CONTENTS

PAGES

DOCUMENT TITLE :

HSE AUDIT PROCEDURE

PROJECT:

ABU DHABI CRUDE OIL PIPELINE PROJECT

DOCUMENT No.:

30-99-90-1682

Project No: E30153 Page 2 of 9 Rev.0

DATE :30/09/2008

1.0

PURPOSE........................................................................................................................................ 4

2.0

SCOPE............................................................................................................................................. 4

3.0

AIMS AND OBJECTIVES................................................................................................................. 4

4.0

AUDIT HIERARCHY......................................................................................................................... 4

5.0 5.1 5.2 5.3 5.4 5.5 5.6

RESPONSIBILITIES........................................................................................................................ 5 CPECC Corporate HSE Manager …………………………………………… ……………………..5 HSE Audit Manager (ADCOP HSE Manager)...................................................................................5 Lead Auditors.................................................................................................................................... 5 Auditors............................................................................................................................................. 6 Audit Members.................................................................................................................................. 6 Auditee.............................................................................................................................................. 6

6.0

TRAINING AND COMPETENCE ASSURANCE:.............................................................................6

7.0

SITE CROSS AUDITS...................................................................................................................... 6

8.0 8.1 8.2

HSE AUDIT PROGRAMME AND PROCESS (LEVEL 2 AND 3).....................................................7 Audit Process…………….……………………………………………………………………………...…….6 Audit Activities.................................................................................................................................. 7

9.0

CATEGORIES OF NON-COMPLIANCE.......................................................................................... 7

10.0 10.1

REPORTING AUDIT FINDINGS...................................................................................................... 8 Follow-up and Closure of action....................................................................................................... 8

GLOSSARY....................................................................................................................................................... 8 APPENDIX 1

AUDIT PROCESS FLOW CHART.....................................................................................9

DOCUMENT TITLE :

HSE AUDIT PROCEDURE

PROJECT:

ABU DHABI CRUDE OIL PIPELINE PROJECT

DOCUMENT No.:

30-99-90-1682

Project No: E30153 Page 3 of 9 Rev.0

DATE :30/09/2008

1.0

PURPOSE

This procedure describes how internal HSE audit will be executed by CPECC Management during the ADCOP project to ensure the HSE requirements of the ADCOP Project, CPECC HSE Policy and HSE Management System are met. This HSE Audit procedure aims to ensure that the ADCOP HSE standards and requirements are implemented by all departments and work sites, services and sub-contractors. It is also aimed at ensuring that all identified HSE Risks are managed to ALARP. Adequate commitment and human resource are a critical factor in the success of this audit procedure.

2.0

SCOPE

This HSE audit procedure is applicable to all ADCOP project activities. There is need for periodic assessment of Project HSE requirements, CPECC’s or her sub-contractors Health Safety and Environment Management System (HSE MS). To achieve success and continuous improvement in Health, Safety and Environment management in ADCOP project, reviewing performance through regular and structured auditing system is essential to ensure continued effectiveness of the HSE MS. This procedure describes the audit programme and how actions arising from various audits and inspections are monitored and completed.

3.0

AIMS AND OBJECTIVES

The objective of CPECC in developing this audit procedure is to ensure the health and safety of all ADCOP project personnel including sub-contractors and 3rd parties are protected. It is also aimed at ensuring that the environment is left better than we met it. A consequent objective is to ensure that all risks identified by audits and investigations are minimised through timely completion of agreed actions. Aims of this audit procedure are to:  Demonstrate to COMPANY, PMC and CPECC Management that an audit system is placed consistent with the hazards and risks of ADCOP project.  Identify areas for improvement in practices and procedures  Ensures that there is a system in place to improve HSE performance through observation, recording and coaching The Objectives of the audit process are to:  Actively involve the workforce in periodic self-assessments of the effectiveness of process and procedures designed to achieve ADCOP HSE requirements and objectives  Ensures findings from audits are prioritised, tracked, closed out and used to systematically improve the HSE MS

4.0

AUDIT HIERARCHY

The hierarchy of HSE audits within CPECC ADCOP project is described below: Level 1 Corporate HSE Audit: Involves:1.) HSE audit from CPECC Head office in Beijing – China 2.) Audit of CPECC-ADCOP Project (Project HSE-MS & Site Activities) by CPECC ADCOP HSE Team Plan/schedule of audits is contained in the ADCOP Project HSE Management Plan 30-99-90-1672 – Attachment 3 – Audit, Inspection & Meeting schedule. Level 2 HSE Audit: Includes HSE audits such as: - Sub-contractor/Vendors’ pre-construction/pre-execution audit. DOCUMENT TITLE :

HSE AUDIT PROCEDURE

PROJECT:

ABU DHABI CRUDE OIL PIPELINE PROJECT

DOCUMENT No.:

30-99-90-1682

Project No: E30153 Page 4 of 9 Rev.0

DATE :30/09/2008

CPECC ADCOP HSE MS audit (this audit shall be carried out at the instance of IPIC or PMC to verify compliance of EPC contractor – CPECC with ADCOP HSE Requirements). Level 3 HSE Audit: Level 3 HSE Audit refers to CPECC being audited by external body for certification such as ISO etc. This audit is not covered in the scope of this procedure. Refer to attachment 3.0 – Audit, Inspection & Meeting schedule in the HSE Management Plan. Document no 30-99-90-1672 for detailed HSE audit schedule for ADCOP Project. This audit schedule/programme shall be updated annually.

5.0

RESPONSIBILITIES

5.1 CPECC Corporate HSE Manager (CPECC Head Office – Beijing) The CPECC Corporate HSE Manager has the overall management responsibility for the effective implementation of HSE across all CPECC activities. It is the responsibility of the corporate HSE Manager to provide adequate resources for HSE Audits across all of CPECC’s HSE MS’s through the interface between level 1 auditing and level 2 auditing. Deficiencies in the corporate management system identified within levels 1& 2 audits will be reported to the corporate HSE Manager by the HSE Audit Manager (ADCOP HSE Manager). 5.2 HSE Audit Manager (ADCOP HSE Manager) The HSE Manager of CPECC for ADCOP project will have the overall responsibility for managing and coordinating the levels 1(section2) & Level 2 audits. This will include:       

Defining the audit scope and set up audit strategy including audit ‘Terms Of Reference’ (TOR). Ensuring that sufficiently trained and experienced human resource is available Assuring the competence and appointment of Lead Auditor and Auditors for any particular audit Ensuring a realistic and achievable HSE audit programme is developed and implemented across all ADCOP Project activities. Co-ordinating the preparation of audit reports; produce a quarterly audit report for the corporate HSE Manager Monitoring system non-compliances and corrective action requests. Ensuring that the follow-up process is completed satisfactorily by assisting the auditee where necessary

The HSE Audit Manager will be an experienced lead auditor having undergone formal lead auditor training 5.3 Lead Auditors Lead auditors are responsible for ensuring the efficient and effective conduct and completion of the audit within the scope of the audit plan. Lead Auditors activity shall cover the following:              

Consulting with the HSE Audit Manager and auditee in finalising the scope Terms Of Reference and applicable standards of the audit. Obtaining relevant information necessary to meet the objectives of the audit Forming the audit team after having given consideration to representations of the auditee and other appropriate parties Preparing the audit plan Selection of Audit team members Communicate the final audit plan the audit team, auditee and the HSE audit Manager C-coordinating the preparation of working documents and detailed procedures and briefing the audit team Directing the activities of the audit team Seeking to resolve any problems that arise during the audit Recognise when audit objectives appears to become unattainable and reporting the reasons to HSE Audit Manager and the auditee Representing the audit team in discussions with the auditee prior to, during and after the audit Notifying the auditee of observations of critical non-conformities without delay Reporting on the audit clearly and conclusively within the time agreed with the HSE Audit Manager Making clear and concise recommendations to the auditee for corrective actions, ensuring that these represent the fair opinion of the team. Maintaining the independence and objectivity of the team and the audit report DOCUMENT TITLE :

HSE AUDIT PROCEDURE

PROJECT:

ABU DHABI CRUDE OIL PIPELINE PROJECT

DOCUMENT No.:

30-99-90-1682

Project No: E30153 Page 5 of 9 Rev.0

DATE :30/09/2008



Providing language translation facilities, if necessary

5.4 Auditors The auditors are responsible for the following:      

Following the directions of and supporting the lead auditor Planning and carrying out the assigned task objectively, effectively and efficiently within the scope of the audit. Collating and analysing relevant and sufficient evidence to allow findings to be made and conclusions to be drawn regarding the auditee’s system Preparing working documents under the direction of the lead auditor Documenting individual audit findings Safeguarding documents pertaining to the audit and returning such documents as required Assisting in writing the audit report.

5.5 Audit Members Audit team members will be selected by the lead auditor. Members should      5.6      

6.0

Collectively understand the purpose of the audit Know the policies and principles being audited Understand the output of audit and expectations Possess a generic understanding of the facility or operation being audited. Have relevant experience and expertise Auditee Cooperating with the auditors to permit the audit objectives to be achieved. Informing employees about the objectives and scope of the audit as necessary Providing the facilities needed for the audit team in order to ensure an effective an effective and efficient audit process Appointing responsible and competent staff to accompany members of the audit team, to act as guide to the site. Providing access to the audited facilities including personnel and relevant evidential material, as requested by the auditors, and assisting them generally. Developing corrective action plan that defines actions steps and responsibilities for all those findings listed in the final audit report, that are acceptable by the auditee; the timeliness and completion of corrective actions from previous audits should be reviewed during subsequent reviews.

TRAINING AND COMPETENCE ASSURANCE:

To develop a sufficient pool of qualified and competent Auditors, Lead Auditors shall have sufficient seniority and relevant experience to provide credibility and authoritative weight to the audit findings and recommendations. He or she shall be trained and have experience in carrying out HSE audits. Such training shall be provided by an external organisation. Audit team should possess an appropriate combination of knowledge, skills, personal qualities and experience to carry out audit responsibilities.

7.0

SITE CROSS AUDITS

To develop and share best practice, cross audits should be executed across sites. It shall be coordinated by HSE Audit Manager.

8.0

HSE AUDIT PROGRAMME AND PROCESS (LEVEL 1 AND 2)

The HSE Audit Manager will develop an annual programme for level 1 and 2 HSE Audits. The audit programmes will be based upon the particular requirements of ADCOP Project HSE MS. The audit programmes will be designed to ensure that critical elements of HSE are reviewed in-line with their significance i.e. more significant elements receiving more regular auditing than less significant elements, the DOCUMENT TITLE :

HSE AUDIT PROCEDURE

PROJECT:

ABU DHABI CRUDE OIL PIPELINE PROJECT

DOCUMENT No.:

30-99-90-1682

Project No: E30153 Page 6 of 9 Rev.0

DATE :30/09/2008

frequency of auditing will also reflect the degree of risk. A spreadsheet containing this audit programme shall be developed by HSE Audit Manager annually and cascaded to relevant ADCOP project personnel. 8.1 Audit Process An audit Terms Of Reference with clear scope and objectives will be sent well in advance to the auditee. A planning meeting maybe necessary and will be coordinated by the lead auditor. Each audit shall commence with an opening meeting with Auditee management, and audit team including Regional management as necessary. The objective of the opening meeting will be to:    

Reaffirm the scope of the audit objectives Reaffirm the agenda and audit plans Obtain conformation on special topics to include or sensitive areas of interest to the audit team. Reaffirm schedule for the closing meeting.

8.2 Audit Activities Typical audit activities include:          

Site walk-through; inspection of equipment and activities covered by the scope of the audit Document review and records review Review of site HSE performance Reviewing policies, procedures and required records Interviews of personnel at the site or activity being audited Interviewing management, quality control and technical staff as necessary Assessing implementation of training plans and other HSE plans Reviewing of site or activity HSE inspection and audit programme. Documenting and categorising findings each day Analysing findings and preparing list of key findings and recommendations of draft report for use at final meeting

Each audit shall end with a closing meeting involving the audit team, site management and auditee senior representatives. The closing meeting will be aimed to:  

9.0

Review the audit findings and recommendations Confirm, following consultation with the HSE Audit Manager, a schedule and distribution of the audit report and auditee’s response to findings and recommendations.

CATEGORIES OF NON-COMPLIANCE

The classification of non- compliances will fall into three Categories as defined below; 9.1 Major If the issue identified poses an actual or potential critical system failure or if an entire section of the MS is absent/faulty. Financial Implications, Directly affects safety, environmental and health issues - likely cost >$5,000, 9.2 Minor If the issue is a non-critical system failure, an incomplete section of the MS or an inappropriate/incorrect interpretation or application of a CPECC HSE procedure or requirement. Financial Implications, Directly affects safety, environmental and health issues $0 - $5,000, 9.3 Recommendation If the issue identified can be seen as a proposed improvement to the current MS both in terms of system operation and system deliverable. It will be the responsibility of the Lead auditor to ensure that the audit findings within their area of responsibility are consistent; it will furthermore be the responsibility of the HSE Audit Manager to ensure consistency of audit findings across all areas and is to be kept under review and reported annually during HSE plan review.

DOCUMENT TITLE :

HSE AUDIT PROCEDURE

PROJECT:

ABU DHABI CRUDE OIL PIPELINE PROJECT

DOCUMENT No.:

30-99-90-1682

Project No: E30153 Page 7 of 9 Rev.0

DATE :30/09/2008

10.0

REPORTING AUDIT FINDINGS

Audit reports are to be completed following the agreed audit report template. Following the completion of the audit report the lead auditor will input the relevant information relating to major and minor non-compliances and their respective corrective action requests. The audit report shall be signed all relevant parties including the lead auditor and the auditeee. Both paper and e-mail copies shall be issued to all individuals and parties identified with actions to complete in order to “close out” the non-compliances. Typical audit report contents include:       

Introduction – location, activity, dates, lead auditor, audit team members(auditors), scope and objectives of the audit Executive summary General observations Positive findings Deficiencies Reference to regulations, policies, procedures, guidelines, etc Recommended actions

10.1 Follow-up and Closure of action Corrective action plans and status reports are the responsibility of the auditee until all action items are closed out. The progress of the actions and reports will normally be followed up by the lead auditor.

GLOSSARY ADCOP ADCO ADNOC COMPANY COMPANY Representative PMC CPECC

= = = = = = =

HSE HSE MS HOC EPC UA/UC EIA CEMP

= = = = = = =

Abu Dhabi Crude Oil Pipeline Project Abu Dhabi Company for Onshore Oil Operation Abu Dhabi National Oil Company International Petroleum Investment Company (IPIC) IPIC Representative – PMC (ILF Consulting Engineers. Project Management Consultant China Petroleum Engineering & Construction (Group) Corporation – EPC Contractor Health, Safety and Environment Health, Safety and Environment Management System Hazard Observation Card Engineering Procurement and Construction Unsafe Actions/ Unsafe Conditions Environmental Impact Assessment Constrcution Environmental Management Plan

DOCUMENT TITLE :

HSE AUDIT PROCEDURE

PROJECT:

ABU DHABI CRUDE OIL PIPELINE PROJECT

DOCUMENT No.:

30-99-90-1682

Project No: E30153 Page 8 of 9 Rev.0

DATE :30/09/2008

APPENDIX 1

AUDIT PROCESS FLOW CHART

HSE HSEAUDIT AUDITMANAGER MANAGER DECIDES DECIDESAND ANDPREPARES PREPARES ANNUAL ANNUALHSE HSEAUDIT AUDIT SCHEDULE SCHEDULE

HSE HSEAUDIT AUDITMANAGER MANAGER PREPARES PREPARESAUDIT AUDITTERMS TERMS OF OFREFERENCE REFERENCE (TOR) (TOR)

AUDIT AUDIT IS ISCONDUCTED CONDUCTEDTO TO IDENTIFY IDENTIFYAND ANDASSESS ASSESS RISKS RISKS

REPORT REPORTAUDIT AUDIT FINDINGS FINDINGS

AGREE AGREE IMMEDIATE IMMEDIATECORRECTIVE CORRECTIVE ACTION ACTION WITH WITHAUDITEE AUDITEE

AGREE AGREELONG LONGTERM TERM CORRECTIVE CORRECTIVEACTIONS ACTIONSTO TO MITIGATE MITIGATETO TO ACCEPTABLE ACCEPTABLE(ALARP) (ALARP)

FINAL FINALREPORT REPORT AND AND ACTION ACTIONPLAN PLAN

AUDIT AUDIT CLOSE CLOSEOUT OUTWITH WITH OBJECTIVE OBJECTIVEEVIDENCE EVIDENCE

DOCUMENT TITLE :

HSE AUDIT PROCEDURE

PROJECT:

ABU DHABI CRUDE OIL PIPELINE PROJECT

DOCUMENT No.:

30-99-90-1682

Project No: E30153 Page 9 of 9 Rev.0

DATE :30/09/2008