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KBR JGC Middle East FZE • Kellogg Brown & Root lnt,rnatio,nal Inc.
Pearl GTL
Project Ras
Laffan, Qatar
Revision 1
Page 1 of 29
PEARL GTL PROJECT
HSSE
5887-0N-PR-HM-019
HSSE/SP AUDIT PROCEDURE
Prepared By (riginator!"
Rev
#$ Griffin
Rev 1 Rev2 Rev%
'eced By (Line )anager!" T.)acfarlan
Revie*ed By (P)+" $#nderson
#pproved By (Project -irector!".$P$/atson
-ate" 09 +n 0 2 +ly 0
3sse .tats" 3 34L
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5667808PR8:)8019
+G )iddle ;ast 4,; 8 .P #dit ProcedreRevision 1
Page 2 of 29
T#BL; 4 T;T.
1$0 P?RP.; 3
2$0 .P; 3
%$0 R3..P #dit TeaA
.4 ondct of t'e #dit $.4.! ;stalis'ing 3nitial ontact *it' t'e Line )anageAent $.4.# ondct -ocAent Revie* $
.4.3 Preparing for t'e n8.ite #dit #ctivities %.4.4 ondcting n8.ite #dit #ctivities %.4." Gides and servers &.4. ollecting and Cerifying 3nforAation &.3. #dit 4indings and onclsions !'.3.$ losing )eeting !'
.4 Reporting !'
$5 4indings and RecoAAendations 11
$ Tracing and 4ollo*8p 12
$6 Records 12
$7 Responsiilities 12
6$0 PR;.. 1%
#ppendiD 1
#ppendiD 2
#ppendiD %
#ppendiD @
#ppendiD 5
#ppendiD
#dit 'eclist 8 Pre8.tart ?p
#dit 'eclist 3ndeD 8 oApliance #dit
P) :..;>.P ). #dit TeaA 8 Typical TerAs of
Reference #dit Report 4orAs
on8onforAance -ata .'e t
:.; #1dit 4indings lassification )atriD
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5778-0N-PR-HM-019
ote" T'is isse incldes lient coAAents Aade at Revision 0
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+G )iddle East FZE 8 .P #dit is to provide a systeAatic and independent
assessAent of t'e effectiveness of t'e Level % :..;>.P AanageAent systeAs$
P) ns'ore :..; *ill estalis' and Aaintain an adit prograAAe and procedres for
periodic :..;>.P AanageAent systeA adits to e carried ot on Level % (;P), 3 and
P) s8contractors! activities, in order to"
a! deterAine *'et'er or not t'e Level % :..; AanageAent systeA"
1! is strctred and conforAs to P) AanageAent systeA standard=
2! 'as een properly iApleAented and Aaintained= and%! is effective in Aeeting t'e P)Es and Pearll GTLEs policy and ojectives=
! revie* t'e reslts of previos adits=
Fc!
d!
ensre identified corrective actions and iAproveAents 'ave een
addressed provide inforAation on t'e reslts of adits to Pearl GTL$
Potential or actal *eanesses in t'e :..;>.P )., or in its iApleAentation, identified
dring :..;>.P #dits *ill e reAedied t'rog' tracing and follo*8p Aec'anisAs t'at
are Aonitored at reglar intervals$
2$1 SCOPE
T'e :..;>.P adit process, ased on 3. 19011"2002 and Pearl GTL #dit procedres,
can e divided into a nAer of essential eleAents, inclding"
;stalis'ing t'e #dit PrograAAe"
o ;stalis' ojectives and eDtent of adit prograAAe=
o ;stalis' aditing procedres=
o 3dentification of sitale :..;>.P adit teaA AeAers and terAs of reference=
3ApleAenting t'e #dit PrograAAe=
#dit reporting=
3dentification and classification of adit findings and recoAAendations=
Tracing and follo*8p$
%$1 RISKS
#n ndetected or ncorrected failre in t'e capaility of t'e :..;>.P ). to effectively
control all :..;>.P aspects of t'e Pearl GTL project Aay carry any of t'e follo*ing riss
(Ref$ P) :..;>.P Plan!, and *'ic' are assessed as F'ig'F in t'e Pearl GTL :..; Plan
200"
4ailre to Aanage t'e riss associated *it' t'e ;P)Es, 3Es and P) .
contractors not Aeeting reglatory reHireAents and Pearl GTL .tandards=
4ailre to Aanage tec'nical :..; riss in design and t'e design interfaces et*een
;P), 3 and P) .8ontractors reslting in inconsistent application of
:..;>.- standards=
4ailre to prevent Aajor constrction I asset relatedincidents=
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KBR 4ailre to ac'ieve .stainale -evelopAent
ojectives=
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JGC Middle East FZ( • Kellogg Brown & Root lnternati)nal Inc.
Pearl GTL
Project Ras
Laffan, Qatar
:..;>.P #dit ProcedreRevision" 1
Page @of29
4ailre to ac'ieve a rost social isses AanageAent=
4ailre to Aanage road transport riss= 4ailre to effectively Aanage secrity riss=
4ailre to effectively Aanage a 'ealt' riss=
4ailre to ac'ieve effective 'aIardos and non8'aIardos *aste disposal froA
constrction t'rog' to operations$
@$0 R;4;R;;.
o$ Title Reference o$
1
Gidelines for Qality and>or ;nvironAental
)anageAent .ysteAs #diting 3.019011"2002
2;nvironAental AanageAent systeAs
8
ReHireAents *it' gidance for se3.01@001 8 200@
%
P) :ealt', .afety, .ecrity, ;nvironAent and
.ocial PerforAance )anageAent .ysteA
(:..;>.P ).!
5776808PR8:)8016
@ Pearl GTL :..;>.P #dit Procedre @7150552
5P) :ealt', .afety, .ecrity, ;nvironAent and
.ocial PerforAance Plan5776808PL8.#8 1
Pearl GTL .stainale -evelopAent Plan @0@9@07
6 Pearl GTL .ocial PerforAance )anageAent Plan @76%%796
9 Pearl GTL #nnal Revie* and #dit -ata Base
10 P) :..;>.P #dit PrograAAe 5776808PL8:)8017
5$0 -;433T3.
#BBR;C3#T3.
3teA -escription
;). ;nvironAental )anaQeAent .ysteA
;P ;nQineerinQ ProcreAent onstrction ontractor
;P) ;ngineering ProcreAent onstrction )anageAent ontractor
G&P .'ell Gas and Po*er
GTL Gas to LiHids
:#T. :.; #ction Tracing .ysteA
:.; :ealt', .afety and ;nvironAent
:..;>.P ). :ealt', .afety, .ecrity, ;nvironAent and .ocial PerforAance
)anageAent .ysteA
3 3ApleAentation ontractor
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5667808PR8:)8019
KBR+JGC )iddle East FZE Kellogg Brown & Root lnternati!1-al Inc.
Pearl GTLProject RasLaffan, Qatar
:..;>.P #dit ProcedreRevision" 1
Page 5 of 29
.P;343 -;4393T39.
#dit systeAatic, independent and docAented process for otaining adit evidence and evalating it ojectively todeterAine t'e eDtent to *'ic' t'e adit criteria are flfilled
#ditee organiIation eing adited
#dit criteria set of policies, procedres or reHireAents
#dit evidence records, stateAents of fact or ot'er inforAation, *'ic' arerelevant to t'e adit criteria and verifiale
#dit findings reslts of t'e evalation of t'e collected adit evidence againstadit criteria(#dit findings can indicate eit'er conforAity or nonconforAity*it' adit criteria or opportnities for iAproveAent$!
#dit prograAAe set of one or Aore adits planned for a specific tiAe fraAe anddirected to*ards a specific prpose(#n adit prograAAe incldes all activities necessary for planning, organiIing and condcting t'e adits!
3nternal adits :..;>.P #dits led y P) :..; o*n resorces
;Dternal adits adits perforAed y non8P) odies, for eDaAple, Pearl GTL:..;>.P perforAance data verification adits, and adits
perforAed for accreditation prposes, sc' as 3. 9000 or 1@001 certification
oAined adit *'en Aore t'an one AanageAent systeAs are aditedtoget'er e$g$ :..; AanageAent systeA and HalityAanageAent systeA$
+oint adit *'en t*o or Aore aditing organiIations cooperate to adit asingle aditee
$1 PR;-?R;
$2 :..; #dit PrograAAe
# P) :..;>.P #dit PrograAAe (-oc Ref$ 5776808PL8:)8017! *ill e prepared yt'e P) ns'ore :..; )anager and endorsed y Pearl GTL and *ill e issed as aseparate docAent to spport t'is procedre 3t *ill detail all 3nternal and ;Dternal:..;>.P adits and AanageAent revie*s t'at s'old e coApleted and *'en t'ey areplanned to start$
T'e prograAAe *ill e revie*ed reglarly and pdated as contracts are a*arded andontractor sc'edles are prodced$
3nternal :..;>.P ). #dits *ill inclde"
a! Pre8start 1p (readiness to start! a1dits$ E
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T'ese s'all e carried ot prior to approval for ontractor Aoilisation to ensreontractor is coApliant *it' contract :..; provisions$ T'e adit *ill ensre alldeliverales are provided in accordance *it' ontract .pecifications and ensre
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KBR +G )iddle ;ast 4,; .P #dit ProcedreRevision" 1
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ontractorEs :..; )anageAent .ysteA is in place$ T'e adit s'all inclde inspection
of any eDisting facilities, offices and plant t'at *ill e sed for iApleAentation inclding
all licences and necessary certification$ /'ere contracts are let as ;P contracts,
start8p adits *ill e reHired on initial a*ard and also prior to site Aoilisation for
constrction$
# typical scope for a pre8start p adit is provided in #ppendiD1$
! oAplianceadits
T'ese adits s'all e carried ot *it'in % to Aont's of contract a*ard to estalis'
t'at ;P)s, 3s and P) s8contractors 'ave iApleAented and are operating t'eir
:..;>.P )anageAent systeA$ T'e adits *ill"
assess t'at iApleAentation is to at least oApany AanageAent systeA standard=
verify conforAance *it' contractal reHireAents=
verify coApliance *it' t'eir o*nprocedres,
verify ontractor is Aonitoring o*n operations t'rog' reHired inspections and
o*n internal aditing prograAAe and Aanaging non8coApliances=
ensre confidence in t'e capaility of t'e contractor to perforA activities in a safe
Aanner,
T'e adits *ill inclde inspection of all site facilities and
operations$
# typical scope for coApliance adits is provided in #ppendiD 2$ T'is is not flly
coApre'ensive and only lists ey areas for gidance for t'e adit$ T'e c'eclist
s'old e coApleted efore t'e adit and scope appropriate to type of adit (.ection
$%$%!$
c! n an annal or longer asis, depending on natre and lengt' of contract$ To ensre
contining coApliance as aove=
d! #s additional inspections and adits otside t'e norAal planned seHence *'en
*eanesses are indicated y a Aajor incidents, eDceptional conditions, etc or specific
critical activities *'ic' Aay inclde for eDaAple :..; ritical 4acility #dits, :ealt'
)anageAent .tandard adits, previos adit findings, pre8diving operations adit etc$
T'e freHency of ;Dternal #dits *ill vary dependent pon t'e at'ority t'at is coApleting
t'e adit t'e freHency of t'ese adits *ill e identified *it' t'e at'ority involved$
T'e :..; #dit prograAAe Aay allo* for coAined and joint adits
$% :..;>.P #dit TeaA
T'e coApetence of internal adit teaA AeAers *ill e assessed y t'e P) :..;>.-
)anager$ T'e P) :..;>.- )anager s'old ensre t'at t'ose involved in t'e
perforAance of :..;>.P #dits 'ave aditing eDperience as *ell as no*ledge of
:..;>.P reHireAents$ ;Dperience of t'e activity or operation eing adited is desirale
as t'is lends crediility to t'e adit findings and recoAAendations$ 3nternal :..;>.P #dit
teaA leaders *ill al*ays e flly independent of t'e activity or operation eing adited,ot'er teaA AeAers Aay not e$
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Lead aditors s'all e certified>registered aditors for :.#. 17001 and>or 3. 1@001 or
to coAparale standard$ E
T'e P) :..;>.- )anager *ill appoint t'e adit teaA leader for t'e specific adit$
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JGC )iddle East FZI Kellogg Brown & Root lnternati)nal Inc,
Pearl GTLProject RasLaffan, Qatar
:..;>.P #dit ProcedreRevision" 1
Page 6 of 29
T'e TerAs of Reference for 3nternal :..;>.P adits *ill e prepared y t'e P)
:..;>.- )anager$ T'e TerAs of Reference (TR! for eac' adit s'all e agreedet*een t'e #ditee and :..; #dit Leader and docAented efore t'e start of t'e adit$
4or 3nternal :..;>.P ). adits, t'e TerAs of Reference s'old inclde stateAents for coApliance *it' stattory Qatari reHireAents, t'e iApleAentation of Pearl GTL :..;>.PPolicy and t'e :..;>.P ).$
Typical TerAs of Reference for an 3nternal P) :..;>.P ). #dit are s'o*n in #ppendiD %$
$@ondct of t'e #dit
$%$1 ;stalis'ing 3nitial ontact *it' t'e Line )anageAent
T'e P) :..;>.- )anager *ill arrange an initial contact Aeeting *it' t'e lineAanageAent responsile for t'e fnctions or processes to e adited$ T'e prpose of t'einitial contact is to"
;staBlis' c'annels of
coAA1nication,
E$ G onfirA t'e a1t'ority to cond1ct t'e a1dit,
• Provide inforAation on t'e proposed tiAing and adit teaA coAposition,
ReHest access to relevant docAents, inclding records,
-eterAine applicale site safety rles,
)ae arrangeAents for t'e adit, and agree on t'e attendance of oservers or t'e needfor gides for t'e adit teaA=
#rrange access to ey docAents for pre8Aoilisation revie*$
$%$2 ondct -ocAent Revie*
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5667808PR8:)8019
Records,
incl1ding"
reports=
training records previo1s a1dit reports= investigations=st1dies=
Ain1tes of Aeetings$
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KBR+JGC )iddle East FZ(. • Kellogg Brown & Root lnternaticinal Inc.
Pearl GTL
Project Ras
Laffan, Qatar
:..;>.P #dit ProcedreRevision" 1
Page 7 of 29
/'ere soAe or all of t'e -ocAentation cannot e Aade availale iEn advance t'ey s'all
e ready for inspection on site at start of t'e adit and t'e adit *illJ not proceed ntilreHired docAentation is Aade availale$
T'e ojective of t'e revie* is to assess consistency and continity *it'in t'e docAents
sc' t'at t'at t'ere is a cascade of reHired controls, procedres and instrctions froA
Pearl GTL reHireAents t'rog' to operational *orplace$
$%$% Preparing for t'e n8.ite #dit
#ctivities
T'e adit teaA leader s'old prepare an adit action plan regarding t'e condct of t'e
adit$ T'e action plan s'old cover t'e follo*ing" #dit
ojectives=
#dit criteria and any referencedocAents=
#dit scope, inclding identification of t'e fnctions or processes eingadited=
-ates and places *'ere t'e on8site adit activities are to econdcted=
JG ;Dpected tiAe and dration of t'e adit activities, inclding Aeetings=
Roles and responsiilities of t'e adit teaA AeAers=
3dentification of t'e aditeeEs representative for t'e adit=
onfirAation of t'e *oring and reporting langage of t'e adit=
Logistic arrangeAents (travel, on8site facilities, etc$!=
#dit follo*8p actions$
T'e action plan s'old e revie*ed and accepted y t'e :..;>.- )anager and t'e line
AanageAent responsile for t'e fnctions or processes eing adited efore t'e on8site
adit activities egin$
T'e adit teaA leader, in consltation *it' t'e adit teaA, s'old assign to eac' teaA
AeAer responsiility for aditing specific processes, fnctions, areas or activities$ .c'
assignAents s'old tae into accont t'e need for independence and t'e coApetence of
t'e aditor$
T'e adit teaA AeAers s'old t'en revie* t'e inforAation relevant to t'eir adit
assignAents and prepare *or docAents sc' as"
c'eclists (as appropriate for type of adit and ojectives! and
forAs for recording inforAation$
$%$@ ondcting n8.ite #dit #ctivities
#n opening Aeeting s'old e 'eld *it' t'e line AanageAent responsile for t'e fnctions
or processes eing adited$ T'e prpose of an opening Aeeting is to"
3ntrodce AeAers of aditteaA=
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onfirA t'e adit action plan (ojectives, scope andcriteria!
Provide a s'ort sAAary of 'o* t'e adit activities *ill e ndertaen,
tiAetale and ot'er relevant activities=
onfirA coAAnicationc'annels,
onfirAation t'at t'e resorces and facilities needed y t'e adit teaA areavailale=
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5778-0N-PR-HM-019
KBR++G )iddle East 4,f .P #dit ProcedreRevision" 1
Page 9 of 29
onfirAation of relevant *or safety, eAergency and secrity procedres for t'e adit
teaA=
T'e Aet'od of reporting, incl1ding any grading of nonconforAities=
Provide an opportnity for line AanageAent to as Hestions$
-ring t'e adit t'e adit teaA *ill Aeet periodically to eDc'ange inforAation and assessprogress$ T'e adit teaA leader s'old report on t'e progress of t'e adit and anyconcerns to t'e line AanageAent responsile for t'e fnctions or processes eing aditedand t'e P) :..;>.- )anager$
3f evidence collected dring t'e adit sggests an iAAediate and significant 'ealt', safetyor environAental ris t'is s'old e reported *it'ot delay to t'e line AanageAent
responsile for t'e fnctions or processes eing adited and P) :..;>.- )anager$oncern aot an isse otside t'e adit scope s'old e noted and reported to t'e aditteaA leader, for possile coAAnication to t'e line AanageAent responsile for t'efnctions or processes eing adited and P) :..;>.- )anager$
/'ere t'e availale adit evidence indicates t'at t'e adit ojectives are nattainale, t'e
Jadit teaA leader s'old report t'e reasons to t'e line AanageAent responsile for t'e
J fnctions or processes eing adited and P) :..;>.- )anager to deterAineappropriate
action$
#ny need for c'anges to t'e adit scope *'ic' can ecoAe apparent as on8site aditing
activities progress s'old e revie*ed *it' and approved y t'e P) :..;>.- )anager and, as appropriate, t'e aditee$
$%$5 Guide !"d O#e$%e$
Gides and oservers Aay accoApany t'e adit teaA t are not a part of it$ T'ey s'oldnot inflence or interfere *it' t'e condct of t'e adit$ Responsiilities of gides or oservers inclde"
;stalis'ing contacts and tiAing for
intervie*s=
#rranging visits to specific parts of t'e site or
organiIation=
;nsring t'at rles concerning site safety and secrity procedres are no*ny t'e adit teaA AeAers=
/itnessing t'e adit on e'alf of t'e line
AanageAent=
Providing clarification or assisting in collecting
inforAation$
$%$ C&''e()i"* !"d +e$i,i"* I",&$.!)i&"
-ring t'e adit, inforAation relevant to t'e adit ojectives, scope and criteria, inclding
inforAation relating to interfaces et*een fnctions, activities and processes, s'old ecollected y appropriate saApling and s'old e verified$ nly inforAation t'at is verifialeAay e adit evidence$ #dit evidence s'old e recorded$
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ollection of inforAation Aay e otained
t'rog'"
3nter
vie*
s=
Bservation of
activities=
Revie* of doc1Aents and
records=
-ata sAAaries, analyses and perforAance
indicators
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.P #dit ProcedreRevision" 1
Page 10 of 29
$%$ #dit 4indings and onclsions #dit evidence s'old e evalated against t'e adit criteria to generate t'e provisionaladit findings$ #dit findings can indicate eit'er conforAity or nonconforAity *it' aditcriteria$
T'e adit teaA s'old confer prior to t'e closing
Aeeting"
to revie* t'e adit findings, and any ot'er appropriate inforAation collecteddring t'e adit, against t'e adit ojectives,
to agree on t'e adit
conclsions,
to prepare
recoAAendations and
to disc1ss any a1dit
follo*81p$
$%$6 losing )eeting
# closing Aeeting, c'aired y t'e adit teaA leader, s'old e 'eld to present t'e provisional adit findings and conclsions in sc' a Aanner t'at t'ey are nderstood and
, acno*ledged By t'e a1ditee,$
T'e adit closeot presentation s'old
inclde"
#n overvie* of t'e original scope I TR for t'e adit and any Aaterial revisions*'ic' *ere agreed dring t'e corse of t'e adit=
#n otline of t'e *or t'at *as done (and not done! on t'e
adit=
overage of eac' of t'e significant findings and ey
recoAAendations=
#ddress E.eriosE adit findings in specific
detail=
Presentation of t'e adit teaAEs opinion and t'e rationale for t'at
opinion=
Revie* of t'e EneDt stepsE in terAs of report finalisation and isse$ :ig'lig'tt'e aditeeEs responsiility for action follo*8p and Aonitoring= and toagree, if appropriate, on t'e tiAefraAe for t'e aditee to present a correctiveand preventive action plan
#ny diverging opinions regarding t'e adit findings and>or conclsions et*een t'e aditteaA and t'e aditee s'old e discssed and if possile resolved$ 3f not resolved, allopinions s'old e recorded
$@ Reporting
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#n :..;>.P #dit report *ill e prepared y t'e adit teaA leader for eac' 3nternal:..;>.P #dit sing t'e adit report forA and non conforAance data s'eet s'o*n at #ppendices @ and 5= contination s'eets Aay e sed *'en reHired$ T'e report presentsa sAAary of t'e adit findings and recoAAendations, toget'er *it' an overall #ditpinion on t'e standard of :..;>.P controls$ T'e contents of t'e adit report *ill incldet'e follo*ing inforAation"
t'e adit
ojectives=
t'e adit scope, particlarly identification of t'e organiIational and fnctional nits or processes adited and
t'e tiAe period
covered=
identification of t'e a1dit client=
identification of adit teaA leader and
AeAers=
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5667808PR8:)8019
.P #dit ProcedreRevision" 1
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t'e dates and places *'ere t'e on8site adit activities *ere condcted=
t'e adit criteria=
t'e adit findings=
any nresolved diverging opinions et*een t'e adit teaA and t'e aditee=
recoAAendations for iAproveAent, if specified in t'e a1dit oBjectives=
agreed follo*8p action plans,
t'e adit conclsions$
T'e overall #dit pinion on t'e standard of :..;>.P controls is ased on t'e follo*ing definitions"
GOOD
4#3R
?9.#T3.4#TRK
T'e level of concern is lo* even t'og' a sAall nAer of specific areas Aay reHire attention,
• o follo*8p action is reHired y P)
• T'e overall scope reHires to e iAproved=
• 3n addition to follo* p action and correction of any nonconforAances assessed as 'ig' or AediA, line AanageAents'old e encoraged to Aae a general iAproveAent incontrols a*areness
• verall t'ere is case for concern=
• 3n addition to follo* p action and correction of any 'ig' or
AediA non conforAances, line AanageAent *ill tae actionto ensre t'at control standards are raised$
verall t'ere is case for grave concern=
3n addition to follo* p action and correction of serios, 'ig' and AediA nonconforAances, line AanageAent *ill e reHired to satisfy t'e P) t'at positiveaction is eing taen to raise control standards$
T'e adit report and non conforAance data s'eets s'old e sfficiently detailed toprovide an adit trail for all findings, *it'ot reliance on *oring papers$ 3f *oringpapers are retained ecase t'ey are of Aaterial relevance to t'e adit report, t'ent'ey Ast Ee concise, indeDed, referenced, and s'old e appended to t'e report$
Line AanageAent of t'e organisation eing adited s'old e given t'e opportnity tocoAAent on t'e factal accracy of t'e report prior to plication as *ell as eing givent'e opportnity to sggest alternative recoAAendations, *'ic' adeHately address specificadit findings$ .c' coAAents do not relieve t'e adit leader of t'e responsiility for t'efinal adit report$
T'e coApleted report *ill e distrited to t'e organisation (;P), 3 or P) .contractor! eing adited, t'e P) :..;>.- )anager and Pearl GTL$
$5 4indings and RecoAAendations
T'e non8conforAance data s'eet *ill e sed to detail all significant findings t'at 'aveeen oserved as infringeAents against t'e standards identified in t'e adit TerAs of Reference$ ;ac' non8conforAance *ill e niHely identified and *ill e classified inaccordance *it' t'e #dit 4indings lassification )atriD identified in #ppendiD $
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JGC Middle East FZl Kellogg Brown & Root lnternatiorial lnc.
Pearl GTLProject RasLaffan, Qatar
:..;>.P #dit ProcedreRevision" 1
Page 12 of 29
RecoAAendations s'o1ld 'elp clarify t'e findings, t'ey s'o1ld Be specific,
Aeas1raBle, ac'ievaBle, realistic and tiAe8Based$
$ Tracing and 4ollo*8p
T'e P) :..;>.- )anager *ill prepare and Aaintain a data8ase of adit findings andfollo* p actions sing eit'er :#T. or ;?. systeA$ #s a AiniAA t'e data ase *illinclde for eac' non conforAance, details of t'e adit inclding t'e adit referencenAer, date of coApletion and adit teaA leaderEs naAe, t'e non conforAance referencenAer, a sAAary of t'e non conforAance and recoAAendations, t'e action partiesnaAe, a reHired action coApletion date and t'e actal action coApletion date$
4or ;Dternal #1dits, t'e sc'ed1le for closing o1t a1dit findings *ill Be deterAined By PearlGTL$
n coApletion of an adit t'e P) :..;>.- )anager *ill confirA, for eac' nonconforAance, t'at t'e action party no*s *'at is reHired and no*s t'e reHiredcoApletion date$ T'is *ill e coAAnicated t'rog' t'e non8conforAance s'eets attac'edto t'e adit report delivered to t'e aditee$ ;ac' Aont' t'e P) :..;>.- )anager *ill
E$ 1pdate t'e data8Base and *ill report t'e c1rrent stat1s and n1ABer of o1tstanding non
conforAities to Pearl GTL$
#n annal revie* of t'e nAerical stats of otstanding :ig' adit findings and t'e actalprogress of recoAAendations *'ic' address eac' otstanding .erios finding *ill ecoApleted y Pearl GTL$
$6 Records
T'e P) :..;>.- )anager *ill e t'e cstodian for all internal adit reports$ T'e reports*ill e retained ntil all findings 'ave een closed ot, and t'e neDt adit of t'e saAeoperation or activity 'as een 'eld and t'e adit report issed$
$7 Responsiilities
+o 4nction Responsiilities
Pearl GTL • Revie* and endorse :..; #dit Plan
• .c'edling ;Dternal adits• #Hree sc'edle for close ot of adit findinHs on ;Dternal adits
P) :..;>.-
)anager
• Preparation and Aaintenance of t'e P) :..;>.P #dit PrograAAe (.c'edle!
• 3nitiate contact Aeeting *it' aditee
• 3dentification of sitale 3nternal :..;>.P #ditors and provision of :..;>.P adit training *'ere reHired
• Preparation of internal adit teaA TerAs of Reference
• Provision of sitale facilities for ;Dternal and 3ndependent :..;>.P #ditors
• Prepare and Aaintain adit dataase adit findinHs and follo*8p actions
#dit TeaA
Leader • #dit Preparation
• Prepare adit action plan
• ondct of t'e #dit *
• 'air close ot Aeeting• Preparation of t'e #dit Report
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#ditee Line
)anager • To provide adit docAentation on reHest
• To revie* and agree adit action plan
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JGC )iddle ;ast 4,3 8 .P #dit ProcedreRevision" 1
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+o 4nction Responsiilities
• To spport aditors dring adit• To revie* and coAAent on #dit Report
6$0 PR;..
$$$ .tartl! Responsile for
ca
M
c /.
#ctivity
ca ,,l! $.,., "e
"+c onslted
#ctivity .tep "3; ca l!
cl!
ca 012 ;nd
8* $$$+ c '38
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; ; ca a012
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4 )eeting
' ,, ,, ,, 'IE ""+ ""+ ""+ ,IEll$ ll$
otes
1$ PrograAAe
a$ Prepare :..; #dit Plan :..; #dit Planand .c'edle -oc" 5776808PL8:)8017
$ #dit Plan #pproved
c$ 3dentify aditee
2$ #dit Preparation
a$ #ppoint aditteaA and TeaALeader
$ Prepare TR for3nternal #dit
%$ #dit PreliAinaries
a$ 3nitial contactAeeting *it' aditee
$ ondct docAent revie*
c$ Prepare #dit #ction Plan
$$$
w
-
-
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KBR
5667808PR8:)8019
d$ Revie*plan andacceptance
e$ #ssignresponsiilities to adit teaA
@$ ondct #dita. pening )eeting 4
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KBR +G )iddle ;ast 4,; 8
8/18/2019 HSSE & SP Audit Procedure
25/41
KBR
5667808PR8:)8019
+G )iddle East 4,f 8 .P #dit ProcedreRevision 1
Page 15 of 29
#PP;-3 1
#dit &'eclist 8 Pre8.tart ?p
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JGC Maddie (ast Fll K ellogg Brown & Root International loc
Pearl GTL
Project Ras
Laffan, Qatar
Typical Pre8.tart ?p #dit 'eclist
Note: Che cklist should be develooed for each tract. Guid, be/, t exc/, J
d
8 J lude it, t rel tti
:..;>.P #dit ProcedreRevision 1
Page 1 of 29
3teA o$ Reference riteria .tats
1$ :..; ). in place
2$ :..; Ris #ssessAent coApleted
%$ :..; Plan in place t'at addresses riss I 'aIards
@$ .iAltaneos perations (.3)P.! assessAent and plan
in place
5$ #ctivities nder prevailing inflence agreed and confirAed
$ Transport I road safety plan in place & iApleAentation plan
& oroanisation in place and aoreed
6$ Legal coApliance c'eced and in place
7$ . PerAits & onsents Plan in place
9$ rganisation approved as :.; coApetent8
10$ 3ndction prograAAe coAplete
11$ Training prograAAe in place
12$ Procedres coApleted
1%$ /or instrctions in place
1@$ +o .afety #nalysis coAplete
15$ PP; approved and availale
1$ ;Aergency Response (incl$ )edical ;Aergency Response!
in place and tested
16$ .ocial PerforAance>.tae'older>oAAnity liaison Plan
(*it'in % Aont's froA a*ard!
17$ :..;>.P #dit, revie* and inspection plan in place
19$ .ecrity plan in place
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JGC )iddle ;ast 4,li .P #dit ProcedreRevision" 1
Page 16 of 29
3teA o$ Reference riteria .tats
20$ ;nvironAental )anageAent Plan in place
21$ 3nterface docAent in place
ffices>4acilities
22$ Lig'ting and Centilation
2%$ 4ire alarAs and evacation procedres
2@$ 4ire eDtingis'ers
25$ 4ire eDits and signs
2$ 4irst aid facilities>oDes
26$ General 'oseeeping and tidiness
27$ . ;rgonoAics
29$
#ccoAAodation>)essing
%0$ #deHate accoAAodation facilities
%1$ 4ire alarAs and evacation procedres
%2$ 4ire eDtingis'ers
%%$ 4ire eDits and signs
%@$ 4irst aid facilities>oDes
%5$ 4ood preparation>'ygiene and food storage
%$
Plant>;HipAent
%6$ Ce'icle inspection coAplete
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5778-0N-PR-HM-019
JGCMiddlo(ast(Zi logg Brown8Root Internationa l Inc :..;>.P #1dit Proced1re
Pearl GTL
Project Ras
Laffan, Qatar
Revision" 1
Page 17 of 29
3teA o$ Reference riteria .tats
%7$ Plant certificates
%9$ )aintenance records
@0$ :and po*er tools
@1$ Pressre vessels>coApressors@2$
@%$
@@$
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29/41
JGC Midd East FZE Kellogg Brown & Root ln rnatlo13lInc.
Pearl GTL
Project Ras
Laffan, Qatar
:..;>.P #dit ProcedreRevision 1
Page 19 of 29
#PP;-32
#dit &'eclist 3ndeD 8 &oApliance #dit
5667808PR8:)8019
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5667808PR8:)8019
JGCMidd East FZi Kellogg Brown &8lnte-at-l loc :..;>.P #1dit Proced1rePearl GTL Project
Ras Laffan, Qatar
Typical oApliance #dit 'eclist (indeD!
ote" 'eclist s'old e developed for eac' contract$ Gidance elo* is not eDclsive and Aay inclde iteAs not relevant to soAe contracts$
#?-3T :;
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#?-3T ?)B;R" #?-3T .?B+;T R;C3.3" BK"
PL# -#T;" R;.P.3BL; )##G;R -#T;"
.:;;T 4
.;T3 -;.R3PT3
.ection 1 :ealt' & .afety Policy
.ection 2 :..; )anageAent .ysteA
.ection % :..; -ocAents
.ection @ :..; )anageAent .ysteA 3ApleAentation
.ection 5 General .afety
.ection .afety #*areness
.ection 6 /oring onditions #nd General :oseeeping
.ection 7 . ontracted .ervices
.ection 9 /or Procedres and /or PerAit .ysteAs
.ection 10 3ncidents
.ection 11 .afety .tatistics
.ection 12 .afety Training
.ection 1% Personal Protective ;HipAent (PP;!
.ection 1@ 4irst #id, )edical & /elfare
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JGC )iddle ;ast FZl Kellogg Brown & RocO lnte-ationol loc :..;>.P #dit Procedre
Pearl GTL
Project Ras
Laffan, Qatar
Revision" 1
Page 21of29
.ection 15 4ire Prevention #nd ;Aergency Response Procedres
.ection 1 .caffolding
.ection 16 Lifting #ppliances
.ection 17 Transportation and Ce'icles
.ection 19 :aIardos )aterials
.ection 20 ;lectrical ;HipAent
.ection 21 )ac'inery and Plant .afety
.ection 22 oise ontrol
.ection 2% .ecrity
.ection 2@ ;nvironAental Protection
.ection 25 .ocial PerforAance
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5667808PR8:)8019
JGC Middle East FZ( Kellogg Brown & Root lnternati)na( Inc. :..;>.P #dit ProcedrePearl GTL
Project Ras
Laffan, Qatar
Revision 1
Page 22 of 29
#PP;-3%
P) :..;>.P ). #dit TeaA 8 Typical TerAs of Reference
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JGC Middle ;ast FZE Kellogg Brown & Root lnternatiorat Inc.
Pearl GTL
Project Ras
Laffan, Qatar
:..;>.P #dit ProcedreRevision 1
Page 2% of 29
#ppendiD %" P) :..;>.P ). #dit TeaA 8 Typical TerAs of Reference
jectivesT'e adit ojective is to appraise t'e Hality and coApleteness of t'e :..;>.P )anageAent .ysteA and
t'e adeHacy and effectiveness of its iApleAentation *it'in (Insert the EC!/IC or !C "ub#contractor audited$. /'ere t'e adit identifies s'ortfalls in t'e effectiveness of t'e AanageAent systeA correctiveAeasres *ill e recoAAended$
)et'odologyT'e adit *ill e coApleted in accordance *it' t'e P) :..;>.P #dit procedre and *it'in t'e
sc'edled period identified in t'e :..;>.P adit prograAAe$ n coApletion of t'e adit t'e teaA leader
*ill coAplete an adit report and *'ere necessary non8conforAance s'eets *it' recoAAendations *'ic'
*ill e presented to Pearl GTL$
.copeT'e adit *ill specifically investigate constrction, operations and interface activities *it' contractors$
.pecial attention *ill e given to"
ReHireAents for contractors to 'ave an iApleAented :..;>.P policy and ).$
G J #d'erence to Pearl GTL :..;>.P policies$
Processes for t'e identification of :..;>.P8related legislative reHireAents, t'eir
disseAination, and for confirAing ad'erence to t'eA$
3dentification of roles, responsiilities and coApetence reHireAents associated *it' :..;>.P
critical activities$
#vailaility and effectiveness of reHired procedres for t'e identification and control of all
significant 'aIards and effects$
Responsiilities, accontailities and effectiveness of individal :..;>.P tass and targets and
t'eir contrition to continos perforAance iAproveAent$ ;ffectiveness in :..;>.P data AanageAent and :..;>.P perforAance Aonitoring$
;ffectiveness of :..;>.P docAentation and t'e processes for its disseAination$
;ffectiveness of controls *it' respect to safegarding asset integrity$
;ffectiveness of c'ange control procedres *it'in t'e organisation$
oApleteness of :.; ases$
#deHacy of eAergency response procedres and contingency plans$
onfirAation t'at findings froA adits, inspections and incident investigations 'ave een
satisfactorily addressed, and closed ot in an aditale process$
3dentification of significant gaps in t'e iApleAentation of t'e :..;>.P ). *'ic' 'ave not
een recognised, or for *'ic' no prioritised and resorced reAediation plan is in place$
#deHacy of t'e :..;, .- and .P Plan$
;ffectiveness of integrating 3. 1@001 ertification reHireAents into :..;>.P ).$ #deHacy of .ite .ecrity Plan
.tandardsT'e adit s'old e carried ot against t'e follo*ing standards, in priority
order"
La*s and reglations of Qatar
Pearl GTL :..;>.P Policy, oAAitAent and Procedres
Pearl GTL :..;>.P ). standards and procedres
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K/RI+G )iddle ;ast 4,; 8 .P #dit ProcedreRevision 1
Page 2@ of 29
APPENDI
Audi) Re2&$) 3&$.
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5778-0N-PR-HM-019
+G )iddle ;ast 4,; .P #dit ProcedreRevision 1
Page 25 of 29
:..;>.P #?-3T R;PRT
T'is report presents t'e details of an 3nternal :..;>.P #dit condcted in accordance *it'
Pearl GTL #dit Procedre
#?-3T R;4;R;; ?)B;R
#?-3T TP3"
#?-3T )PL;T3 -#T;"
#?-3T B+;T3C; & .P;"
#?-3T 43-3G.
ategory and nAer of on conforAances
.;R3?. );-3?)
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#?-3T .?))#RK
#?-3T L#..343#T3
Tic as aoolicale
G- 4#3R ?.#T3.4#TRy
?#;PT#BL;
PR;P#R;- BK" -#T;"
#PPRC;- BK -#T;
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K/RJGC Middle East FZi • Kellogg Brown & Root lnt natio,nalInc.
Pearl GTL
Project Ras
Laffan, Qatar
:..;>.P #dit ProcedreRevision 1
Page 2 of 29
APPENDI 5
N&" C&",&$.!"(e D!)! S4ee)
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5778-0N-PR-HM-019
+G )iddle ;ast 4,; .P #dit ProcedreRevision 1
Page 26 of 29
4R)#; -#T# .:;;T9o$ 3 Page of #?-3T R;4;R;; ?)B;R
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PR;P#R;- BK" -#T;"
#PPRC;- BK -#T;
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+G )iddle ;ast 4,; 8 .P #dit ProcedreRevision 1
Page 27 of 29
APPENDI
HSE Audi) 3i"di"* C'!i,i(!)i&" M!)$i6
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K/RJGC Middle East Flt Kellogg Brown Br Root lnternati alInc.
Pearl GTL
Project Ras
Laffan, Qatar
:..;>.P #dit ProcedreRevision 1
Page 29 of 29
onseHences Lieli'ood
: B c ; E
OJ
3
M O8
3
M
c 3EU) ' M 111 5. M 111; ' O3M $$$$ 8 $r"Ja
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3E ti O3M a. %. % a.M ' U) ; g$ "= a. O3M 'O3M 80 U)O3M O3M U) c O3M O3MJ8 O3M 80 111 ;8O( * Z." ." ' Q"M ' Q"M 1110?2
'o 'ealt' o
o effect o iApacteffec?injry daAage
.lig't 'ealt' .lig't .lig't.lig't iApacteffect>injry daAage effect
#)inor 'ealt' )inor )inor LiAitedeffect>injry daAage effect 3Apact
%)ajor 'ealt' Localised Localised onsideraleeffec?injry daAage effect iApact
@ PT- or 1to% )ajor )ajor ationalfatalities daAage effect iApact
5 )ltiple ;Dtensive )assive 3nternational fatalities daAage effect iApact
8/18/2019 HSSE & SP Audit Procedure
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(%ef earl G&' ""E/" )udit rocedure, *oc. +-0$