Nghiên cứu nâng cao hiệu quả quản lý rủi ro đối với họa động xuất dầu thô tại các khu vực mỏ dầu khí trong vùng biển việt nam

BỘ GIÁO DỤC VÀ ĐÀO TẠO BỘ GIAO THÔNG VẬN TẢI TRƯỜNG ĐẠI HỌC GIAO THÔNG VẬN TẢI TP.HCM - oOo ĐỖ ĐỨC THỊNH NGHIÊN CỨU NÂNG CAO HIỆU QUẢ QUẢN LÝ RỦI RO ĐỐI VỚI HOẠT ĐỘNG XUẤT DẦU THÔ TẠI CÁC KHU VỰC MỎ DẦU KHÍ TRONG VÙNG BIỂN VIỆT NAM CHUYÊN NGÀNH: KHOA HỌC HÀNG HẢI MÃ SỐ: 8840106 LUẬN VĂN THẠC SĨ NGƯỜI HƯỚNG DẪN KHOA HỌC: PGS TS NGUYỄN XUÂN PHƯƠNG TP HCM, THÁNG 12 - 2020 i LỜI CAM ĐOAN Tôi tên là Đỗ Đức Thịnh, hiện là học viên cao học ngành Khoa học Hàng hải, trường Đại học Giao thông vận tải thành phố Hồ Chí Minh Tôi xin cam đoan và hoàn toàn chịu trách nhiệm về lời cam đoan này:  Toàn bộ nội dung của Luận văn Thạc sĩ này chính thực hiện dưới sự hướng dẫn của PGS TS Nguyễn Xuân Phương;  Trong quá trình thực hiện luận văn có tham khảo kiến thức, thông tin những tài liệu và ngoài nước;  Các kết phân tích, đánh giá để kết luận ḷn văn hoàn toàn chân thực TP Hờ Chí Minh, ngày tháng 12 năm 2020 ĐỖ ĐỨC THỊNH ii LỜI CẢM ƠN Trong śt q trình học tập nghiên cứu hồn thành ḷn văn, tơi nhận sự hướng dẫn, giúp đỡ tận tình của Quý thầy bạn bè Với lịng kính trọng biết ơn sâu sắc, học viên xin bày tỏ lời cảm ơn chân thành đến:  Quý thầy, cô giáo tại Đại học Giao thông vận tải thành phố Hồ Chí Minh tận tình, chu đáo suốt trình giảng dạy truyền đạt kiến thức giúp hoàn thành chương trình Cao học  PGS TS Nguyễn Xuân Phương – Trường Đại học Giao thông vận tải thành phố Hồ Chí Minh quan tâm, giúp đỡ, hướng dẫn tơi q trình thực hiện ḷn văn  Trân trọng cảm ơn các thành viên của Hội đồng khoa học nghiên cứu, đánh giá luận văn của học viên Trân trọng cảm ơn! TP Hồ Chí Minh, ngày tháng 12 năm 2020 ĐỖ ĐỨC THỊNH iii MỤC LỤC LỜI CAM ĐOAN i MỤC LỤC iii DANH MỤC CÁC BẢNG viii DANH MỤC CÁC HÌNH viii DANH MỤC CÁC CHỮ VIẾT TẮT ix MỞ ĐẦU .1 Tính cấp thiết của đề tài .1 Mục đích nghiên cứu của đề tài Phạm vi nghiên cứu .2 Phương pháp nghiên cứu .2 Cơ sở khoa học và ý nghĩa thực tiễn của luận văn Bố cục luận văn CHƯƠNG TỔNG QUAN, CƠ SỞ LÝ THUYẾT VÀ PHÁP LÝ 1.1 Tổng quan của đề tài 1.2 Cơ sở lý thuyết 1.2.1 Các khái niệm về đánh giá rủi ro 1.2.2 Định nghĩa rủi ro 1.2.3 Phân loại rủi ro 1.2.4 Các khái niệm về rủi ro hàng hải .6 1.2.5 Đánh giá rủi ro cho hoạt động tàu biển 1.2.6 Quản lý rủi ro 1.2.7 Đảm bảo tính liên tục mềm dẻo cơng tác đánh giá rủi ro 10 1.2.8 Yếu tố người công tác đánh giá rủi ro .11 1.3 Cơ sở pháp lý 11 1.3.1 Qui định về đánh giá rủi ro Bợ ḷt Quản lý an tồn q́c tế (ISM Code) 11 1.3.2 Sự phát triển những Quy định về dầu khí ngoài khơi của quốc gia lớn 12 iv 1.3.3 Những quy định về dầu khí ngoài khơi của Việt Nam 15 1.4 Kết luận 17 CHƯƠNG PHÂN TÍCH HIỆN TRẠNG HOẠT ĐỘNG KHAI THÁC DẦU KHÍ NGỒI KHƠI .19 2.1 Tổng quan về hoạt đợng khai thác thăm dị dầu khí tại Việt Nam 19 2.1.1 Cảng Dầu khí ngoài khơi Mỏ Bạch Hổ – Mỏ Rồng 22 2.1.2 Cảng Dầu khí ngoài khơi mỏ Rạng Đông 22 2.1.3 Cảng Dầu khí ngoài khơi Mỏ Tê Giác Trắng 23 2.1.4 Cảng Dầu khí ngoài khơi Mỏ Biển Đông 24 2.1.5 Cảng Dầu khí ngoài khơi Mỏ Rồng Đôi – Rồng Đôi Tây 25 2.1.6 Cảng Dầu khí ngoài khơi Mỏ Chim Sáo 26 2.1.7 Cảng dầu khí ngoài khơi mỏ Đại Hùng /FSO PVN Dai Hung Queen 27 2.1.8 Su Tu Den Terminal/FPSO Thai Binh VN 28 2.2 Những rủi ro tiềm ẩn liên quan đến hoạt động khai thác dầu khí ngoài khơi 29 2.2.1 Hoạt động khai thác 30 2.2.2 Quá trình hoạt động khoan 32 2.2.3 Hoạt động xây dựng bảo dưỡng 32 2.2.4 Sự an toàn cho người 33 2.3 Một số thảm họa thế giới 34 2.3.1 Thảm họa Piper Alpha .34 2.3.2 Thảm họa Exxon Valdez Oil Spill 34 2.3.3 Thảm họa Deep Water Horizon 34 2.4 Kết luận 35 CHƯƠNG NÂNG CAO HIỆU QUẢ QUẢN LÝ RỦI RO ĐỐI VỚI HOẠT ĐỘNG XUẤT DẦU THƠ TẠI CÁC KHU VỰC MỎ DẦU KHÍ TRONG VÙNG BIỂN VIỆT NAM .36 3.1 Quản lý sự không phù hợp, hoạt động đồng thời, cận nguy/sự cố/ tai nạn và ngăn ngừa tái diễn .36 3.1.1 Một số khái niệm .36 3.1.2 Việc báo cáo rủi ro 37 v 3.1.3 Phân tích báo cáo, điều tra, hành đợng khắc phục phịng ngừa 38 3.1.4 Quản lý hoạt động đồng thời .39 3.2 Đánh giá rủi ro phân tích an tồn cơng việc .40 3.2.1 Các khái niệm 40 3.2.2 Phân tích các nguy từ công việc 40 3.2.3 Phân tích an tồn cơng việc .40 3.2.4 Yêu cầu về đánh giá rủi ro 41 3.2.5 Xác định rủi ro mới tàu 44 3.3 Thiết lập quy trình thiết ́u đới với hoạt đợng xuất dầu thơ tại khu vực mỏ dầu khí 44 3.3.1 Chuyển người thùng dụng cụ lên tàu lấy dầu .44 3.3.1.1 Chuyển người và thùng đồ khu vực đón trả hoa tiêu thời tiết xấu 44 3.3.1.2 Chuyển người và thùng đồ tại mỏ .45 3.3.2 Kiểm tra công tác chuẩn bị của tàu dầu lên tàu 46 3.3.3 Họp an toàn, bớ trí dụng cụ, chuẩn bị cho cơng tác chủn nối ống 48 3.3.4 Buộc dây tàu lai 49 3.3.5 Cập tàu chứa 52 3.3.5.1 Tiếp cận lấy dây mồi 54 3.3.5.2 Kéo dây lên boong 55 3.3.5.3 Tách dây “liên lạc” 55 3.3.5.4 Chớt vào hãm xích 55 3.3.5.5 Sau cập xong 56 3.3.6 Chuyển ống 56 3.3.6.1 Không dùng tàu lai 56 3.3.6.2 Chỉ dùng tàu lai một phần 57 3.3.6.3 Dùng tàu lai 58 3.3.7 Nối ống 59 3.3.7.1 Nhấc ống lần 59 3.3.7.2 Nhấc ống lần 60 vi 3.3.7.3 Nối ống vào đầu nhận dầu của tàu dầu .61 3.3.7.4 Chằng buộc ống: 61 3.3.7.5 Kiểm tra rò rỉ của khớp nối ống, mở van bướm 61 3.3.8 Thực hiện “Danh mục an toàn” và “Trao đổi thông tin trước bơm hàng” (Safety Checklist” & “Pre-loading information exchange”) 62 3.3.9 Bắt đầu bơm hàng 63 3.3.10 Trong quá trình bơm hàng .63 3.3.10.1 Trực ca, giữ tàu góc an tồn cho phép làm hàng (Safe Sector): 63 3.3.10.2 Giám sát bơm hàng 64 3.3.10.3 Khi có trực thăng đáp lên tàu chứa: 65 3.3.10.4 Làm dây chuẩn bị cho việc tách tàu 65 3.3.11 Kết thúc bơm hàng 66 3.3.12 Mở ống, thả ống xuống nước sẵn sàng tách tàu 67 3.3.12.1 Tháo ống 67 3.3.12.2 Thả ống xuống nước 68 3.3.13 Đo hàng và tính toán hàng .69 3.3.13.1 Trước bơm hàng 69 3.3.13.2 Trong lúc bơm hàng 69 3.3.13.3 Kết thúc bơm hàng 69 3.3.13.4 Sơ lược về cách sử dụng số đo của Giám định để làm vận đơn (BoL) 70 3.3.14 Làm giấy tờ 72 3.3.14.1 Các loại giấy tờ cần chuẩn bị sẵn trước lên tàu 72 3.3.14.2 Các giấy tờ trao cho Thuyền trưởng trước cập tàu chứa 73 3.3.14.3 Các giấy tờ trước bơm hàng 73 3.3.14.4 Kết thúc làm hàng: 74 3.3.14.5 Vận đơn (BoL) 75 3.3.14.6 Kháng thư/ Note of Protest (NoP) 77 3.3.14.7 Mẫu dầu 78 vii 3.3.14.8 Qui trình rời mỏ sớm/EDP (Early Departure Procedure) 79 3.3.15 Tách tàu/unmoor the tanker .79 3.3.15.1 Mở dây mũi trước 80 3.3.15.2 Mở dây tàu lai trước 82 3.3.16 Chuyển người thùng dụng cụ .82 3.3.16.1 Chuyển người thùng dụng cụ tại mỏ 82 3.3.16.2 Chỉ chuyển dụng cụ tại mỏ .83 3.3.16.3 Chuyển người thùng dụng cụ tại Vũng Tàu 83 3.4 Quản lý an toàn và an ninh đối với hoạt động xuất dầu thô tàu chứa tàu lấy dầu tại khu vực mỏ dầu khí .83 3.4.1 Quản lý sự thay đổi (Management of Change) 83 3.4.2 Thỏa thuận an toàn làm hàng giữa tàu chứa tàu lấy dầu .84 3.4.3 Thực hiện danh mục an toàn của tàu chứa tàu lấy dầu 85 3.4.4 Quản lý an tồn q trình hoạt động 85 3.4.5 Các kế hoạch ứng phó tình h́ng khẩn cấp 86 3.4.6 Sơ tán người tình h́ng khẩn cấp .87 3.4.7 Quản lý rủi ro thiết kế 87 3.4.8 Khảo sát độ sâu quanh khu vực mỏ 88 3.4.9 Quản lý an ninh 88 3.4.10 Dừng làm hàng khẩn cấp trình xuất dầu 89 3.4.11 Điều kiện môi trường ảnh hưởng hoạt động xuất dầu 89 3.4.12 Thiết bị cứa sinh, sơ cứu thiết bị y tế: 90 3.4.13 Trang thiết bị chống cháy nổ 91 3.4.14 Quản lý sức khỏe nghề nghiệp 91 3.5 Kế hoạch ứng phó tình h́ng khẩn cấp tàu lấy dầu 92 3.6 Giải pháp nâng cao quản lý rủi ro cụ thể : .93 3.7 Kết luận 94 KẾT LUẬN VÀ KIẾN NGHỊ 95 TÀI LIỆU THAM KHẢO 96 PHỤ LỤC 98 viii DANH MỤC CÁC BẢNG Bảng 1.1 Ma trận đánh giá rủi ro…………………………………… trang 10 Bảng 1.2 Hành động khuyến nghị theo cấp độ rủi ro ……………… trang 10 Bảng 1.3 Những quy định an toàn ngoài khơi của Vương quốc Anh trang 13 Bảng 1.4: Những quy định an toàn ngoài khơi của Na Uy………… trang 15 Bảng 1.5 Những quy định An toàn ngoài khơi của Úc ……….…… trang 15 Bảng 1.6 Những quy định An toàn ngoài khơi của Hoa Kỳ………….trang 16 Bảng 3.1 Ma trận đánh giá rủi ro ………… ……………………… trang 45 Bảng 3.2 Phân tích an tồn cơng việc……………………… ……… trang 46 DANH MỤC CÁC HÌNH Hình 1.1 Sơ đồ quá trình quản lý rủi ro Hình 2.1 Bản đồ phân lô dầu khí ngoài khơi Việt Nam Hình 2.2 Hình minh họa mỏ dầu khí ngoài khơi Hình 2.3 Hình minh họa vùng giới hạn an toàn khu vực mỏ Hình 3.1 Cập tàu chứa làm hàng tại mỏ dầu khí Hình 3.2 Hệ thớng dây ḅc tàu dầu “Mooring Hawser” Hình 3.3 Hệ thớng dây chủn đường ống bơm dầu Hình 3.4 Hình minh họa phương thức nhấc ống kết nối vào đầu nhận dầu ix DANH MỤC CÁC CHỮ VIẾT TẮT STT Tên chữ viết tắt ALARP API ASTM BM 9 10 11 12 13 14 15 16 17 18 19 20 Nghĩa chữ viết tắt (As Low As Reasonably Practicable): mức độ rủi ro thấp đến mức có thế chấp nhận (American Petroleum Institude): Viện dầu khí Hoa Kỳ (American Society for Testing and Materials): Hiệp hội thí nghiệm và vật liệu Hoa Kỳ (Bowman): Người thuộc đoàn xuất dầu, trợ giúp cho Mooring Master (Bill of Ladding): Vận đơn (Crude Oil Washing): Rửa hầm hàng dầu thô (Early Departure Procedure): Qui trình rời mỏ sớm (Designated Person Ashore): Cán bộ/Nhân viên phụ trách hệ DPA thống DWT (Deadweight Tonnage):Trọng tải toàn phần (Floating Production Storage and Offloading): Tàu xử lý, chứa F(P)SO và xuất dầu tại mỏ dầu khí (gọi chung là tàu chứa) FRC (Fast Rescue Craft): Xuồng công tác/cứu hộ (Health, Safety & Environment Management System): Hệ thống HSEMS quản lý Sức khỏe, An toàn và Môi trường (International Safety Management Code): Bợ ḷt Quản lý an ISM Code tồn Quốc tế (International Safety Guide for Oil Tankers and Terminals): ISGOTT Hướng dẫn an toàn quốc tế cho tàu dầu và tàu chứa (International Ship & Port Facility Security Code): Bộ luật quốc ISPS Code tế về anh ninh tàu và bến cảng (Gross Standar Volume): Thể tích tiêu chuẩn, (Net Standard GSV, Volume): Thể tích thực điều kiện tiêu chuẩn, (% Base NSV, % Sediment & Water): Hàm lượng nước cặn, FW (Free Water): BS&W, nước tự do, (Total Calculated Volume): Tổng thể tích tính toán TCV, VEF (Vessel Experience Factor): Hệ số kinh nghiệm của tàu (Marine Environment Protection Committee): Ủy ban bảo vệ MEPC môi trường biển MEZ (Marine Exclusion Zone): vùng giới hạn an toàn khu vực mỏ (Mooring Master): Là người đại diện của mỏ và người dẫn đầu MM đoàn xuất dầu, chịu trách nhiệm đưa tàu lấy dầu vào tàu chứa và các hoạt động liên quan đến việc cập tàu (Manual of Petroleum Measurement Standars): Tiêu chuẩn MPMS hướng dẫn đo lường xăng dầu MSC (Maritime Safety Committee): Ủy ban an toàn Hàng hải BoL COW EDP Phụ lục IV Incident Notification/Thông báo cố/tai nạn INCIDENT NOTIFICATION INCIDENT NO: FACILITY NAME: HEALTH INITIAL INCIDENT CLASSIFICATION: Identify category [H/S/E] and loss / no loss SAFETY ENVIRONMENT LOSS (ACCIDENT)complete Part A DATE of INCIDENT (dd/mm/yyyy): NO LOSS (NEAR MISS)complete Part B TIME of INCIDENT (24hr clock): DAY of WEEK: MON TUE WED THU FRI SAT SUN This report has been compiled with the facts available at the time Full classification will be determined after a full Investigation has been completed Part A: ACCIDENT REPORT INJURY / ILL HEALTH NAME of AFFECTED PERSONNEL: POSITION: DEPARTMENT: AGE: YEARS of COMPANY SERVICE: PERIOD IN PRESENT JOB: NAME of SUPERIOR: NAME of DEPT HEAD/OIM: NATURE of INJURY / ILL HEALTH: ENVIRONMENTAL OIL SPILL YES NO CHEMICAL SPILL YES NO AIR POLLUTION WATER POLLUTION NOISE POLLUTION LIGHT POLLUTION HEAT POLLUTION RESOURCE WASTE GAS YES NO LIQUID YES NO OIL/CHEMICAL SPILL: SUBSTANCE: IMPACT (may be more than one): DESCRIPTION of ENVIRONMENTAL IMPACT: OTHER LOSS OF CONTAINMENT: SUBSTANCE: ASSET DAMAGE: HULL STRUCTURE PIPING MACHINERY EQUIPMENT PRODUCT FIRE/EXPLOSION: FIRE YES NO EXPLOSION YES NO DESCRIPTION of DAMAGE: SHORT DESCRIPTION of INCIDENT: Part B: NEAR MISS REPORT SUBSTANDARD ACT: YES NO SUBSTANDARD CONDITION: YES NO HIGH LOSS POTENTIAL INCIDENT: YES NO SAFETY BARRIER CHALLENGED: YES NO STORM SHORT DESCRIPTION of NEAR MISS: ENVIRONMENTAL CONDITIONS WEATHER CLEAR HAZY CLOUDY RAIN HEAVY RAIN SEA STATE CALM CHOPPY ROUGH VERY ROUGH SWELL HEIGHT (m) WIND NONE LIGHT (1-6kts) MODERATE (7-15kts) STRONG (16-33kts) GALE (>33kts) Insert wind direction RISK ASSESSMENT LOSS POTENTIAL IF NOT CORRECTED SEVERITY POTENTIAL INSIGNIFICANT RISK LEVEL MINOR  LOW MODERATE LIKELIHOOD OF REOCCURENCE MAJOR CATASTROPHE  MODERATE RARE UNLIKELY  HIGH POSSIBLE LIKELY  VERY HIGH ACKNOWLEDGMENT NAME PERSON REPORTING INCIDENT OFFSHORE INSTALLATION MANAGER COUNTRY OPERATIONS MANAGER SIGNATURE DATE ALMOST CERTAIN Phụ lục V Incident Investigation Report/Báo cáo điều tra cố/tai nạn INVESTIGATION FORM INCIDENT NO: FACILITY NAME: WAS INCIDENT REPORTED TO THE AUTHORITIES? YES NO WHICH AUTHORITY: NA AUTHORITY REFERENCE NO: Part A: INVESTIGATION TEAM NAME of LEAD INVESTIGATOR: DATE of COMMENCEMENT: DESIGNATION of LEAD INVESTIGATOR: DATE of COMPLETION: INVESTIGATION TEAM MEMBERS: Part B: INCIDENT DETAILS INCIDENT CLASSIFICATION: NEAR MISS LOST TIME INJURY NON LOST TIME INJURY LOC FTL PTD PPD LWC RWC MTC FAC ENVIRO RELEASE ASSET DAMAGE FIRE/ EXPL SECURITY DETAILED DESCRIPTION OF INCIDENT / NON-CONFORMANCE (attach applicable photos / drawings) DETAILED LoC / SPILL / PERMIT EXCEEDANCE INFORMATION ESTIMATED RELEASE AMOUNT: ESTIMATED VOLUME of SPILL (m3): TYPE of RELEASE: SPILL SUBSTANCE: PERMIT EXCEEDANCE DETAILS: DETAILED ASSET DAMAGE INFORMATION DESCRIPTION of DAMAGE: REPAIR / REPLACEMENT COSTS: $ 2000 $ $ $ TOTAL COST of REPAIR / REPLACEMENT: $ Part C: ROOT CAUSE ANALYSIS IMMEDIATE CAUSES SUBSTANDARD ACTS SUBSTANDARD CONDITIONS ROOT CAUSES INDIVIDUAL FACTORS WORKPLACE FACTORS Operating without authority Inadequate guards / protective barriers Inadequate physical capability Inadequate engineering/design Operating at improper speed Inadequate / defective protective equipment Inadequate physical condition Inadequate management/supervision Making safety devices inoperative Inadequate / defective PPE Inadequate mental state Inadequate recruitment/training/competency Removing safety device Inadequate / defective warning systems Mental stress Inadequate communication Using equipment improperly Inadequate / defective safety devices Improper attitude or motivation Inadequate work standards (PSP) Using defective equipment (aware) Inadequate / defective vessel / aircraft Inadequate skill level Inadequate purchasing Unsafe loading, placing, lifting Defective tools, equipment, materials Communication / language difficulties Inadequate material handling and control Taking unsafe positions Noise / radiation exposure Other (specify) Inadequate contractor selection & oversight Servicing equipment in operation Exposure to energized systems Inadequate work planning/maintenance Failure to follow procedures High / low temperature exposure Inadequate tools / equipment Failure to warn, communicate, coordinate Hazardous environmental conditions Other (specify) Age of equipment Failure to secure, check, monitor Storms, sea state, acts of nature Failure to use PPE Congested / hazardous arrangement Distracting, teasing, horseplay Inadequate ventilation Under influence of alcohol/drugs Inadequate / excessive illumination Other (specify) Poor layout/housekeeping/floor condition Other (specify) CAUSAL ANALYSIS (Written Description): Phụ lục V Incident Investigation Report/Báo cáo điều tra cố/tai nạn INVESTIGATION FORM INCIDENT NO: FACILITY NAME: Part C: CAUSAL ANALYSIS (cont) MANAGEMENT CONTROL A = INADEQUATE SYSTEM B = INADEQUATE STANDARD A B C = INADEQUATE COMPLIANCE WITH SYSTEM / STD C A B x LEADERSHIP & MANAGEMENT COMMITMENT ASSET INTEGRITY MANAGEMENT REGULATORY & COMPLIANCE MANAGEMENT OPERATIONS MANAGEMENT – SAFETY OPERATIONAL RISK MANAGEMENT OPERATIONS MANAGEMENT – HEALTH/ENVIRONMENT DOCUMENT & RECORD MANAGEMENT EMERGENCY & CRISIS MANAGEMENT TRAINING & COMPETENCY MANAGEMENT PERFORMANCE & AUDIT MANAGEMENT COMMUNICATION & CONSULTATION MANAGEMENT INCIDENT AND NC MANAGEMENT PROCUREMENT AND CONTRACTOR MANAGEMENT CORRECTIVE & PREVENTIVE ACTION MANAGEMENT Part D: RECOMMENDED STEPS TO PREVENT REOCURRENCE INDIVIDUAL FACTORS WORKPLACE FACTORS Undergo medical examination Follow revised work standard Address leadership commitment Transfer to another job Attend QHSE Meetings Review design / process x Revise planning / maintenance schedule Instruct how to job Counsel / warn / enforce Job safety analysis (lock out/permit to work) x Guard / repair / modify / provide protection Attend training Review purchasing / contractor standard Provide training Improve housekeeping x Write / revise work standards Remove equipment and replace Part E: CORRECTIVE AND PREVENTIVE ACTION DETAILED CORRECTIVE ACTION ACTION (include training requirements and changes to CAMS/FMS documentation) RESPONSIBILITY TARGET DATE COMPLETED TARGET DATE COMPLETED DETAILED PREVENTIVE ACTION ACTION (include training requirements and changes to CAMS/FMS documentation) RESPONSIBILITY APPROVAL OF EFFECTIVENESS OF CORRECTIVE & PREVENTIVE ACTION FURTHER RECOMMENDATIONS (if any): Ship’s original MCB’s to be replaced with new better designed Units Require MCB replacement time frame from manufacturer NAME SIGNATURE DATE OFFSHORE SAFETY OFFSHORE INSTALLATION MANAGER INVESTIGATION CLOSE-OUT NAME COUNTRY OPERATIONS MANAGER OSTD MANAGER VSP Onshore HSE Office *AMO OPERATIONS MANAGER *PICTURES / DRAWINGS or REFERENCES SIGNATURE DATE C Phụ lục VI Equipment Failure Report/Báo cáo hỏng hóc thiết bị Equipment Failure report Facility: Ref No: Date: Time: Equip Tag: EVENT CHRONOLOGY (DESCRIBE HOW THE EQUIPMENT FAILED) WHAT ACTS / CONDITIONS CONTRIBUTED MOST DIRECTLY TO THE EQUIPMENT FAILURE? (ATTACH RELEVANT DOCUMENTS TO SUPPORT) BASIC FUNDAMENTAL REASON FOR THE EXISTENCE OF THESE ACTS / CONDITIONS ACTION HAS / WILL BE TAKEN TO REMEDY AND PREVENT RECURRENCE (SHORT /LONG TERM, ATTACH DOCUMENT TO SUPPORT) COMPILED BY: ENDORSED BY OIM: Phụ lục VII Internal Audit_Weekly Safety Leadership Walkthrough/Kiểm tra an toàn hàng tuần lãnh đạo tàu Facility Date OIM Week No Attendee Client Rep Attendee Client Rep Attendee Attendee No Subject Walkways and exits E.g (Are all walkways clear and all doors free from obstruction and signs posted)? Hazards E.g (Are all areas free of tripping hazing? Are hoses, cables routed in a manner not to leave a trip hazardard)? Firefighting equipment E.g (Is all fire fighting equipment clearly marked, identifiable, inspected and ready for use)? Manual Alarm call points & ESD E.g (Are they clearly visible, signed and free from obstruction)? Lighting E.g (Are all lamps operational and emergency lighting clearly marked with an “E”)? Noise E.g (Is there a sign depicting the dBa value of the area and the equirement for hearing protection if required? Are earplugs available at the entrance to the area)? Chemicals / Oils E.g (Are all chemicals clearly labelled, store properly and MSDS available at the area? Are all oils / chemicals in bunded areas and additional PPE boxes available and stocked)? Housekeeping E.g (Is the area free of debris? Does the area require washdown or painting)? X Substandard Acts or Conditions Phụ lục VII Internal Audit_Weekly Safety Leadership Walkthrough/Kiểm tra an toàn hàng tuần lãnh đạo tàu Ladders, Scaffold and Access E.g (Is the scaffold required as temporary or does a proper fixed platform require to be fabricated? Is scaffolding tagged for use / not use Are all ladders identifiable and inspected)? Ongoing work activity E.g (If work is ongoing complete the following checks and ask questions) Check as minimum:  Is a PTW required and if so, in place?  Toolbox talk attached? 10  Is the PTW being complied with?  Do all personnel understand the task and the requirements?  Are all tools in good condition?  Are there any substandard acts or conditions being identified?  Are there any exceptional acts or conditions observed? Action OIM Signature By Who Client Rep Signature By when Ops Manager Signature Phụ lục VIII External Audit_Checklist OHSA 18001/Danh mục kiểm tra theo OHSA 18001 High Finding(H) : Major gap / breakdown of stated OHSAS 18001 requirements and safety regulations – NCR to be issued Medium Finding(M) : Non-compliance to certain OHSAS 18001 requirements and safety regulations - CAR to be issued Low Finding (Observation)(L) : Minor inconsistency in implementation of OHSAS 18001 or Dept Processes or potential for improvement observation Does not require formal tracking to closure via NCR or CAR Noteworthy Effort NO 1.0 OHSAS 18001 CLAUSES 4.2 OH & S Policy AUDIT CHECKLISTS Verify the awareness level of OH & S Policy Is the HSE Policy posted at all the work facilities? 4.3.1 Hazard Identification, Risk Assessment & Risk Control Check the latest significant HIRARC records and verify the awareness level Are employees aware of the hazards / risks associated with their activities and how the risks are reduced / controlled? Are there records of hazards having been identified and assessed, i.e HIRA, JSA (Job Safety Assessment) records? (SA uses HIRA and not JSA) Are there any outstanding follow-up actions from these risk assessments? Are appropriate personnel from operations involved in the risk assessment workshops? How are these identified hazards and associated risks communicated to the personnel? Are the risk assessments being regularly reviewed and revisions made to reflect changes in work scope and/or work environment? 3.0 4.3.2 Legal and Other Requirements Check the latest legal register and sampling of legal reference available Are the relevant employees aware of the legal requirements applicable to their activities? Are the legal and other requirements identified as applicable to the organization up to date? Has a legal register been prepared to monitor applicable regulatory requirements for the operating locations? How often is this register updated? Has the organization established a procedure for identifying and access the legal and other requirement that are applicable to the organization? Has BA established the following: i) list of machinery and equipment including the plant layout registered with any registration body ii) list of other certificate of fitness from local authorities (eg Bomba) Has the identified legal and other requirements being taken into account in establishing, implementing and maintaining its OH&S management system? 4.0 4.3.3 Objectives, Targets and Program AUDITOR (S) : AUDITEE(S): Has BA effectively communicated, disseminated & implemented the HSE policy throughout onboard? 2.0 AREA OF AUDIT : Check the Program whether it's in line with the KPI and significant to OH & S Cross reference to monitoring and measurement clause on the KPI analysis and program achievement status Verify with th person in charge, their tracking tools for performance achievement Has BA implemented and maintained the objectives and programmes at each relevant functions and levels as planned? Are employees aware of the HSE objectives? GAPS / FINDINGS DUE BY PROPOSED CORRECTIVE ACTION REMARKS Phụ lục VIII External Audit_Checklist OHSA 18001/Danh mục kiểm tra theo OHSA 18001 High Finding(H) : Major gap / breakdown of stated OHSAS 18001 requirements and safety regulations – NCR to be issued Medium Finding(M) : Non-compliance to certain OHSAS 18001 requirements and safety regulations - CAR to be issued Low Finding (Observation)(L) : Minor inconsistency in implementation of OHSAS 18001 or Dept Processes or potential for improvement observation Does not require formal tracking to closure via NCR or CAR Noteworthy Effort NO OHSAS 18001 CLAUSES AUDIT CHECKLISTS Have the programmes been monitored and reviewed at planned intervals? Have the Objectives and Targets been set for the year (or operating period?) How are these objectives and targets monitored and communicated to the staff? 4.4.1 Resources, roles, responsibility, accountability and authority Interview with HSE and/or operation personnel their responsibility Verify with the JD and/or documented evidence Is the (vessel) top management aware of its responsibilities to maintain the HSEMS/SMS? Are employees aware of those personnel who manage, perform and verify activities having effect on OH & S risks? Are the existing resources adequate in ensuring effective implementation, and maintenance of the system? Is the Management Team Org Chart updated to reflect the latest roles and responsibilities? Are roles and responsibilities as well as reporting lines of personnel clearly defined? 6.0 Has BA ensured that all persons under its control who perform tasks which have 4.4.2 Competence, impact on HSEMS are competent on the Training and Awareness basis of appropriate education, training or experience? Has BA identified training needs and taken actions to ensure the provision of training? Verify the records associated with competence assessment, training needs, training plan, training records, etc Are induction trainings conducted for all new personnel? Verify records? Are refresher trainings conducted for all personnel based on requirements? How are these requirements determined? 7.0 4.4.3 Communication, participation and consultation AUDITOR (S) : AUDITEE(S): Have the programmes address clearly the responsibility, time frame and detail action how to achieve the objectives? 5.0 AREA OF AUDIT : Interview Person in charge method of communication Verify the evidence of environmental communication a) Has the organization established procedure for ensuring that pertinent HSEMS information is communicated to an from employees and other interested parties (e.g contractor or visitors) b) Has the internal communication covered both top down and bottom up mechanism? c) Has the organization established external communication (outside in/ inside out) for dissemination of pertinent HSE information to interested parties? d) Has the external procedure included the mechanism to receive, document, and respond to relevant communications from external interested parties? e) has the organization established a procedure to notify regulatory bodies on any breaches of law and communication with public authorities regarding emergency planning or changes in relevant issues GAPS / FINDINGS DUE BY PROPOSED CORRECTIVE ACTION REMARKS Phụ lục VIII External Audit_Checklist OHSA 18001/Danh mục kiểm tra theo OHSA 18001 High Finding(H) : Major gap / breakdown of stated OHSAS 18001 requirements and safety regulations – NCR to be issued Medium Finding(M) : Non-compliance to certain OHSAS 18001 requirements and safety regulations - CAR to be issued Low Finding (Observation)(L) : Minor inconsistency in implementation of OHSAS 18001 or Dept Processes or potential for improvement observation Does not require formal tracking to closure via NCR or CAR Noteworthy Effort NO OHSAS 18001 CLAUSES AUDIT CHECKLISTS i appropriate involvement in hazard identification, risk assessments and determination of controls; ii appropriate involvement in incident investigation; iii involvement in the development and review of HSE policy and objectives; iv consultation where there are any changes that affect their EMS v representation on environmental matters Are toolbox / pre-start meeting being conducted onboard? Who conducts them? Are the topics discussed in the toolbox / prestart briefing recorded/logged? Are the records available? Are regular HSE meetings conducted onboard, who chair’s the meeting? What is the mechanism used to monitor Beharvioural risk observations? Is the monthly HSE meeting material made available to those who miss the meeting? Posted at the facilities or communcated via email? 9.0 4.4.5 Control of Documents Desktop verification 10.0 4.4.4 Documentation Desktop verification Are the current versions of relevant documents are available at all locations where operations essential? (refer to distribution list) Has the organization maintain and control their documents in accordance to established procedure? Has the document of external origin been identified and their distribution been controlled (refer to masterlist and distribution list)? 4.4.6 Operational Control AUDITOR (S) : AUDITEE(S): f) Has the organization established, implemented and maintained mechanisms for participation of workers by their : i appropriate involvement in hazard identification, risk assessments and determination of controls; ii appropriate involvement in incident investigation; iii involvement in the development and review of HSE policy and objectives; iv consultation where there are any changes that affect their HSEMS v representation on HSE matters g) Has the organization established, implemented and maintained a mechanism for consultation with contractors where there are changes that affect their HSEMS? 11.0 AREA OF AUDIT : i) Check the availability of documented operational control required to be implemented by suppliers, vendors or subcontractor Are employees involved in operations and activities associated with risks, are aware of the stipulated operating procedures? Verify these activities (including designing, process, installations, purchasing, maintenance) Verify also operational control procedures: PTW, Hazard observation Has the organization implemented the procedure for management of change? GAPS / FINDINGS DUE BY PROPOSED CORRECTIVE ACTION REMARKS Phụ lục VIII External Audit_Checklist OHSA 18001/Danh mục kiểm tra theo OHSA 18001 High Finding(H) : Major gap / breakdown of stated OHSAS 18001 requirements and safety regulations – NCR to be issued Medium Finding(M) : Non-compliance to certain OHSAS 18001 requirements and safety regulations - CAR to be issued Low Finding (Observation)(L) : Minor inconsistency in implementation of OHSAS 18001 or Dept Processes or potential for improvement observation Does not require formal tracking to closure via NCR or CAR Noteworthy Effort NO OHSAS 18001 CLAUSES AUDIT CHECKLISTS Has the organization established documented procedures and work instruction on these activities in order to ensure that they are carried out under specified conditions and their absence could lead to deviations from the HSEMS policy and the objectives Has the procedure stipulate the operating criteria? Has the organization established procedures related to the identified HSEMS risks of goods, equipment and services purchased and/or used by the organization? Has the organization established and maintained procedures for the design of workplace, process, installation, machinery, operating procedures and work organization, including their adaptation to human capabilities in order to eliminate/reduce environmental risks at their source? Has BA communicated the relevant procedures and requirements to suppliers and contractors? HAZARDOUS SUBSTANCES CONTROL Do you have a system of controlling hazardous substances? Are copies of MSDS available? COSHH info available? Where are the MSDS kept? Controlled and managed by whom? Verify FIRE FIGHTING & EMERGENCY EQUIPMENT How often is fire fighting equipment inspected on site? Are records of inspections/tests available? Are fire alarms tested regularly? LIFTING EQUIPMENT Do you have a system for controlling your lifting equipment, i.e colour coding? Inspection? Do you keep copies of certificate of all lifting equipment onboard or onsite? WASTE MANAGEMENT Do you have a system in segregating waste generated onboard or onsite? Verify waste management records (garbage record book) and waste disposal receipt for hazardous and non hazardous waste Verify shedule waste disposal receipt and whether its disposed by approved operator? HOUSEKEEPING Verify the implementation of hazardous waste storage on board 4.4.7 Emergency Preparedness and Response AUDITOR (S) : AUDITEE(S): Has the organization identified a list of operations and activities that are associated with identified risks where control measures need to be applied? 12.0 AREA OF AUDIT : Desktop verification: Line of Communication during emergency Check the ERP Plan whether the env related incidents are covered Check the Emergency Drill Report and post mortem report of the environmental related emergency/incident GAPS / FINDINGS DUE BY PROPOSED CORRECTIVE ACTION REMARKS Phụ lục VIII External Audit_Checklist OHSA 18001/Danh mục kiểm tra theo OHSA 18001 High Finding(H) : Major gap / breakdown of stated OHSAS 18001 requirements and safety regulations – NCR to be issued Medium Finding(M) : Non-compliance to certain OHSAS 18001 requirements and safety regulations - CAR to be issued Low Finding (Observation)(L) : Minor inconsistency in implementation of OHSAS 18001 or Dept Processes or potential for improvement observation Does not require formal tracking to closure via NCR or CAR Noteworthy Effort NO OHSAS 18001 CLAUSES AUDIT CHECKLISTS Are emergency equipment tested / maintained adequately? Verify records of practice drills, maintenance of emergency equipment, training on EPR Verify the frequency Is the current Emergency Response Plan updated with the latest information, contact details, etc? How are the staff made aware of the Emergency Response Plan? Do they know their respective duties and responsibilities when an emergency arises? Is there evidence that training/drills on emergency responses have been carried out? How often have these drills been conducted? First Aiders trained and first aid boxes available and up to date? Verify oil spill equipment kit available 4.5.1 Performance Measurement and Monitoring Is equipment needed for performance measurement, Is the equipment monitored adequately? Check is there any safety monitoring is required and/or conducted? Check calibration records if safety & health monitoring required to be conducted 14.0 4.5.2 Evaluation of Compliance Check legal compliance assessment conducted by department and verify documented records Has the organization established a procedure for periodically evaluate compliance with applicable legal requirements and other requirements? Has the procedure defined : i) mechanism to evaluate the compliance ii) frequency of evaluation iii) person responsible to carry out the evaluation iv) recording of the results of compliance status Has the organization demonstrated that it has evaluated compliance with the applicable legal requirements and other requirements to which it has subscribed? Has the organization complied with all the requirements? 15.0 4.5.3.1 Incident Investigation AUDITOR (S) : AUDITEE(S): Has the ERP being communicated and are relevant employees trained? Has the organization test the EPR procedures where practicable periodically? Has the emergency procedures include : i the responsibility, authority and duties of personnel during emergency; ii evacuation procedures; iii identification and location of hazardous materials, and emergency action required; iv interface with external emergency services; v communication with statutory bodies, neighbours and public; vi protection of vital records and equipment; availability of necessary information during the emergency eg plant layout, contact numbers, MSDS, etc 13.0 AREA OF AUDIT : Is the document or procedure extablised and maintained in which responsibility and authority are laid down for: • the handling and investigation of accidents, near-misses, unsafe situation and other non-conformities GAPS / FINDINGS DUE BY PROPOSED CORRECTIVE ACTION REMARKS Phụ lục VIII External Audit_Checklist OHSA 18001/Danh mục kiểm tra theo OHSA 18001 High Finding(H) : Major gap / breakdown of stated OHSAS 18001 requirements and safety regulations – NCR to be issued Medium Finding(M) : Non-compliance to certain OHSAS 18001 requirements and safety regulations - CAR to be issued Low Finding (Observation)(L) : Minor inconsistency in implementation of OHSAS 18001 or Dept Processes or potential for improvement observation Does not require formal tracking to closure via NCR or CAR Noteworthy Effort NO OHSAS 18001 CLAUSES 4.5.3.2 Nonconformity, corrective and preventive action AUDIT CHECKLISTS Check is there any NCR register, Incident investigation and environmental observation Verify the repeatative environmental related NCR & the close out status 17.0 Has the organization established a list of HSEMS records that include: • training ; • inspections reports; • audit reports; • consultation reports; • accident/incident reports; 4.5.4 Control of Records • accident/ incident follow-up reports; • meeting minutes garbage record book oil record book • Report of emergency response drills; drinking water • HIRAC records Has the list indicated the location and retention period of the records? Are retention times appropriately established for these records and in line with requirements of legal (if applicable)? SUBCONTRACTOR SUPPLIER HSE MANAGEMENT Are HSE requirements clearly spelt out to suppliers / subcontractors? How is the HSE performance of suppliers / subcontractors monitored? Are audits conducted if necessary to verify HSE compliance? 18.0 4.5.5 Internal Audit Check BU HSE Internal audit schedule and plan Check few samples of the report on its coverage and status 19.0 4.6 Management Review AUDITOR (S) : AUDITEE(S): Are the events are sufficienly analyzed, so that the true causes can be recognized? 16.0 AREA OF AUDIT : Check if any MR conducted at business unit level Verify the input and output of the MR from minutes taken GAPS / FINDINGS DUE BY PROPOSED CORRECTIVE ACTION REMARKS Phụ lục IX External Audit_Finding Report OHSA 18001/Báo cáo bất cập kiểm tra theo OHSA 18001 Report No : AUDIT FINDING REPORT Name of Auditor(s) : Date(s) of Audit : Area/Location being audited : Auditee(s) : Name : Audit Type : Job Title : PLEASE REFER AUDIT ITINERARY ISO Clause Reference : Checklist Reference : Procedures Reference : Purpose of Audit : Summary of Audit Results : LEAD AUDITOR HEAD OF DEPARTMENT Signed : Signed : Name : Name : Date : Date : Phụ lục X SIMOPS Daily Log/Nhật ký theo dõi hoạt động đồng thời Phụ lục XI Matrix of Permitted Operations/Ma trận hoạt động cho phép thực