CoP 03 Organisation Resources and Capability Final 07 - 12 - 2017

Health, Safety, Environment and Quality Management System
Fujairah Oil Industry Zone
Code of Practice (CoP)-03

for
Organisation, Resources and Capability
Doc. No.: HSEQ-CoP-03, Revision 0
Date of Revision: 5th December 2017 Effective from: 1st January 2018
This document shall not to be reproduced without written permission from the FOIZ CEO.
Note: Printed copies shall be considered as uncontrolled unless otherwise stamped “CONTROLLED COPY” in red ink and numbered.
Code of Practice-03 HSEQ-COP-03
for Rev. 0, 5th December 2017
Organisation, Resources and Capability Page 2 of 23
Document Authorisation
Document Authority / Owner Document Controller / Custodian

HSEQ Coordinator Management System Administrator
Is overall responsible for the content, quality, adequacy, and Is responsible for maintaining updated versions of this
continuing applicability of this document. document.
Revision Record
Revision Date of Reason for Revision / Description of Prepared by Reviewed by Approved by
Number Revision Changes (Title) (Title) (Title)
DNV GL Chief Executive

5th December Deputy Chairman
0 Issued for use (Consultant) Officer (CEO)
2017
Document Control
Deviations and deferments from the requirements specified in this document are permitted only if
approved in writing by the FOIZ Chief Executive Officer (CEO). Any such deviations and deferments shall be
approved for only a limited and specified time, and shall be supported by a risk assessment and control.
Before referring to this document, it is the user's responsibility to use the latest version (hard or electronic
copy).
Copy Control
The electronic version of the document is available on the FOIZ website and shall be considered as the
“Controlled Document”. Printed copies shall be considered as uncontrolled unless otherwise stamped
“CONTROLLED COPY” in red ink and numbered on the front page.
Controlled copies can only be issued by the Document Controller (Executive Secretary) and it is the
responsibility of the Document Controller to maintain a record of all controlled copies issued and to ensure
that all controlled copies are recalled and reissued whenever the document is revised.
FOIZ employees, operators, investors, stakeholders and authorised contractors may maintain uncontrolled
printed copies of this document for their personal use. They are however responsible for ensuring that only
the up to date version of this document is used at any time.
Review Cycle
This document shall be reviewed and revised as necessary at least once in 3 years by the Document
Authority. In addition, this code of practice must be reviewed and revised as necessary whenever there are
any significant changes in FOIZ’s HSEQ MS Manual affecting the Code of Practice (CoP). Such changes may
include changes to the HSEQ MS policies, organization structure, roles and responsibilities and any
management or control procedure directly linked to this CoP. What constitutes a “significant” change must
be determined by the CEO and the HSEQ Coordinator in line with the criteria specified in the Management
of Change (Ref. 01).
Feedback
All FOIZ employees, operators, investors, stakeholders, authorised contractors and any other users of this
document are encouraged to provide their feedback to the CEO that could result in an improvement. This
feedback could be on matters relating to the structure, format and / or content of this manual and such
feedback can be provided by email or any other means.
Terminology
The terminology used in this document has very specific and clear meaning within the context of FOIZ. The
verbs “should”, “shall” and “must” used throughout this document denote that the action is a mandatory
requirement. These terms are used interchangeably with no specific difference in the intent.
Throughout the HSEQ MS documentation, the term “Plant” refers to the companies that are already
operating and those who have signed agreements to become operational within the FOIZ area.
List of Abbreviations and Definitions:

ALARP As Low As Reasonably Practicable
CEO Chief Executive Officer
An organisation that has a legal contract to supply services or materials to a FOIZ or a
Contractor Plant. Can also be known as the Main Contractor if Sub-contractors are required to
complete the full extent to supply the services or materials.
COP Code of Practice
DMS Document Management System
FEED Front End Engineering and Design
FOIZ Fujairah Oil Industry Zone
HAZID Hazard Identification
HSE Health Safety and Environment
HSE Critical The activities or work tasks that are applied to the HSECES in preventing events with
Activity potential to cause serious harm to people, property and the environment.
HSE Critical
Equipment and The equipment and system (hardware and software) in the plant, failure of which may
Systems lead to an undesirable event with severe consequences are called HSECES.
(HSECES)
A person appointed by the Plant management who has the overall responsibility for
HSE Lead HSE matters. The HSE Lead should be independent and reports to the most senior
person within the Plant.
The “Team” can be one or more people within a Plant that has sufficient HSE
HSE Team knowledge and experience to implement the HSE Plan and all the requirements within
DRAFT
the FOIZ Codes of Practice.

HSECES Health Safety and Environment Critical Elements and Systems
HSEIA Health. Safety and Environmental Impact Assessment
HSEQ MS Health, Safety, Environment and Quality Management System
ISO International Organization for Standardization
IT Information Technology
ITT Invitation To Tender
A major project is one that will increase or reduce the capacity of the existing Plant. It
Major Project can also be a new project within the FOIZ area that includes the construction of a
Plant.
MSDS Material Safety Data Sheet
OHSAS Occupational Health and Safety Assessment Series
P&ID Piping and Instrumentation Diagram
The physical asset that is within the FOIZ area and is either operational or in the
Plant
process of development.
The person appointed by the Project Owner to manage the entire process of
Project Manager delivering the project within the agreed timeframe, within the agreed budget and to
the requirements set out in the FOIZ HSE Management System.
An organisation that has a legal contract with the Main Contractor and will work under
Sub-contractor
the same contractual obligations as agreed between FOIZ or the Plant management.
TNI Training Need Identification
TRA Task Risk Assessment
Table of Contents
List of Abbreviations and Definitions: ...................................................................................... 4
3 Introduction ....................................................................................................................... 7
3.1 HSE Organisation, Roles and Responsibilities ....................................................................................... 7
3.1.1 HSE Organisation in Projects ........................................................................................................... 7
3.1.2 HSE Roles and Responsibilities in Major Projects .......................................................................... 8
3.1.3 Quality .............................................................................................................................................. 9
3.1.4 Management of Change .................................................................................................................. 9
3.1.5 HSEQ Organisation in Operational Plants ....................................................................................... 9
3.2 HSE Competence and Training ..........................................................................................................10
3.2.1 HSE Competency in Plants ............................................................................................................ 10
3.2.2 HSE Training .................................................................................................................................... 12
3.2.3 Training Process Overview ............................................................................................................. 12
3.2.4 HSE Training Needs Identification ................................................................................................. 13
3.2.5 HSE Training Plan ............................................................................................................................14
3.3 Contractor HSEQ Management ......................................................................................................... 15
3.3.1 Criteria for Determining HSE Involvement in Contracts .............................................................. 16
3.3.2 Contractor Pre-Qualification .......................................................................................................... 17
3.3.3 Tendering and Award of Contract ................................................................................................. 17
3.3.4 Contractor Mobilisation ................................................................................................................ 18
3.3.5 Contract Close-out ......................................................................................................................... 19
3.4 HSEQ Communication ........................................................................................................................ 19
3.4.1 Shift Handover ............................................................................................................................... 20
3.4.2 Toolbox Talks ................................................................................................................................. 20
3.4.3 HSE Meetings ................................................................................................................................. 20
3.4.4 HSE Alerts ....................................................................................................................................... 20
3.4.5 Management Tour Outputs ........................................................................................................... 21
3.4.6 Promotional Campaigns ................................................................................................................. 21
3.4.7 HSE Climate Surveys ....................................................................................................................... 21
3.5 HSEQ Documents, Data and Records Management ......................................................................... 21
3.6 List of References .............................................................................................................................. 23
List of Tables
Table 1: HSE Competence Framework ................................................................................................................. 11
Table 2 HSE Involvement Criteria ........................................................................................................................ 16
List of Figures
Figure 1: Principles of HSE Competence Framework ......................................................................................... 10
Figure 2: HSEQ Training Process Overview ......................................................................................................... 13
Figure 3: Training Needs Identification................................................................................................................14
Figure 4: Overall HSEQ Contractor Management Process ................................................................................ 16
3 Introduction
Adequate and competent human resources are required, in addition to the hardware and software systems,
for delivering the HSEQ Management System (HSEQ MS) within FOIZ and the Plants.
Within this CoP, FOIZ sets out the requirements to ensure the specifics of HSEQ management are duly
considered within the Plants to provide adequate personnel who will implement and sustain the HSEQ MS.
To ensure that HSEQ is continually improved, the Plant management will annually develop a HSEQ Plan to
be implemented during the following year.
Within the following section the term HSE is used regarding competence and capabilities. The Quality
aspect is considered in 3.1.4.
HSE competence and capability is not only a requirement for FOIZ or the Plant HSE team, it is applied to all
personnel who are involved in safe systems of work and those who carry out activities on HSE critical
equipment and systems. In some instances, Contractor personnel are also involved in HSE critical activities
and it is the responsibility of the Plant management to ensure (through the contracting process and
monitoring) these people have the necessary skills, experience and knowledge to perform the work tasks
safely.
Training of personnel in HSE activities will be structured to meet the requirements identified within this
CoP. Training is just one element of a development process for employees within FOIZ or the Plants, there
is also a requirement to assess competency before a person can be fully conversant with an HSE critical
process or activity. Competency assessments are required at the Plants to give assurance to the
management that the designated people have the capability to perform the work tasks in a safe manner.
The creation and control of HSEQ information is an essential process for both FOIZ and Plant management
to have assurance on the HESQ MS process. The documentation, in either paper or electronic format is
required so that HSEQ activities are carried out at the Plant in a consistent manner.
This Code of Practice contains 5 sub-elements. The FOIZ requirements under each sub-element are
specified in the following sub-sections.HSE Organisation, Roles and Responsibilities
The Plant management will develop the required documents that provide guidance on the approach taken
to implement and sustain the HSE organisational structure, how it functions and determines the roles and
responsibilities for HSE activities.
There are 2 main aspects for the HSE Organisation, Roles and Responsibilities within this CoP. These are for
a Project and for an operational Plant. The following are the requirements set out by FOIZ for the resource
requirements for both Projects and operational Plants.
3.1.1 HSE Organisation in Projects

For any major project, a main Contractor will be appointed to deliver the project within time, cost and the
HSE requirements. The main Contractor is responsible to apply the HSE MS to all subcontractors without
exception. The term “Contractor” within this document refers to the main Contractor and all
Subcontracting organisations.
For the development of a new Plant, the main Contractor will provide sufficient information within their
tender to prove that they have considered and will apply sufficient resources to deliver all the required HSE
aspects within either the FOIZ or Plant HSE Management System and any additional requirements set out
by either FOIZ or the project originator.
For an expansion project within the FOIZ area, the Plant management and their stakeholders will have the
primary responsibility for the assessment of the HSE requirements. The FOIZ involvement for an expansion
project is assessed on a case by case basis and is required if there is a potential impact on the neighbouring
Plants, the Port of Fujairah, the Free Zone or the local community.
The term Project Manager is the person appointed by the Contractor or the Plant with the relevant
experience and knowledge to have the overall accountability to provide and manage the internal and
external resources to deliver all the agreed components for HSE within the HSE MS.
Dependent upon the scale and complexity of a major new project, a full time (or part time) HSE Manager
will be appointed by the Contractor or the Plant. Justification for not appointing a HSE Manager within the
project must be given to the FOIZ CEO (who has oversight of HSE compliance) for the approval to proceed
with regards to HSE aspects. The HSE Manager will report to the Project Manager or Senior Plant Manager
and will be responsible for the safety, health and environmental aspects of the project. For expansion
projects the Plant must determine if their internal HSE resources are sufficient to manage all HSE aspects
of the project. If so, then the requirements stated within this CoP that refer to the HSE Manager within a
project will be applied to the designated Plant employee with responsibility for HSE.
HSE Engineers will be appointed within the project based upon the specific requirements set out in the
Project HSE Plan. All the HSE Engineers will have sufficient knowledge and understanding of HSE systems
that are required for the specific project. The number of HSE Engineers will vary during the project lifecycle
and it is the responsibility of the HSE Manager to ensure adequate personnel are available during the
project.
For an operational Plant, the HSE resources will be determined by the size and complexity of the facility.
The HSE function shall be independent of other functions and will report to the Senior Plant Manager.
3.1.2 HSE Roles and Responsibilities in Major Projects

For major new projects, the HSE Manager will develop the Project HSE Plan and this will be approved by
the Project Manager who will consult with the FOIZ CEO on risk mitigation aspects.
For expansion projects the approval will be by the Senior Plant Manager or the Project Manager if it has
been directly appointed by the Plant. If FOIZ is involved in the project (as stated in Section 3.1.1) then the
Plant HSE Lead will consult with the FOIZ HSE Coordinator prior to the approval of the Project HSE Plan.
During the front-end engineering design (FEED or basic engineering) stage of the project, the Project
Manager shall ensure that the relevant HSE studies within the Code of Practice No. 05 are conducted.
Plants shall include as a part of the HSE Plan the organization chart and the roles and responsibilities of the
key roles. For any project directly managed by FOIZ, responsibilities shall be as follows:
 The Project Manager will be responsible for maintaining a project data management system
(paper or electronic) that will contain all the necessary HSE information that can be applied in the
project and at the handover to the commissioning team.
 The HSE Manager is responsible for implementing and maintaining the HSE Risk Register, also
known as the Hazards and Effects Register. The Risk Register is required to demonstrate that all
hazards and effects have been identified, are understood, and are being properly controlled. The
supporting documentation includes reports of studies such as HAZID etc.
 The HSE Manager is responsible for ensuring that all the relevant aspects stated within the CoPs
are communicated and fully understood by the project personnel (including contractors and sub-
contractors). A HSE Communications process will be part of the HSE Plan for the Project and shall
follow the requirements in the Section 3.4.
 The Project Manager shall be responsible for filing and maintaining all the required external
approvals, permits, licenses etc. until the project is handed over.
 The Project Manager shall ensure that the equipment and materials supplied by the vendors
(procurement contractors) fully meet the contract specifications through inspection and
verification.
 HSE Engineers are responsible for ensuring the planned and day to day activities, within the
Project HSE Plan are being adhered to by the Contractor and Sub-contractors.
 To ensure the quality within the project is maintained, the Project Manager shall be responsible for
ensuring that, at each stage of the project development, the project documents such as the basic
design, layout plans, detailed engineering, P&ID, HSE studies etc. are submitted to the regulatory
agencies (Ministry of Environment, Civil Defence, FOIZ etc.), reviewed, and approved by the
concerned regulatory authorities and other external stakeholders.
3.1.3 Quality
All Plants and Projects shall have a process in place to ensure that the incoming goods (materials and
equipment) are inspected and verified at the time of delivery, to ensure they fully comply with the
specifications and the delivery requirements shown on the purchase order. This responsibility shall lie with
the project Procurement team for the goods delivered at the site.
If any goods received are found to be substandard (damaged or off-spec), they shall be either returned to
the supplier or quarantined until they are replaced or remediated. It shall be ensured that substandard
goods are not put into use. The quarantining items of may require a physical location that cannot be
accessed unless an authorised person from the Plant or project allows the release of the items.
For all equipment received, the equipment datasheets provided by the manufacturer / vendor shall be
saved in the data management system, and communicated to the end users.
For all hazardous goods received, the Material Safety Data Sheets (MSDS) provided by the supplier shall be
saved in the project data management system, and communicated to the end users.
3.1.4 Management of Change

Any changes proposed to the project design or project HSE Plan at any stage of the project development
shall be subjected to a change management process (see Code of Practice No. 05 (5.4)).
3.1.5 HSEQ Organisation in Operational Plants

The HSE organisational requirements are dependent upon the scale and complexity of the Plant. The Plant
management shall deploy adequate resources to meet all the requirements within the FOIZ HSEQ MS, the
Plant HSE MS and those required by the regulatory authorities. The quality aspects are allocated to
competent personnel by the plant management. For HSE aspects, the following sections are applicable.
Each Plant will have a person designated as the HSE Lead (or similar title) who reports directly to the Senior
Plant Manager and is independent of any other function to prevent a conflict of interest. The HSE Lead will
be supported by HSE Engineers (or similar title) who will provide the day to day resource for ensuring the
HSE Plan is implemented and all HSE related activities are conducted.
The Plant HSE Lead will be the focal point between all the departments e.g. engineering to provide
sufficient support in the continual improvement of the Plant HSE performance.
The Plant management must determine the positions that are considered as HSE critical. HSE critical
positions are those job positions entrusted with the responsibility to perform HSE critical tasks. While every
individual is expected to have some role in controlling the HSE hazards and risks, the focus shall be mainly
on the tasks derived from a risk assessment that are associated with high risks that without sufficiently
applied controls could lead to a major accident hazard.
The method for determining the HSE critical positions is described below:
HSE Critical Equipment or System (HSECES) – Consider what machinery, equipment, computer programs
and/or materials that are likely to result in non-conformity regarding product/service quality, major loss to
people, property, process and/or environment when worn, damaged, abused, misused or improperly
applied. HSECES has a purpose to prevent or limit the escalation of a major accident.
HSE critical activities – The activities or work tasks that are applied to the HSECES in preventing events
with potential to cause serious harm to people, the environment and property.
HSE critical positions – The job types / positions that are considered essential for managing the HSE
performance and compliance, and hence prioritised for competence and training.
All the following criteria are to be applied by the Plant management to give an assurance that the HSE
critical activities are being carried out by competent personnel:
 All HSE critical activities have defined competency requirements which are periodically reviewed
and improved, as appropriate,
 All personnel performing HSE critical activities are appropriately experienced / qualified and
trained to ensure they are competent to undertake and implement the risk control measures,
 An HSE competency assurance process is in place for all personnel who perform HSE critical
activities. Competency shall be reassessed at intervals that are appropriate to their criticality.
Shortfalls will be documented and addressed as part of the training needs analysis,
 A comprehensive and structured training system to develop competency for all staff involved in
managing HSE critical activities is in place,
 Recruitment, deployment and succession plans are in place to enable the correct level of subject
matter expertise within HSE critical activities to be applied.
3.2 HSE Competence and Training
3.2.1 HSE Competency in Plants

Training of personnel in HSE activities must be structured to meet the requirements identified within this
CoP. Training is just one element of a development process for employees, there is also a requirement to
assess competence before a person can be fully conversant with an HSE critical process or activity.
Competency assessments are required to provide assurance to the Plant management that the designated
people have the capability to perform the allocated work tasks in a safe manner.
HSE competence can apply to Contractors working on HSE critical equipment, hence it is important to
gather as much evidence as possible through the contracting process to check qualifications and
experience (usually verbal interviews) on the competence of the person(s) who will carry out the HSE
critical activity. Developing good working relationships with Contractors helps in the assessment process
by supplying the same people to do specific tasks for the Plant.
The Plant management should develop a HSE competence framework which is designed to help assess the
ability of the employees and contractors to create competent people. In the absence of an internal
competence framework, the Plant can adapt the following as illustrated in Figure 1.
Manpower development
HSE critical activities
Human Resources
HSE policies and procedures
Recruitment, promotion and
HSE management system
succession planning
IDENTIFICATION INTEGRATION
REVIEW IMPLEMENTATION
Feedback Assessment & verification

Assessment standardisation Training Needs Analysis
Improvement HSE Training matrix
Figure 1: Principles of HSE Competence Framework
Each stage in the HSE Competence Framework is described in Table 1.

Table 1: HSE Competence Framework
Stage Description
Identification  Documentation of HSE policies & procedures are applied and controlled
 All HSE critical activities are defined
 Competency levels are recorded and are periodically reviewed and
improved as appropriate
 The HSE Management System is linked with the HSE competence
framework
Integration  Selection and interview of individuals are completed by the Plant

management using HSE competence summaries (in job descriptions) as
reference material for the roles that contain HSE critical tasks.
 Defined competence criteria / standards needed to perform HSE critical
activities
 Employees are assessed by line management / HSE Lead against the
agreed competence criteria / standards
Implementation  There is a competence assurance process promotion / progression

criteria for HSE critical positions
 A process of assessing employees by competent assessors / validators
against the agreed competence criteria / standards
 A process of training needs identified through evaluation of HSE risks
associated with a job / activity, conducted by an experienced and
competent person
 The training needs for all levels are identified in the HSE training matrix
and according to the requirements set within the relevant Task Risk
Assessment and other Risk Assessments
Review  Feedback from the competence assurance assessment (initial

assessment, annual appraisal and promotion / progression) shall clearly
indicate areas where performance was below the defined standard and
include an agreed plan for development of individual competence
 The discussion shall also specify the date of the next assessment,
ensuring adequate time and provision for completion of competence
development targets and training where necessary
 Formal audits of the process must be conducted at regular intervals to
check and verify elements of the competency assessment process. The
scope, extent and frequency of the audits is dependent upon the nature
and risks identified within the risk assessment process described in the
Code of Practice No. 05.
Plants shall assess the HSE competency of each relevant employee (or directly supervised contract worker)
through a process that includes an informal day-to-day job evaluation by the immediate line supervisor and
the annual formal performance appraisal by the department manager. The day-to-day evaluation is based
upon the way an employee carries out the specific tasks that support HSE critical equipment and systems.
The HSE competency and appraisal of contract personnel is the responsibility of the Contractor. The Plant
management are accountable to ensure the competency and appraisal of individuals working at the Plant is
carried out through the contracting process as shown in Section 3.3.
3.2.2 HSE Training

The Plant management will create a training plan which will include specific HSE training and development
activities. The training plan is then applied as the HSE training program.
The requirement for HSE training applies to all employees, and contractors1 working for and / or on behalf
of the Plant management. The HSE training program will be communicated to new employees and
explained during the induction and orientation process.
The HSE training program can be considered in the following categories:
 Induction / Orientation training,
 On the Job training,
 Mandatory / required training (role specific),
 HSE training identified by risk assessments (as and when applicable),
 Internal training,
 External training,
 Certification training, and
 Refresher training.
3.2.3 Training Process Overview

Both FOIZ and the Plant management are continually reviewing legal, regulatory and industry requirements
that may have an impact on the organisation (Code of Practice No. 02). One method for compliance may be
the training of individuals or workgroups in specific activities.
The Training Needs Identification (Section 3.2.4) will consider an individual or work group requirements
that can then form part of the training plan.
Competency of personnel who have attended the training course is determined by line management after
the training event in discussion and through work task observations as described in the Code of Practice No.
09 (9.1).
The overall process for delivering the HSE training program in FOIZ is shown in Figure 2.
1Contractors
are considered for HSE critical activities and for those who are directly supervised by the Plant
management.
Regulator
Legal Requirements Industry Best Practice
Requirements
HSEQ Annual Objectives
Training Needs Identification
Training Development Plan
Training Objectives
Teaching methods
Lesson plans
Method of delivery
Training frequency
External Training Program Delivery Internal
Certification Levels
Competency Assessment
Training Evaluation and Continuous

Improvement
Performance Review
Figure 2: HSEQ Training Process Overview
3.2.4 HSE Training Needs Identification

Plants shall implement internal mechanisms to ensure that specific HSE training is identified for the
different job positions held by employees. Plants shall also implement internal processes to ensure that
this training has been adequately delivered.
The HSE training needs shall be reviewed annually or whenever there is a reassignment of employees.
As a guideline, Figure 3 shows a process to conduct an initial Training Needs Identification. In absence of
other methods this approach can be used by the Plants if required.
Core Competency 1 Core Competency 2 Core Competency 3
Job / Task Analysis
Knowledge Skills Competence
Needs Assessment
Training Requirements
Figure 3: Training Needs Identification

The frequency of the training is determined for the overall training plan (Section 3.2.5).
FOIZ / Plants shall have in place an annual performance appraisal considering HSE related subjects
(performance, targets achievement, training, etc.). The HSE aspects of an annual performance appraisal for
can include as a minimum the following:
 Setting individual job performance targets including HSE performance targets for persons in HSE
critical positions,
 Evaluating the actual performance against the targets through 2-way communication, and
 Identifying training needs for job competency improvement as well as HSE competency
improvement.
3.2.5 HSE Training Plan

Each Plant will have an HSE training process which should include the following as a framework of
requirements:
 The preparation of an HSE training program including frequency for updating,
 The process for scheduling and delivering the training,
 The criteria for selecting, for each subject, the most suitable type of training (internal / external),
 The criteria to identify new training needs,
 Criteria for establishing when a post training test is required,
 Criteria for establishing when the training must be evaluated by the attendees, and
 Performance indicators for monitoring the effectiveness of the training program
A HSE training plan will be developed periodically e.g. quarterly, annually and documented by the Plant
management for providing and sustaining technical and HSE competencies and awareness for all
employees. The training plan shall contain as a minimum the following information:
 Training requirements for different groups of employees (managers, supervisors, general staff,
HSE staff, emergency response team etc.),
 Topics and contents for each training course, and
 Frequency and duration of each training course.
The Plant will retain records of the training plan which can be shared with FOIZ on request. The HSEQ
Coordinator can consult with the Plant management to consider if joint training for several Plants is
feasible that would provide an economic solution for a training event.
3.3 Contractor HSEQ Management

The Plant management will develop a procedure and implement a process that provides guidance on the
approach taken to implement, sustain and record the contractor HSEQ management system.
Within this section, there are 2 aspects to the management of Contractors, these are within an operational
Plant the HSEQ requirements are with the Plant management and for a new facility being constructed are
with FOIZ. Therefore, when the term “FOIZ or the Plant management” is used, it is only applicable to the
situation described in the previous sentence.
Contractors provide significant support to the Plants and as part of this support the contractor personnel
perform specified activities within or outside the Plant premises. During the development of new facilities
or modification of the existing facilities, the contractors perform many of the design, engineering,
construction, and commissioning activities on behalf of the Project Owner.
During the operation of the Plant, the contractors may provide operational support to the Plant
management by supplying skilled workers as well as carrying out certain maintenance activities.
Contractors may also support the Plant in the decommissioning and disposal of any redundant facilities and
assets. For providing support to the Plant, the contractors may utilise subcontractors to perform certain
parts of the contract scope of work.
It is therefore important that the activities performed and the services provided by the various contractors
and their subcontractors are in full compliance with the Plant HSE MS or the FOIZ HSEQ Management
System requirements to ensure that any shortfalls in the contractors’ activities / services do not adversely
affect the HSE performance over the operating life of the Plant. The Plant HSE MS will have more detail
than the FOIZ HSEQ MS with the application of work instructions, procedures etc.
The fundamentals for the effective management of the contractor’s performance is based upon the
premise that the Contractor:
 has the correct HSE capabilities for a specific contract, or HSE components within the contract,
 has complete and unambiguous understanding of the Plant management’s requirements and
expectations regarding the necessary HSE performance within the contract,
 has the right HSE systems, equipment, and other resources in place at the time of mobilization to
the worksite,
 executes the work tasks in full compliance with all HSE contractual requirements, and there is a
mechanism in place to provide such assurance to the Plant management throughout the
contracting period,
 ensuring the Contractor has the relevant information from the Plant management to execute the
work tasks in a safe manner,
 has a mechanism in place to ensure that the Contractor’s activities within the Plant do not
introduce any new risks and / or escalate the existing risk potential and if they do, the necessary
additional controls are in place, and
 demobilizes from the worksites without leaving any unacceptable or unknown HSE risks because
of the contracted activities. These risks include making the site tidy and removal of all waste
materials.
The overall contractor management process applicable to FOIZ HSE MS is shown in Figure 4.
Figure 4: Overall HSEQ Contractor Management Process

At each step, the Contractor(s) are required to perform certain tasks. The detailed process to be applied by
the Plant management for each step is described in the following sections.
The first step is to determine the criteria for HSE involvement in a contract. This determines if the full
requirements of this CoP are to be applied or not.
The Plant will apply a risk assessment process (Code of Practice No. 05) to establish the HSE criticality of a
work task.
3.3.1 Criteria for Determining HSE Involvement in Contracts

All contracts can be categorised as requiring HSE involvement or not. Each Plant can use their own criteria
for deciding the involvement of HSE, but in absence of this, they can apply the criteria in Table 2 as a
guideline.
Table 2 HSE Involvement Criteria
One or more of the following conditions apply:
 The contractor does not carry out any work activities at the Plant. All
activities for the contract are completed remotely from the Plant location
and then the deliverable is provided to the Plant for approval.
 The activities performed by the contractor within the Plant are very
Low HSE Risk
limited, of very short duration, do not have any significant HSE risks, and
do not require any additional controls (Note: All these criteria must be
met).
 The equipment or services to be procured are not linked to a HSE Critical
Activity as identified by this CoP.
 The activities performed by the contractor within the Plants have one or
more inherent HSE risks (risk level is based upon previous contracts and
the actual activities to be performed within the contract)
 The activities performed by the contractor require specialised HSE skills
High HSE Risk and experience
 The equipment or services to be procured have a direct consequence on
the operation of HSE Critical Activities
 The contractor’s HSE performance in previous contracts has been
evaluated as unsatisfactory
Once the involvement of the HSE Lead / Team within a contract has been established, the implementation
of this CoP is then aimed at ensuring the principle that for the effective management of a Contractor’s HSE
performance is based on the level of risk and the application of control measures to mitigate the risk to an
acceptable level (ALARP).
3.3.2 Contractor Pre-Qualification

Prior to inviting the bidders (potential contractors) to propose for a specific work task / service, it is
important that the bidders are screened for their experience, capability, and resources to undertake the
required work and to effectively manage the HSE risks associated with their activities for the Plant. Only
those who are assessed as HSE qualified shall be invited to bid so that time and effort are not wasted in
tendering and contractor selection process.
The main HSE related tasks in the pre-qualification process are:
 Determine the HSE involvement – Apply the approach shown in3.3.1,
 Define the HSE requirements - Review and finalise the HSE requirements for the contract, and
 Identify potential bidders – From an HSE perspective, approve a shortlist of bidders.
3.3.3 Tendering and Award of Contract

The prime considerations for evaluating the tender bids are the contractor’s technical, financial, and
administrative capabilities to execute the contracted work to FOIZ or the Plant management’s
expectations for quality, cost, and timeliness. However, it is imperative that adequate significance is given
to a contractor’s HSE capabilities. How much weighting should be given to contractor’s HSE capabilities in
relation to the techno-commercial capabilities depends on the HSE criticality, size and nature of the work
to be performed as well as the associated HSE risks.
Therefore, FOIZ or the Plant management will have a process in place to decide in advance how much
weighting should be given to a contractor’s HSE capabilities when evaluating the tender bids, in line with
the Plant’s contracting policies / procedures.
If Plants don’t have internal contracting policies, procedures or criteria for assessing the HSE aspects
during tender bids, they can apply the following approach:
 Preparation of the invitation to tender (ITT) documents - Prepare the ITT documents according to
the current FOIZ / Plant procedure and insert the HSE requirements,
 Evaluation of the bids – Perform the initial evaluation of each tender bid to verify whether the
bidder can meet all the mandatory (general and special) HSEQ requirements, in addition to the
technical and other requirements. If not, reject the bid and exclude from further consideration.
The Plant could set an expectation on the bidders to be accredited to ISO 9001:2015, ISO
14001:2015 and OHSAS 18001:20072. The submission from the bidders should be reviewed for
sufficient insurance cover for the work tasks and the potential impact on the Plant if within the
contract duration or afterwards the contractor is liable for a loss to the Plant,
 Contractor selection - Evaluate all qualified bids for their overall HSE capabilities and make
recommendations to the Senior Plant Manager, and
 Review and approve the contract documents for HSE specifications - Prepare the Contract
Documents for review and approval by the Plant management (for all contracts) and HSE Lead for
(High HSE Risk contracts). Ensure that all HSE deliverables for each stage of the contract execution
are specified, starting from mobilization and ending with contract close out. Consideration can be
2FOIZ is seeking to improve the HSEQ performance of contractors within the Plants and the move towards
accreditation will support this initiative.
given to include incentive schemes to encourage and reward the Contractor to achieve better than
the minimum expectations
3.3.4 Contractor Mobilisation

The foremost HSE objective during this phase is to ensure that all relevant HSE aspects including the roles,
responsibilities and deliverables are clearly understood by all parties prior to the commencement of the
contract activities. If there are any actions to be completed prior to the mobilisation of the contractor to
the site, they shall be identified, agreed upon, and completed. The second HSE objective is to ensure that
the contractor and Plant management are well equipped and ready to carry out the site activities in a safe
manner and in full compliance with the HSE requirements stated and in the contract.
The nature, scale, complexity and management of HSE hazards will determine the extent of the application
of the tasks within this sub element.
The contractor shall assure the FOIZ HSE Coordinator or HSE Lead respectively that all of the necessary
mobilisation requirements are being applied.
The main tasks in the Contractor mobilisation are:
Pre-mobilisation meeting - Conduct a pre-mobilization / kick-off meeting with the contractor to ensure that
the contractor’s team and the FOIZ / Plant management have a clear understanding of the following (but
not limited to) issues:
 Significant HSE risks and controls,
 HSE objectives and targets,
 Applicable HSE standards, rules, and work procedures,
 HSE related activities and deliverables,
 HSE roles, responsibilities, and accountabilities,
 HSE competencies and training requirements,
 HSE communication, reporting and promotion requirements,
 HSE management of any subcontracted works,
 HSE performance monitoring and review, and
 Contract execution plan and review.
Check and verify Contractor’s documentation - Check and verify that the Contractor has in place the
following at the time of mobilisation to the site:
 Regulatory permits / licenses relevant to the work being performed, and
 Internal approvals required from the Plant management to commence site activities.
Review the Contractor’s HSE Plan - Review and approve the Contractor’s HSE Plan (that is developed
specifically for the contract) for its compliance with the HSE specifications of the contract.
Evaluate and approve Contractor’s HSE critical personnel and HSE critical equipment - Assess the
competencies of the Contractor’s HSE Team (HSE Manager, HSE Engineers etc.) and other nominated
persons in HSE critical positions (through review of CVs or telephone interviews if required). Assess the
operational integrity of HSE critical equipment supplied and used by the Contractor at worksites through
review of inspection certificates, and physical conditions verification if required, and if satisfactory,
approve their mobilization to worksites. Otherwise, advise the Contractor to remediate or replace.
Provide site HSE induction to contractor staff - Ensure that adequate systems and resources are in place
to provide the necessary HSE induction at the worksites to all Contractor personnel before they carry out
any work at the Plant.
Establish an HSE assurance programme for the contract - Establish an HSE inspection and audit
programme (the audit is for long duration contracts e.g. over 30 days) for the contract to provide
assurance that the Contractor HSE performance is well managed and/or any shortfalls are identified and
corrected.
Review and approve change requests - If the Contractor requests any changes to the HSE Plan or any of
the supporting HSE procedures and programmes, review the consequence of the proposed changes on
the HSE performance of the contract.
Review and analyse Contractor’s HSE performance monitoring (long duration projects) - Ensure that the
Contractor prepares and submits a monthly HSE performance monitoring reports for review. These
reports should be prepared in the format approved by FOIZ or the Plant management. The reports may
contain the following:
 HSE Inspection reports,
 Observations (positive and negative performance),
 HSE audits, and
 Accident / Incident / Near Miss statistics.
Perform periodic HSE inspections and audits - Perform routine HSE inspections or audits of the
Contractor’s activities. The frequency is determined by the risks associated with the project activities e.g.
erecting scaffolding.
3.3.5 Contract Close-out

Contract close-out requires that the Contractor to fully demobilise from the site and all the contract
requirements are fully discharged. A final payment could be withheld until all the close out requirements
have been completed.
FOIZ and the Plants will have internal processes to ensure a proper demobilization and close out of
activities that, as a general framework, can include the following:
Review and approve Contractor’s demobilisation plan – Request the Contractor to prepare a
Demobilization Plan that includes:
 a risk assessment,
 a method statement,
 the resources to be applied,
 an execution plan, and
 the HSE assurance process.
The requirement for a demobilisation plan will be dependent upon the scale and complexity of the project.
Inspect / audit Contractor’s demobilization and site restoration activities – Perform inspections and/or
audits to confirm the Contractor is abiding by the demobilisation plan. Any irregularities or conformance
must be dealt with by the Contractor before the contract is signed off as complete.
Perform final evaluation and prepare an HSE Close-Out Report - When all demobilization activities are
completed according to the agreed / approved plan and the site is restored to the pre-agreed condition,
conduct a detailed site inspection / audit. As part of this assessment, the Contractor can provide
(depending on the scale and complexity of the project) a Site Restoration Report which may include, if
necessary, the relevant laboratory results on soil and groundwater after decontamination, etc. The
Contractor must supply in such cases a Disposal Certificate that evidences the location of the disposal of
waste materials that is in accordance with all UAE environmental regulations laws.
Prepare and distribute Lessons Learned - Extract key lessons learned from working with the Contractor
and distribute / communicate to all relevant staff in FOIZ / Plant using standard corporate communication
methods. If requested, Plant management will send the lessons learned to FOIZ for an overview of the
Contractor performance at the Plant. The Lessons Learned can also be shared with the Contractor.
3.4 HSEQ Communication

approach taken to implement, sustain and record the HSEQ communications process for the Plant.
The requirements within this CoP provide guidance on the methods of communication that could be
applied within the Plant as part of the overall communication process in absence of internal
communication processes.
There are occasions when additional HSE communications are necessary and should be scaled up
accordingly e.g. prior to major repair.
HSEQ communication is a two-way process and the information flowing upwards in the Plants is equally as
important as the downward communication. The requirements to communicate and report to FOIZ are
stated within the relevant CoPs.
Internal HSE communication shall cover, when applicable and required, the following topics:
 Updates on the Plant HSE policy and the relevant topics from the HSEQ MS Manual / CoPs,
 Annual HSEQ objectives and performance targets,
 Compliance with Life savings rules,
 Status of HSE plan and programs,
 Lessons learned from HSE events / non-compliances, and
 Periodic HSE performance results.
The Plant internal HSE communication channels can include, as appropriate, the following methods.
3.4.1 Shift Handover

Shift handover meetings, are an important method of communicating the events of the previous shift and
what to expect during the next shift. In many instances the handovers are verbal and this can lead to
problems in communicating the exact requirements from a HSE perspective. A log of the handover should
be kept at the handover location for refence during the next shift or for any evidence if an untoward
incident takes place. Both parties in the handover process should sign the handover log or if an electronic
version there should be a facility to acknowledge both parties have read the information.
3.4.2 Toolbox Talks

Toolbox talks are an effective way of communicating the way a work task is to be carried out, an
explanation of the potential hazards and the controls the workgroup will apply to mitigate the hazards.
One key factor in this approach is to ensure the workgroup fully understand what they are being told.
Using multinational teams within a contractor workgroup, it is a difficult to ensure everyone has
understood what is being communicated. This can only be achieved by feedback. The content of the talk is
provided by one authorised person from either the Plant or the contractor’s supervisor who ensures the
message is communicated in language that is understood by the workgroup.
3.4.3 HSE Meetings

The HSE meetings within the Plant can have a structured agenda which is set by the Plant management and
contributions are made by employees to certain topics. The discussion is not a one-way process of
management giving information; it is a consultative approach that provides open discussions and joint
solutions to problems.
HSE meetings support the improvements in HSE culture at Plant level and the information generated is
then used to improve HSE performance.
3.4.4 HSE Alerts

The HSE alerts are a rapid deployment of information that responds to an incident either within the FOIZ
area or from a similar industry.
Alerts can originate from a Plant, Project or external sources, of which FOIZ will be a contributor.
The alerts gathered by FOIZ from Plants (or external sources) will be sent to all Senior Plant Managers and
HSE Leads by the FOIZ HSEQ Coordinator. It is then the responsibility of the Plant management to ensure
the contents of the alert are cascaded to the relevant personnel and contractors. FOIZ may remove the
origin of the alert if it sensitive to a Plant within the FOIZ area.
Alerts can also be displayed on noticeboards in Control Rooms and Offices to ensure employees see and
read them to understand the context and what to apply to prevent a reoccurrence within the Plant. Alerts
can be sent electronically as emails or on the opening screen on the Plant IT systems.
3.4.5 Management Tour Outputs

Documented outputs from management tours are another channel for HSE communications. There can be
a theme or area identified for the management tour so the visit can be focused on several themes e.g.
firefighting equipment, clear passageways etc. Refer to Code of Practice No. 02 for the details regarding a
management tour.
3.4.6 Promotional Campaigns

Promotional campaigns and competitions are a way to get employees involved in the communication
process. FOIZ / Plant management don’t necessarily need to be the originators of a HSE campaign, this can
be led by other personnel to achieve more ownership.
Promotion campaigns need to be applied for a duration and then removed e.g. Summer Heat Stress
campaigns.
The effectiveness of the internal communication can be periodically evaluated through HSE Climate
Surveys.
3.4.7 HSE Climate Surveys

HSE Climate surveys are tools to gather perceptions, attitudes or an understanding of the approach to HSE
practices and values from within the employee group. The HSE Climate survey is a baseline and is repeated
annually or every 2 years to measure improvements in key areas of HSE. It may be viable to include
Contractors in the survey if they are working with the Plant for a significant period of time.
The outcome of the survey provides the Senior management with the views of both management and the
employees in relation to the HSE maturity, hence a top down and bottom up review.
3.5 HSEQ Documents, Data and Records Management

approach taken to implement, sustain and record the HSEQ documentation process.
The Plant and FOIZ will operate their own HSEQ Document Management System (DMS) (Code of Practice
No: 02) within which all documents shall be numbered, prepared, reviewed, revised, and controlled. The
DMS will be the central repository for al HSEQ related documentation. The DMS may be in paper or
electronic format and should have a backup system to retrieve copies in case the originals are lost or
destroyed.
HSE documents developed by the Plant will be available to FOIZ on request for audits or during
inspections. FOIZ will not be the central repository of all HSE documentation across the Plants. Documents
received by FOIZ will remain confidential unless the Plant management agree they can be circulated to
other stakeholders.
Whenever a new HSEQ document is issued or an existing document is revised, it shall be promptly
communicated to all concerned internal and external stakeholders, and made accessible through the FOIZ /
Plant IT system or hard copy. Any existing documents made redundant or obsolete shall be promptly
withdrawn from the Plant files.
FOIZ and Plants shall install and maintain an effective IT process to ensure that the HSEQ documents and
data stored electronically on authorised personal computers, intranet, or external website are protected
against unauthorised access, unauthorised alterations, and any other abuse / misuse by individuals / groups
internal or external.
As a reference, the IT system should include arrangements for:
 Routine information back-up to a safe location,
 Physical access control to IT servers,
 Uninterrupted power supply,
 Control of removal data storage devices,
 Virus and malicious software protection,
 System performance monitoring, and
 Security of teleworking and mobile computing.
As a reference, the IT system access controls should include:
 User registration and access rights,
 Password for log-on and log-off,
 Access to internet, and
 Data transfer (downloads and uploads).
The IT Administrator should review the adequacy and effectiveness of the IT system:
 At regular intervals based on a pre-defined schedule, and
 Following a security lapse.
Based on the review, corrective / preventive actions shall be identified and implemented as part of the IT
work plan.
3.6 List of References

Ref; No. Document
Ref 01 Code of Practice 2, Policy Standards and Objectives
Ref 02 Code of Practice 5, Sub Element 5.4 Management of Change
Ref 03 Code of Practice 9, HSEQ Assurance

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Health, Safety, Environment and Quality Management System

Fujairah Oil Industry Zone

Code of Practice (CoP)-03

Doc. No.: HSEQ-CoP-03, Revision 0

for Rev. 0, 5th December 2017

Organisation, Resources and Capability Page 2 of 23

Document Authority / Owner Document Controller / Custodian

DNV GL Chief Executive

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List of Abbreviations and Definitions:

the FOIZ Codes of Practice.

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3.1.1 HSE Organisation in Projects

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3.1.2 HSE Roles and Responsibilities in Major Projects

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3.1.4 Management of Change

3.1.5 HSEQ Organisation in Operational Plants

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3.2 HSE Competence and Training

3.2.1 HSE Competency in Plants

Feedback Assessment & verification

Figure 1: Principles of HSE Competence Framework

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Each stage in the HSE Competence Framework is described in Table 1.

Integration  Selection and interview of individuals are completed by the Plant

Implementation  There is a competence assurance process promotion / progression

Review  Feedback from the competence assurance assessment (initial

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3.2.2 HSE Training

3.2.3 Training Process Overview

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HSEQ Annual Objectives

Training Needs Identification

Training Development Plan

External Training Program Delivery Internal

Training Evaluation and Continuous

Figure 2: HSEQ Training Process Overview

3.2.4 HSE Training Needs Identification

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Core Competency 1 Core Competency 2 Core Competency 3

Job / Task Analysis