BHP Billiton Internal Audit Checklist

Rev. 2005-09-27

BHP Billiton Internal Audit Checklist

No Item Does BHP Billiton have written Aviation Standards in place?

Internal Aviation Audit Checklist ---Yes No N/A Verify By Discuss with personnel Check policy Discuss with personnel Check policy Discuss with personnel Check policy Discuss with personnel Check policy Discuss with personnel Check document for currency Check process Discuss with personnel

1. Company Aviation Policy and Site Operational Planning

Does BHP Billiton policy require strict adherence to the Aviation Standards? Are the Aviation Standards readily available to all field locations? In what form are they distributed? Is there management oversight at the company level and management responsibility for aviation policy and procedures? Is there company management available to provide guidance to the site as and when required? Does the site have a hard copy of the BHP Billiton Aviation Standards? Does the site assure compliance with the BHP Billiton Aviation Standards? Has the site prepared aviation guidelines specific to the local operating area and conditions, and if so: - Are the guidelines in compliance with the Company Aviation Standards? - Have the guidelines been reviewed by company management responsible for aviation policy and procedures? - Are the local guidelines adequately distributed to site personnel and applicable contract operators? Does the site have a planning process in place that considers all requirements of the BHP Billiton Aviation Standards? Are aircraft operations for company business provided only by scheduled airlines or BHP Billiton currently approved charter companies? Is personal or private flying on business aircraft prohibited? Is there an effective BHP Billiton aviation coordinator appointed on the site to oversee all aircraft operations?

Check process Check local policies Discuss with personnel

Check planning process for requirements of the guidelines Discuss with personnel Discuss with personnel Discuss with personnel Discuss with aviation coordinator

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2. Airlines
No

Internal Aviation Audit Checklist ---Yes No N/A Verify By Discuss with personnel

Item Are airlines used in preference to charter services when planning passenger movements? Where concerns exist regarding the safety performance of airlines in a particular area, has guidance been sought from the site aviation coordinator, The BHP Billiton Aviation Safety Manager, or designated aviation advisor appointed for the area ? Does the site aviation coordinator maintain or have access to a current list of preferred and non-preferred airlines?

Discuss with personnel

Discuss with personnel

3. Contracting Charter Companies

No Item Are charter companies only used with either: - a term charter contract, or - an adhoc charter services contract? Are BHP Billiton Aviation designated personnel included in the contract process? Are the Aircraft User Groups included in the contract process? Are these contracts awarded only to companies currently audited and approved by an authorized BHP Billiton aviation auditor? Is there a process to ensure contractor compliance to the contract? Yes No N/A Verify By Discuss with personnel Discuss with personnel Discuss with personnel Discuss with personnel Check Contracts and Agreements Check compliance with Aviation Contracting Guidelines

4. Aviation Audits
No Item Have aviation audits been conducted on all charter companies used? Do contracting procedures require aviation audits? Is a schedule of aviation audits maintained? Are aviation audits conducted by BHP Billiton approved aviation consultants? Are there procedures for following up on action items identified in audits? Yes No N/A Verify By Discuss with personnel Review audit records. Discuss with personnel Discuss with personnel Review audit schedule. Review audit records. Discuss with personnel Review audit records.

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5. Passenger Charter Services

No Item

Internal Aviation Audit Checklist ---Yes No N/A Verify By Check planning process Discuss with personnel Check charter agreements Discuss with personnel Check charter agreements

Does the planning process include selecting aircraft for passenger charters by following the preferences in the Standard? Are helicopters used for passenger transport turbine powered? Are single engine aircraft only used for passenger transport when all the following are in place: - flights are conducted under daytime Visual Flight Rules (VFR)? - flights are conducted with scheduled position reports, logged with an approved ground facility? - search and rescue (SAR) capability is established in the area of operations? - emergency response procedures have been developed? Are twin engine helicopters used when helicopter operations are conducted over water at a radius of more than the distance from the nearest suitable landing area stipulated in the Standard and the area is considered as nonhostile? Are there controls to ensure a charter company does not cross hire aircraft without BHP Billiton approval? Do all contracts with charter companies conform with BHP Billitons minimum aircrew experience and training requirements as detailed in the Standard? Are aircraft crewed by two pilots when flights operate under Instrument Flight Rules (IFR)? Are aircraft crewed by two pilots when the aircraft is certified with passenger capacity greater than the number required by the Standard? Are aircraft crewed by two pilots when night flying operations are conducted? Are aircraft crewed by two pilots when an audit has determined that operations should be carried out by more than one pilot? Are there controls to ensure a charter company does not use freelance aircrew without BHP Billiton approval? Do all contracts with charter companies conform with BHP Billitons maximum flight and duty times? Are there controls on the movement of passengers near aircraft?

Discuss with personnel Check charter agreements

Discuss with personnel Check charter agreements Discuss with personnel Check charter agreements Discuss with personnel Check charter agreements Check flight schedules Check manifests Discuss with personnel Discuss with personnel Check charter agreements Discuss with personnel Check charter agreements Discuss with personnel Check charter agreements Check charter agreements Discuss with personnel Check charter agreements Check procedures Monitor operations

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No

Item

Internal Aviation Audit Checklist ---Yes No N/A Verify By

Check procedures Monitor operations Check procedures Discuss with personnel Check charter agreements Check manifests Monitor operations Discuss with personnel Check manifests Monitor operations Discuss with personnel Check manifests Monitor operations Discuss with personnel Check manifests Monitor operations Discuss with personnel Monitor operations Check procedures Discuss with personnel Monitor operations Check manifest or log Check procedures Discuss with personnel Discuss with personnel Review briefing material Monitor operations Discuss with personnel Check aircraft Check aircraft Review briefing material Discuss with personnel Review notices & briefing material

Are procedures and controls in place to prevent injury to persons approaching aircraft when propellers or rotor blades are moving? Are there procedures for the administration of passengers, baggage and freight associated with charter flights? Where the use of standard passenger weights is permitted under the Standard, are procedures in place to ensure: - the standard weights used represent realistic average weights? - the standard weights are adjusted for seasonal changes? - a written agreement with the operator is in place authorizing the use of standard weights? For charter operations carrying passengers, on flights using aircraft where use of standard weights is approved are checked baggage and freight weighed? For charter operations where the use of standard weights is not authorized, are passengers, baggage and freight weighed? Is there a process in place for the pilot to evaluate weight while operating in areas where weighing facilities are not available? After passenger baggage and freight has been checked-in and weighed, does it remain under the control of baggage handling staff until it is loaded on the aircraft? Are there procedures in place to ensure that the loading of passengers and baggage does not take place while the aircraft is being refueled? For charter operations carrying passengers is a flight manifest or pilots log prepared for the pilot of each flight? Is this information passed by radio to base or a copy retained at the departure point? For charter operations carrying passengers is a flight safety briefing given to passengers covering the issues required by the standard? For charter operations carrying passengers are safety cards detailing emergency procedures provided at each seat on the aircraft? Are the passenger safety briefing cards specific to the aircraft type and configuration? Are passengers made aware of articles which are not permitted to be carried on board aircraft?

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No

Item If items or materials classified as Dangerous Goods are transported by air: - Are they properly stored before transporting? - Are they transported in accordance with the International Air Transport Association (IATA)? - Are they properly packaged, labeled, manifested? - Are they properly loaded onto the aircraft? - Is the charter aircraft pilot-in-command notified of the contents of the Dangerous Goods?

Internal Aviation Audit Checklist ---Yes No N/A Verify By

Check procedures Check records Discuss with personnel Monitor Operations

Are personnel involved in arranging transport of Dangerous Goods properly trained and have a valid certificate? If items or materials classified as Hazardous Waste (but not Dangerous Goods) are transported by air: - Are they properly stored before transporting? - Are they properly packaged, labeled, manifested? - If required, is a waste generator number provided? - Is the charter aircraft pilot-in-command notified of the contents of the Hazardous Waste? Are personnel involved in arranging transport of Hazardous Waste properly trained and have a valid certificate? Are there controls to prevent non-BHP Billiton flying on BHP Billiton charters without approval? Does the site ensure that BHP Billiton personnel are aware that they should not accept lifts in non-BHP Billiton chartered flights for convenience? Are passengers made aware that they can provide feedback and comment on charter flights using the Passenger Post Trip Report?

Discuss with personnel Check records Check procedures Check records Discuss with personnel Monitor Operations Discuss with personnel Check records Check procedures Discuss with personnel Check procedures Discuss with personnel Check procedures Check records Discuss with personnel

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6. Flight Safety
No

Internal Aviation Audit Checklist ---Yes No N/A Verify By Check procedures Discuss with personnel Check procedures Discuss with personnel Check procedures Discuss with personnel Check procedures Discuss with personnel

Item Is smoking prohibited on the aircraft or in the vicinity of the aircraft while on the ground? Where local conditions require, are passengers given guidance on clothing to be worn in aircraft? Are passengers prohibited on BHP Billiton designated freight only charter flights? Are passengers prohibited on helicopters when conducting external load operations? Are fixed wing aircraft operating over water beyond gliding distance from land and helicopters operating over water beyond auto-rotational distance from land: - equipped with life jackets for all personnel on board the aircraft? - carrying life rafts with combined capacity sufficient to accommodate the maximum certified number of passengers and crew that can be carried by the aircraft? - in the case of helicopters, fitted with approved flotation equipment? Do all passengers and crew on board a helicopter wear approved constant wear, inflatable life jackets whenever the helicopter is operating over water? When aircraft operations are conducted in remote areas, is a survival pack carried in the aircraft containing emergency ration packs, water and survival equipment applicable for the environment and season? Are the survival packs appropriate for the operating environment and sufficient to sustain all persons on board for a minimum of 2 days? Are survival packs in appropriately marked containers constructed of crash survivable materials? Is an Emergency Locater Transmitter (ELT) meeting the requirements of the Federal Aviation Administration (FAA) of the United States Technical Service Order TSO C91a or higher fitted to all charter aircraft? Are contractors provided with BHP Billiton Aviation Guidelines and is there a process in place to ensure compliance? Are safety briefings provided to all flight crews and appropriate personnel prior to beginning operations?

Discuss with personnel Check aircraft

Discuss with personnel Check aircraft Discuss with personnel Check aircraft survival packs Discuss with personnel Check aircraft survival packs Discuss with personnel Check aircraft survival packs Check aircraft

Discuss with personnel Discuss with personnel

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No

Item If the site has multiple aircraft operations, are controls in place to ensure: - All flight operations within the site boundaries are known and coordinated? - Communications are maintained with all aircraft within the site

Internal Aviation Audit Checklist ---Yes No N/A Verify By

Discuss with personnel Monitor operations

If the site has adjacent locations (under their control or otherwise) where aircraft operations are conducted, are there procedures in place to ensure: - Potential aircraft conflicts are avoided? - Direct communications with other locations to alert each of any aircraft operations that may affect them? - Information is shared regarding all aircraft operations?

Discuss with personnel Monitor operations

Is there a company Safety Management System in place to ensure: - Aviation safety is included as a risk element in the safety management process? - Risk Assessments are conducted on all aviation operations prior to implementation? - Aviation incidents are documented? - Follow-up to resolution and closure is completed for all aviation incidents? - Information from incident findings is passed to all appropriate personnel? - Information from incident findings is passed to other operators? - BHPB Health and Safety personnel are included in the incident process? - BHPB Aviation and designated Aviation Advisor are included in the incident process?

Discuss with personnel Review site health and safety policies

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7. Specialized Role Charter Operations

No

Internal Aviation Audit Checklist ---Yes No N/A Verify By Check agreement Check document Discuss with personnel Check records Discuss with personnel Discuss with personnel Check records Discuss with personnel Discuss with personnel Check records Discuss with personnel Check records Discuss with personnel Check records Monitor operations

Item Do charter services conducting specialized role operations (e.g. airborne geophysical surveys) comply with the specific requirements to those operations? Does the site have a copy of the IAGSA Guidelines? Are risk assessments completed for each airborne geophysical survey operations? Are passengers prohibited in charter aircraft conducting specialized role flying? For helicopter external load operations is cargo accurately weighed and weight provided to the pilot prior to the lifting operation? Are procedures in place to ensure a weighted line is in use for external load operations? Are all personnel handling the external load during lifting operations properly trained? Are all personnel handling the external load during lifting operations provided with the capability to communicate directly with the pilot? Are procedures in place to ensure all personnel directly involved in external load operations provided with, and wearing the proper PPE?

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8. Ground Facilities and Support Operations

No

Internal Aviation Audit Checklist ---Yes No N/A Verify By Check procedures Check markings Discuss with personnel Check facility Discuss with personnel Check procedures Discuss with personnel Check helipad and vicinity Check procedures Check records Check procedures Check records Check records Check records Check procedures Check records Discuss with personnel Check markers Check facility Check facility Check facility

Item Are airports, landing areas and helipads installed, marked, maintained and operated in accordance with ICAO Annex 14? Are the location, dimensions and condition of these facilities suited to the performance of the aircraft using them? Are adequate measures taken to control animals and other wildlife from endangering the safety of aircraft using an aerodrome or other landing area? Are helipads designed to take account of a helicopter having engine failure on take-off or landing? Are all airports and other landing areas inspected to ensure they can be safely used? Are there scheduled inspections consistent with the nature of the surface, use, weather conditions and age? Are records maintained of inspections? Where a runway or helipad is deemed not serviceable for normal operations, is there a procedure to restrict operations which clearly states what actions are to be taken? Is there documented evidence of actions taken? Are the correct markers available to indicate the closure of runways or helipads in accordance with ICAO recommendations? If night flying operations are routinely carried out, do airports, landing areas and helipads have permanent lighting systems with back-up power supply? Do airports, landing areas and helipads have emergency lighting systems for 24-hour emergency capability? Do airports, landing areas and helipads have communications equipment and protocols for contact with and between aircraft using the facility? Do airports, landing areas and helipads have meteorological measurement equipment if the facility has no access to an established meteorological service for the area? Does each airstrip and helipad have wind direction/strength indicators (windsocks) positioned such that they are clearly visible to approaching aircraft? Where night operations are conducted, are the windsocks adequately illuminated?

Check facility

Check equipment Check equipment

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No

Item Do contractors to BHP Billiton who provide or participate in aviation related ground services, have in their agreements with BHP Billiton insurance and indemnity provisions which adequately address the risks associated with those activities? Are airports and/or facilities approved or controlled under the jurisdiction of a governmental civil aviation authority? Is there a copy of the regulatory guidelines on site? Are facility inspections carried out by the agency? Are inspection reports provided to the site or facility? Are recommendations or required actions completed and closed by the site? Does the site maintain records of any governmental inspection and any required follow-up action? Is there a crash truck or other emergency response vehicle/equipment available? Are emergency response personnel on immediate standby? Are emergency response personnel properly trained? Are facility emergency response drills conducted periodically and if so, at what interval?

Internal Aviation Audit Checklist ---Yes No N/A Verify By

Discuss with personnel Check agreements Discuss with personnel Check guidelines Check records Check records Check records Check records Discuss with personnel Check facility Discuss with personnel Check records Discuss with personnel Check records

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9. Fuel Supply and Handling

No

Internal Aviation Audit Checklist ---Yes No N/A Verify By Discuss with personnel Check records Check records Check facility Check risk assessment Check records Check procedures Check samples Check records Check records Check facility Check risk assessment Check facility

Item Where the facility involves BHP Billiton in fuel supply and handling, have these activities been reviewed by BHP Billitons aviation and safety personnel? Are fuel storage systems designed in accordance with relevant standards? Are fuel storage areas located such that they pose the least hazard to aircraft operations, personnel and adjacent property? Are bulk fuel systems drained daily from the tank sump? Are drained samples retained for at least 24 hours? Are bulk fuel systems inspected daily? Are records maintained of all inspections? Are fuel storage areas provided with the correct level of protection ? Where drum fuel is used, are fuel drums stored: - off the ground? - on their sides? - with bungs below liquid level? Is there a stock control system for drum fuel that requires segregation of stock and chronological use of stock? Are drum fuel stocks inspected at least weekly for leaks and the use of correct storage practices? Are aircraft refueling locations marked and located to minimize hazards? Are refueling locations provided with operational fire extinguishers? Do fuel storage areas comply with relevant environmental protection regulations, including any requirements for containment and clean-up of spills? storage areas located and designed to minimize the potential for Are fuel water contamination of fuel supplies? Is there an inspection procedure in place to determine the presence of any algae in the fuel or on the inner walls of the tanks? Is there a fuel spill response and clean-up plan? Are there written procedures for the supply and storage of fuel and the refueling of aircraft? Do procedures include measures for the control of passengers and other personnel during refueling operations? During aircraft refueling, does the pilot or other nominated crew member follow established procedures to ensure both the safety of the aircraft and the grade and quality of the fuel delivered?

Check procedures Discuss with personnel Check records Check facility Check facility Check facility Check environmental plan Check facility Check procedures Check procedures Check records Check plan Check procedures Check procedures Discuss with personnel Monitor operations

Draft: Revision 4 ( 31 July 2002)

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No

Item Are ground personnel involved in fuelling operations trained in the correct procedures for delivery of fuel to aircraft? Are records kept of fuel handling training?

Internal Aviation Audit Checklist ---Yes No N/A Verify By

Discuss with personnel Check records Check records Check risk assessment procedure Check risk assessment procedure Check facility Check facility Check procedure Monitor operations Discuss with personnel Check records Check records

Is there a risk assessment process to determine if hot refueling is required? Is the refueling system equipped as required by this standard?

Are fuel filters correctly marked? Are there procedures to correctly test the quality of all fuel delivered, stored and used? Is quality testing carried out on aviation fuel? Are records maintained of all fuel deliveries and test results?

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Internal Aviation Audit Checklist ---Comments

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Internal Aviation Audit Checklist ---Comments

Comments

Comments

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Internal Aviation Audit Checklist ---Comments

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Comments

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Comments

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Internal Aviation Audit Checklist ---Comments

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Comments

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Internal Aviation Audit Checklist ---Comments

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Internal Aviation Audit Checklist ---Comments

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Comments

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Internal Aviation Audit Checklist ---Comments

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Comments

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