INTERNAL AUDIT AND Doc Ref No.

: CDPNL/HSE-IA/09-01

MANAGEMENT REVIEW Issue date: JUNE 11, 2021

Dept: QHSE
PROCEDURE
Revision 001

INTERNAL AUDIT AND MANAGEMENT REVIEW

PROCEDURE

01 05/05/2021 Document Samuel Nguma Engr. Obot Chinedu Dim

Review Edet

00 02/01/2020 Document Ateli Biambo Engr. Obot Chinedu Dim

Release Edet

Rev Date Description Prepared by Supervised By Approved

 INTERNAL AUDIT AND Doc Ref No.: CDPNL/HSE-IA/09-01

MANAGEMENT REVIEW Issue date: JUNE 11, 2021

Dept: QHSE
PROCEDURE
Revision 001

TABLE OF CONTENTS PAGE

1.0 INTRODUCTION 4

2.0 AUDIT PROCEDURE 4

3.0 PREPARATION FOR THE AUDIT 5

4.0 DATA COLLECTION AND INTERPRETATION 6

5.0 REPORTING 7

6.0 ACTING ON AUDIT REPORTS 8

7.0 ATTACHMENT:

Work Site Quality Audit Checklist 9

7.1 LIST OF QUALIFIED AUDITORS

 INTERNAL AUDIT AND Doc Ref No.: CDPNL/HSE-IA/09-01

MANAGEMENT REVIEW Issue date: JUNE 11, 2021

Dept: QHSE
PROCEDURE
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INTERNAL AUDIT

.1 Internal Quality Auditing shall be planned and conducted determine

whether the QMS
a) conforms to planned arrangements, ISO 9001:2015 Standard
requirements and to the QMS established by C. D
PRINCETON.
b) is effectively maintained.

.2 Audit program planning consider the status and importance of the

activities and areas to be audited as well as previous audits results when
scheduling criteria, scope and frequency and methods of audits.
a) The selection of auditors and conduct of audits shall ensure
objectivity and impartiality of the audit process.
b) The methodology to be used and the personnel
responsible for planning, conducting, reporting and follow-up on
internal quality audits shall be as defined within QMP-020.
.3 To ensure objectivity and impartiality of the audit process, internal quality
audits shall be performed by personnel who are independent of the activity
being evaluated.
.4 QMP-020 defines the responsibilities and requirements for planning and
conducting audits, establishing records and reporting results.
a) Audit findings shall be documented and brought to the attention of
the responsible manager.
.5 The management responsible for the area being audited shall ensure that
any necessary corrections and corrective action are taken without undue
delay to eliminate detected nonconformities and their causes.
a) Follow-up evaluations of corrective actions taken shall be
performed to verify effectiveness and shall be documented.
b) Unless otherwise defined by contract, these records shall be
retained for the purpose of follow-up and performance improvement
comparison for seven years.
.6 Detailed tools and techniques such as check sheets, process flowcharts,
or similar methods to support audits of the QMS requirements are
developed, maintained and used according to the Internal Audit
Procedure.
a) The acceptability of the selected tools is measured against the
effectiveness of the internal audit process and overall organization
performance.
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MANAGEMENT REVIEW Issue date: JUNE 11, 2021

Dept: QHSE
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.7 Internal audits meet contract and/or regulatory requirements.

.8 A summary of audit findings shall be forwarded to the members of the
MRT, for evaluation to determine possible system improvements.

1.0 INTRODUCTION
An Audit is a practice carried out to measure the extent of or level of readiness of a
given standard/ specification in a given system.

Organizations carry out or are involved in audits in order to establish the effectiveness of
a part or whole of the system. This will enable them prove that they have a workable
and effective system in place. This could be done in-house and externally.

C. D PRINCETON have put in place, an audit procedure, which will look at the steps to be
followed to carry out audits, roles and responsibilities, reports and documentations.

2.0 AUDIT PROCEDURES

A number of steps are taken and/or put in place to achieve a successful Audit. These
include the following:

2.1 Convening an Audit

C. D PRINCETON Managing Director or the General Manager is empowered to
convene a Quality audit at any or all company operating sites. Date set for the
audit will provide sufficient time for adequate preparation and for audit programmes
to be prepared. Audit programmes must provide sufficient auditors and time to carry
out the audit, collate the information and prepare a report.

2.2 Selection of Auditors

The number of persons appointed to an audit team will depend upon the size of the
task and the time allowed for completion. Those selected must not be involved
directly in the work of the area to be scrutinized/or audited and must be competent
to undertake the audit
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MANAGEMENT REVIEW Issue date: JUNE 11, 2021

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2.3 Lead Auditor

A lead auditor should be appointed and given time to prepare the audit under the
directions given to him by senior management. His appointment should include a
directive covering:

- The objectives of the audit

- The company area or operations to be subjected to audit
- The procedures and standards to be applied
- The personnel allocated to the audit team
- The dates allocated to the audit.

The Lead auditor is responsible for:

- Preparing and overseeing the audit program
- Costing and making appropriate budgeting provisions
- Obtaining any necessary approvals for the proposed program and anticipated
expenditure.

3.0 PREPARATION FOR THE AUDIT

The lead auditor and his team will need to consider:

3.1 Nature of the Audit

- Will the audit look at the whole or just part of the organization, or focus on a
specific activity, location or issue?

- Will the audit look solely at the health, safety and environment management system
or will it involve technical matters concerning plant, equipment and processes?

- Is the audit intended to establish the effectiveness or otherwise of the health, safety
and environmental management system (validation audit), or?

1
- To verify whether the organization is complying with the company standards and
procedures (compliance audit), or both?

- Will the audit as proposed require any special skills of the auditors or specialist
equipment?
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3.2 Terms of Reference

The terms of reference must be agreed and made known to both auditors and the
manager(s) of the activities to be audited and include:

- The objectives and scope of the audit

- The form in which the report on the findings of the audit is to be provided
- Who should receive copies of the audit report?

3.3 Timetable
Suitable start and completion dates for the audit should be agreed and the date by
which the audit report is to be completed. A distributed timetable of planned visits,
inspections, interviews and meetings may assist the organization of the audit.

3.4 Audit Format

Audits are commonly conducted to pre-prepared lists of questions requiring written
answers or tick-the-box type completion. The Lead Auditor must choose the type
of format best suited to the particular audit and select the questions to be
answered.

4.0 DATA COLLECTION AND INTERPRETATION

The techniques and aids used in the collecting the information that is required
will depend on the nature of the audit being undertaken and the organization or
area being audited. The aim should be to obtain evidence that can form the
basis of objective findings rather than subjective, judgments about performance.
The audit should, therefore, ensure that a sufficiently representative sample of
key activities is included in the process of the audit.

4.1 Auditing Aids

The Lead Auditor should select the auditing aids to be used and confirm they are
appropriate for the tests and examinations to be undertaken. The need for
equipment to record findings including computer notebooks, audio recorders,
cameras and video recorders should be considered. Recorded visual evidence is
often more readily accepted than the written word.
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4.2 Interviews
Key personnel should provide relevant information to the audit team. It may be
necessary to utilize already-prepared questionnaires to ensure that interviews are
carried out in a structured manner and that all the information required is
obtained efficiently. Key personnel will usually include directors, managers, and
persons with specific responsibilities under the C. D PRINCETON TECHNICAL
Services Quality Management System. Other personnel, at all levels, should be
interviewed to establish whether procedures are known, understood and
followed.

4.3 Documentation
Relevant documentation should be examined. Ideally Quality instructions will
increasingly form an integral part of normal procedures and working instructions
within all C. D PRINCETON TECHNICAL Services operations. Typically,
documentation that could be appropriate for examination may include:

 The company Quality policy statements and supporting organization

and arrangements. This is embodied in the company Quality
Management Manual

 Quality assessments

 Previous internal audit records and those of any external audits

 Quality manuals and management procedures. These will include

company Quality operating procedures and work instructions

 Quality control arrangements

 QA/QC minutes of meetings

 Quality reports and statistics.

 Quality monitoring records. (These may be subject to confidentiality

restrictions)

 Reports by government agencies

 Required Quality documentation and registers, e.g., lifting gears/

equipment Register, certification of lifting equipment and calibration
verifications.

 Quality training records including: Induction training and qualification

training for plant and machine operators.

4.4 Inspections
The aim of inspections within an audit is to confirm the information gathered
during interviews and examination of documentation. They could include simple
observation of work and behavior through to systematic inspections of premises,
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MANAGEMENT REVIEW Issue date: JUNE 11, 2021

Dept: QHSE
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plant and equipment.

4.5 Data Analysis

Audit findings generally take the form of both qualitative data. The use of
correctly designed audit aids should simplify the analysis of the date, and in
some cases, it may be helpful to score audit findings so that changes in
performance can be measured from one audit to the next. Consistency in
auditing methods and scoring is essential.

4.6 Interpretation
The value of the audit depends upon the experience and knowledge of the
auditor’s and their ability to interpret and use the findings. It is also dependent
upon the integrity of all parties involved. Wherever possible checks should be
built into the audit system to help to avoid misrepresentation and misapplication
of audit results.

5.0 REPORTING
An audit will be of little value unless it is carried out with integrity and reported
accurately. The audit report is prepared for the management who convened the audit.
The content of the report and any other information learnt by the auditors during the
course of the audit is confidential and should not be divulged except with the
agreement of the management who commissioned the report.

5.1 Initial Feedback

At the end of the data collection phase, the Auditor(s) should summarize and
feedback their initial findings to local senior management and, in particular, draw
attention to any issues that are of such significance as to necessitate immediate
attention.

5.2 Draft Report

The audit report should be submitted to the management of the area under audit
in draft form to enable factual accuracy to be checked and to ensure that the
report is understood.

5.3 Final Report

The final report should assess the overall performance, identify any inadequacies
and may make recommendations on action for improvement. It should also
identify the observed strengths and suggest how they can be built upon. The
report should be concise, written in plain English and include a summary of
principal findings and recommendations.

6.0 ACTING ON AUDIT RESULTS

6.1 Dissemination of the Final Audit Report

The final report should be considered by the appropriate levels of management.
This will include those who convened the audit and those affected by the
findings. It is important to communicate the substances of the report and any
agreed recommendations for action to all appropriate levels of staff.
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MANAGEMENT REVIEW Issue date: JUNE 11, 2021

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6.2 Action Plan

C. D PRINCETON Health and Safety Manger in consultation with the affected
managers and heads of department will draw up an agreed action plan, together
with responsibilities, completion dates and reporting requirements, and submit
the plan to the Company Managing Director and General Manager will make
arrangements for effective follow up monitoring to be undertaken and the results
reported to company senior management.

7.0 ATTACHMENT

Work Site Quality Audit Checklist

Contractor: Location: Work
Being Performed:
Date:

Auditor’s Name:
1. QA/QC Lead
2. Engr. & Project Lead
3. Project control & planning
4. HSE Lead
5. 5.Procurement Specialist
Item Observations/Comments Y/N Y/N
Y/N

Personal Protective Equipment

Check all ‘noncompliance’s’ from
previous Audit in right hand column Y/N Y/N
Y/N
Recurring Problems
PPE (provided, usage
enforced, kept clean)
Hard hats being worn
Hearing protection
Suitable safety footwear
Eye/Face protection (eye
glasses, face shield for
grinding, etc.)
Gloves correct for work
BA/respirators/dust mask
as required
Chemical protection
PFD/work vest worn as
required
Fire retardant Clothing,
FRC
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MANAGEMENT REVIEW Issue date: JUNE 11, 2021

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SUPERVISION/CONTROL
Check all ‘noncompliance’s’ from
previous Audit in right hand column Y/N Y/N
Y/N
Recurring Problems
Tool box/safety
meetings & records
QA /QC rep on site
All Personnel
received Quality
Orientation/QO
Operators certified
Supervision
competent/on site
Equipment pre
mobbed
Access to site
restricted
Certificates valid?
Signs/Notices in
good order, visible
& Readable
Communication
equipment available
and functional
Relevant Quality
OPs/Construction
procedures (IQA)
available on site

Safety/PPE Signs
adequate and
posted
Safety Notice board
in place and
updated
 INTERNAL AUDIT AND Doc Ref No.: CDPNL/HSE-IA/09-01

MANAGEMENT REVIEW Issue date: JUNE 11, 2021

Dept: QHSE
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ELECTRICAL

Check all ‘noncompliance’s’ from

previous Audit in right hand column Y/N Y/N
Y/N
Recurring problems
Main Breakers are
in good condition
Condition of
temporary
extension leads
External condition
of Electrical hand
tools
Welding cable
terminals and
general condition
Temporary lighting
Generators/transfor
mers general
condition etc.
LOTO compliance
Electrical outlets
Correctly
wired/correct plugs
Leads in good
condition/no taped
joints/properly
rated
Portable Electric
Equipment Pre
mobbed in
accordance with
IQA 31
List/inspection
records of tools
kept and updated
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MANAGEMENT REVIEW Issue date: JUNE 11, 2021

Dept: QHSE
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SCAFFOLDING/ WORK AT HEIGHT

Check all ‘noncompliance’s’ from

previous Audit in right hand column Y/N Y/N
Y/N
Recurring problems
Was scaffold erected
by a competent
Scaffolder
General condition of
scaffolding
equipment okay
Proper
scaffolding/platforms
with toe boards in
place
Fall arrest/safety
harness as required
& above 6ft
Walk ways/ladder fit
for purpose
Ladders (Fiber glass)
tied off & have 0.9m
above landing
Scaffolds inspected,
tagged or permitted
& checked on daily
basis
Are suitable barriers
(not warning
tape)/handrails
erected where
required?
Work area
clean/clear
 INTERNAL AUDIT AND Doc Ref No.: CDPNL/HSE-IA/09-01

MANAGEMENT REVIEW Issue date: JUNE 11, 2021

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HOT WORK

Check all ‘noncompliance’s’ from

previous Audit in right hand column Y/N Y/N Y/N
Recurring problems
Source of ignition
OK
Hot work areas
defined
Fire-watch certified
Is firefighting
equipment adequate
(Fire extinguishers,
etc.)
Dry Powder
Extinguishers tests
carried out weekly
and records kept
Gas Sniffer available
for use
Gas Sniffer
calibration record
available/updated
Welding face shields
and goggles
Flashback arrestors
Welders certificated
Gas/O2 cylinders free
from grease and oil
Gas hoses/gauges in
good order
Is arc welding
shielded
Daily hot work Permit
No
combustible/flammab
le material in the
area
Are welding screens
adequate
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MANAGEMENT REVIEW Issue date: JUNE 11, 2021

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COMPRESSED GAS

Check all ‘noncompliance’s’ from

previous Audit in right hand Y/N Y/N
column Y/N
Recurring Problems
Gas bottle secured
upright/stored with
caps
Gas bottles has
adequate shade
Bottles correctly color
coded for contents
(BOC)
Trolleys for moving
gas bottles in good
condition
Bottles marked
correctly for contents
MSDS Sheets available
and displayed on site
Oxygen stored
separately (20ft) from
flammable gases or
fire wall between the
gases
Bottle storage area
has adequate
ventilation
No signs of
corrosion/erosion
Cylinders
tested/inspected/date
stamped
Crimp type clamps on
hose/fitting connection
No flammable material
in the area
Pre-slung 4-point lift
Gas bottle racks in use
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MANAGEMENT REVIEW Issue date: JUNE 11, 2021

Dept: QHSE
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WASTE MANAGEMENT

Check all ‘noncompliance’s’ from

previous Audit in right hand column Y/N Y/N Y/N
Recurring Problems
Adequate waste
segregation &
disposal
Waste containers
adequate/ marked
for contents
Used oil/filters
properly stored in
contained area and
disposed
Paint/thinner waste
properly
stored/disposed
Waste
batteries/tires
properly
stored/disposed
Waste disposal
manifest/tracking
log maintained and
updated
 INTERNAL AUDIT AND Doc Ref No.: CDPNL/HSE-IA/09-01

MANAGEMENT REVIEW Issue date: JUNE 11, 2021

Dept: QHSE
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EMERGENCY PREPAREDNESS

Check all ‘noncompliance’s’ from

previous Audit in right hand column Y/N Y/N Y/N
Recurring problems
Manned First Aid
stations/First aid Kits
Medical supplies adequate
Eye wash stations
Emergency muster points
Emergency contact Nos.
Posted and Known
Firefighting equipment
available and in date
Emergency paths/exits
clear
Record of ER exercise
(drills) kept/updated
EVAC in place and known
Alarms
working/maintained
Pollution Equipment
(swamp)
EVAC procedure in place
and known
 INTERNAL AUDIT AND Doc Ref No.: CDPNL/HSE-IA/09-01

MANAGEMENT REVIEW Issue date: JUNE 11, 2021

Dept: QHSE
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PERMITS

Check all ‘noncompliance’s’ from

previous Audit in right hand column Y/N Y/N
Y/N
Recurring problems
Permit displayed at site
Hot work permit required
Confined space entry
permit required
Excavation permit required
Elec. Isolation permit
Gas/O2 meter available,
calibration in date,
Confined Space tested safe
for entry
Permit restrictions followed
SIMOP log maintained
If multiple SIMOPs are
involved, has Quality of
combined work been
assessed?
Operation LOTO adequate
Per SOP 403
Is a new GWP written each
time LOTO changes
Are Construction locks in
place for LOTO
 INTERNAL AUDIT AND Doc Ref No.: CDPNL/HSE-IA/09-01

MANAGEMENT REVIEW Issue date: JUNE 11, 2021

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MATERIAL HANDLING

Check all ‘noncompliance’s’ from

previous Audit in right hand column Y/N Y/N
Y/N
Recurring problems
Proper chemical storage
/adequate ventilation
MSDS and Hazardous
Materials Identification
Stickers?
Chemicals separated
from flammables
Chemical storage
containers properly
labeled
Handlers aware of
Chemical hazards
Splash containment
Proper signs posted
Shelving secured/not
overloaded/safe access
Materials neatly and
correctly stacked in
manageable load sizes
Are elevated material
storage locations
adequately laid out and
designed
 INTERNAL AUDIT AND Doc Ref No.: CDPNL/HSE-IA/09-01

MANAGEMENT REVIEW Issue date: JUNE 11, 2021

Dept: QHSE
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CRANE/ RIGGING
Check all ‘noncompliance’s’ from
previous Audit in right hand column Y/N Y/N
Y/N
Recurring problems
Are slings and shackles
color coded and
inspected
Personnel standing clear
off loads
Correct manual
handling techniques
Crane, Crane Operator
and Rigger Certificates
No hand Spliced slings
Proper crane signals
Taglines used as
required
Safe working loads
(SWL) marked and load
charts provided
Lift plan available for
critical/non
routine/tandem lifts
Fork lift pre mobbed
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RADIOGRAPHY

Check all ‘noncompliance’s’

from previous Audit in right Y/N Y/N
hand column Y/N
Recurring problems
Is the Source storage
satisfactory
Are Radiation barriers
erected where required
Audible alarm sounded
Are there enough signs
Is a Radiation monitor
available on site
Is the Radiation monitor
calibrated and in date
Is there an RPS on site
Is the RPS qualified
Does RPS have a film
badge
Is there a Permit for
radiation work
Are Local Rules on site
Daily site storage record
kept/updated
Permit to ship/transport
system being used

RPS = Radiation Protection

Supervisor
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GENERAL TOOLS & EQUIPMENT

Check all ‘noncompliance’s’ from

previous Audit in right hand column Y/N Y/N
Y/N
Recurring problems
All hand tools fit for
purpose /good
condition
Manual lifting signs
displayed on site
Do ‘dead man’ stops
work on air tools
Grinders with guards
and inspection dates
Grinding discs (no
cracks)
Abrasive wheel
training
Are guards fitted
where necessary
Are Portable tools
periodically inspected
(records kept), and
before each use
Machine Guards
Back-up alarms
Windows intact on
equipment
No home-made tools
Verify Whip checks
are tightened
properly prior to start
of blasting/painting
operations?
 INTERNAL AUDIT AND Doc Ref No.: CDPNL/HSE-IA/09-01

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OTHER ITEMS

Check all ‘noncompliance’s’

from previous Audit in right Y/N Y/N
hand column Y/N
Recurring problems
Adequate toilets/wash
facilities/area clean
Site fumigation as
required, and free of
infestation
Fuel Storage tanks have
110% secondary
containment/storage
Smoking restrictions
General site
housekeeping okay
Weather control
Grit Blasting area ok
Pollution control
Vehicle drivers licensed
Driver/Passengers use
seat belt
Speed limit
posted/known and
observed
Lighting adequate in
work areas
Adequate workshop
ventilation
No petrol-powered craft
on site which is used for
transport within the field/
no petrol stored at site