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Core Audit Module 2016
Core Audit Module 2016
Version: 1.0
Please note: Renewal Audit shall be carried out every three years
NipeX JQS Audit Module
Contents
Introduction........................................................................3
Issue Record.......................................................................3
ASSESSMENT REQUIREMENTS...............................................4
1. Company Registration................................................4
2. Financial Information
3. Organisational Capacity..............................................5
4. Plant & Equipment.....................................................6
5. Software...................................................................6
6. Document Management..............................................6
7. Quality Management Systems.....................................7
8. Personnel.................................................................8
9. Nigerian Content Development....................................9
10. Health, Safety and Environment Management..............10
11. Security & Business Continuity Planning......................13
12. Insurance...............................................................13
13. Subcontractor & Supplier Management.......................14
14. Competency & Training.............................................14
Introduction
This document contains the “Core” assessment process by which NipeX will
measure the Nigerian Upstream Oil & Gas supply chain. The principle
constituents of this process are the verification and assessment of the
quality and applicability of their supply chain management systems.
Issue Record
This protocol will be subject to change and updating as a result in the following
areas:
Changes in applicable statutory instruments
Recommendations from enforcement authorities or industry
bodies focusing on either prevention of accidents or new best
practice
Changes in the NipeX contractual conditions
Version History
1.0 xx Feb 2016 Supervisor Manager JQS GM, NipeX First edition
Assessment
ASSESSMENT REQUIREMENTS
1. Company Registration
The Assessor should establish that the organisation being assessed holds all
relevant statutory requirement and approvals for the scope of work
undertaken through examination of pertinent certificates of authorisation
including:
2. Financial Information
2.1.1 That the last 3 years accounts have been audited and certified
2.1.2 That an Asset/Equipment Register is maintained and controlled
2.1.3 The percentage of owned assets and equipment with evidence of
ownership
2.1.4 The percentage of leased assets and equipment with evidence of
lease agreement, where applicable.
2.1.5 Evidence as to which assets have been contracted out and / or are
operationally engaged
2.1.6 That the company holds a valid VAT certificate
2.1.7 That the company can produce the last 3 years Tax Clearance
Certificate.
2.2.1 Does the organisation work with their suppliers to prevent bribery
& corruption within its supply chain?
2.2.2 Does the organisation have a lenient view of bribery or receipt of
gifts within their supply chain?
3. Organisational Capacity
3.3.1 What type of facility does the organisation have, do they have an
administrative office, branch office or operational base.
3.3.2 Assessor to describe the facilities and building type (also take
photographs of offices to verify comments).
5. Software
6. Document Management
7.2 Does the company have documented processes for the control
and production of the following?
* The Assessor should record which of the above are applicable to the
company’s scope of work and the control mechanisms used to ensure these
processes are discharged in a controlled manner.
8. Personnel
8.2.4 That the expatriates have the required work permits and ply
their trade legitimately
8.2.5 That the company filed monthly Returns to Nigerian
Immigration Services
8.3.1 That the company has reviewed and assessed any labour
suppliers used
8.3.2 That wages paid are fair and appropriate
8.3.3 That working hours are assessed and controlled
8.3.4 That the company does not use child labour
8.3.5 That the company has a community relations policy
8.3.6 That adequate and suitable welfare facilities are provided for all
workers e.g. Toilets, drinking water
8.4.1 Sample personnel files and validate that workers are issued
with a contract, detailing information about their employment terms
including temporary or seasonal workers.
9.1.4 How the company implements NCD directives and that the
company has a proven process for implementation of local content
policy
9.1.5 That a Nigeria Content Development (NCD) driver is in place
9.1.6 That the organisation sources goods and services locally (where
applicable)
12. Insurance
12.2 The Assessor should establish at the time of the audit that the
organisation has current certificates of insurance in place for
the service the organisation provides
(A copy of all relevant certificates and associated paperwork should be taken and
included in the main report)
13.1 Has the organisation identified a person who has authority for
subcontractors and /or suppliers used to provide their scope
of services?
13.1.1 Who the person is and do they work for the company
13.2.1 That the company has reviewed and assessed any suppliers
used
13.2.2 That the companies being used are permitted by the client
13.2.3 Does the company maintain an approved register for suppliers
& subcontractors?
13.2.4 Does the organisation have a process for the recording and
monitoring of any corrective actions raised at subcontractor audits?
14.1 What are the organisations policy and arrangements for the
training of workers?
14.2.2 How the organisation ensures they use only competent sub-
contractors and do they have a process in place for their
workforce?
The Assessor should establish that the organisation is carrying out sufficient
checks to verify that:
15.1.1 Fabrication
The Assessor should establish the following:
15.1.2 Evidence of ownership of a Fabrication yard. E.g. Yard
Layout/ evidence of access, via MOA, Lease Agreement and ownership
documents
15.1.3 Evidence of a Workshop
15.1.4 Evidence of Equipment
15.1.12 Construction
The Assessor should establish the following:
15.1.13 Evidence of Construction yard
15.1.14 Ownership/access to construction equipment
15.1.15 Evidence of experienced / competent personnel
15.1.16 Maintenance
The Assessor should establish the following:
15.1.17 Evidence of Maintenance workshop
15.1.18 Ownership/access to maintenance equipment
15.1.19 Evidence of experienced / competent / certified personnel
15.1.20 Engineering
The Assessor should establish the following:
15.1.21 Evidence of an Engineering office1 Evidence of Software
access
15.1.22 Evidence of certified COREN personnel
15.1.23 Evidence of registration with COREN / NSE