AUDIT MANAGEMENT SCHEDULE & PROCEDURE

CONSTRUCTION OF AFENO ROAD 665MX6M ASPHALT WORKS

PROJECT NAME:
IN IRRI COMMUNITY IN DELTA STATE –
7200027088
TENDER NO.:
DOCUMENT TITLE AUDIT MANAGEMENT SCHEDULE & PROCEDURE

Revision Date Description Originator Checker Approver

R01 23.11.2022 ISSUE FOR TECHNICAL EVALUATION BO PN UI

This document contains proprietary information and may not be partly or wholly reproduced without prior
written permission

AUDIT MANAGEMENT SCHEDULE & PROCEDURE

SUMMARY PAGE
This AUDIT MANAGEMENT SCHEDULE & PROCEDURE (AMSP) was prepared to address the issue
relating to project initiation, setting up, monitoring and control, progress tracking, communication and
correspondences, interphase and general management of the project.
The team shall adopt a very viable idea to ensure that engineering and construction work are delivered on time, at
the right quality and within schedule.
 TABLE OF CONTENTS

1.0 PURPOSE ........................................................................................................................................... …..3

1.1 SCOPE........................................................................................................................................................ 3
1.2 FREQUENCY ................................................................................................................................................ 3
1.3 AUDIT TEAM, RESPONSIBILITIES AND COMPETENCES ..................................................................................... 3
2.0 THE AUDIT PROCESS ....................................................................................................................... .....3
2.1 DOCUMENT REVIEW ..................................................................................................................................... 3
2.2 OPENING MEETING ...................................................................................................................................... 4
2.3 THE AUDIT .................................................................................................................................................. 4
2.4 CLOSING MEETING ...................................................................................................................................... 4
2.5 AUDIT REPORTS .......................................................................................................................................... 4
2.6 FOLLOW-UP AND CLOSURE OF ACTION ......................................................................................................... 4
2.7 FOLLOW-UP AUDIT AND COMPLETION ........................................................................................................... 5
3.0 DEFINITIONS: ..................................................................................................................................... 5
4.0 CHECKLISTS............................................................................................................................................ 6
 1.0 Purpose
SHROMB GEOTECHNICAL LTD management shall periodically or episodically commission or accept
contractual and regulatory audit of its management systems including the HSE MS in order to determine:
whether it:
 Conforms with the planned arrangements for health, safety and environmental management including the
requirements of ISO 14000 and OHSAS 18000 series
 Has been properly implemented and maintained
 Audit results provided to management for review

1.1 Scope
The audit could be conducted at various levels: corporate, divisional, regional or local.

The company has adopted the following OHSAS 18001 audit checklists for the following HSE MS elements:
General Requirements; HSE Policy; Planning for Hazard Identification, Risk Assessment, and Risk Control;
Legal and Other Requirements; Objectives; HSE Management Programs; Structure and Responsibility;
Training, Awareness and Competence; Consultation and Communication; Documentation; Document and Data
Control; operational Control; Emergency Preparedness and Response; Performance Measurement and
Monitoring; Accidents, Incidents, Non-conformance and Corrective and Preventive Actions; Records and
Record Management; Audit; Management Review

1.2 Frequency
The company has scheduled a yearly internal audit of its facilities, departments and work schedules as a matter
of policy. Additional audits are commissioned at start-up of new projects and after a significant change in
operations or a major accident.
Other audits may be commissioned to satisfy contractual requirements or for certification purposes by external
bodies.

1.3 Audit Team, Responsibilities and Competences

The commissioner of the audit or management will set up an audit team of 3 or more auditors one of whom will
be the lead auditor will also define the scope and audit criteria and system of classifying the audit findings;
provide the resources and follow-up the process to closure.

All auditors should meet the criteria specified by ISO 14012 “Guidelines for Environmental Auditing-Qualification
Criteria for Environmental Auditing.” They may be internal or external persons but not operators of the particular
activity being audited. They must all have formal and/or on-the-job training and/or experience in the auditing
process. The lead auditor should be of such seniority and experience to give credibility to the audit findings.

The lead auditor shall coordinate the auditing process and consult with all principal actors and make clear
recommendations for corrective actions. The auditors under the direction of the lead auditor shall collect all the
evidences, document the findings and prepare the reports. The auditee shall cooperate with the auditors and
even provide a guide to take them round the facilities as they perform their work.

2.0 The Audit Process

2.1 Document Review

The lead auditor and his team shall review the existing documents of the auditee like the HSE MS manual,
procedures and standards, previous audit/inspection reports, non-conformance reports, corrective actions
reports, hazards and waste registers, organizational charts and CVs of key personnel, regulatory permits , work
permits, etc

2.2 Opening Meeting

The audit team shall hold an opening meeting with the auditee management and HSE personnel to reaffirm the
scope, objectives, criteria, agenda and plans for the audit. Any other necessary information should be obtained.
The methods and procedures for the audit will be agreed upon and a timetable for the audit drawn up. Resolve
all logistic challenges. Review changes since last audit. Date of closing meeting will also be set.

2.3 The Audit

The lead auditor at the head of his team shall directly observe and interview management, HSE and all
personnel, inspect the facility being audited with all equipment in operation and materials in use, examine all
documents and document their findings in the checklists for each HSE MS element listed in section 1.1 of this
procedure. They shall also interview all action parties to corrective actions and non-conformances. All
documents should be checked for authenticity and veracity. All information gathered will be verified with data
from independent sources. They shall analyze all their findings, with respect to audit criteria, make
recommendations for improvement and prepare a draft report for the closing meeting.

2.4 Closing Meeting

The audit team shall hold a closing meeting with the auditee management, HSE personnel and audited workers
to:
 Review the draft report of findings and recommendations
 Make sure the auditee understands and acknowledges the factual basis of the findings
 Resolve disagreements
 Confirm distribution of report and response of auditee to findings and recommendations

2.5 Audit Reports

The final audit report shall be prepared under the direction of the lead auditor and issued to the company
management or commissioner of audit who shall distribute it to the appropriate persons. A typical audit report
shall include:
 Introduction – location, business, dates, auditors, scope, objectives and plan of audit
 Agreed audit criteria and reference documents
 Executive summary
 General observations
 Positive findings
 Deficiencies – major and minor non-conformances
 Reference to regulations, policies, guides etc
 Recommended actions

2.6 Follow-up and Closure of Action

The audit plan contains the distribution list and time of the final audit report. The auditee management shall
prepare a satisfactory corrective action plan for each finding and submit to the lead auditor within one month or
as mutually agreed. This plan will be filed with the final report.
The auditee will track all corrective actions and close them out.
Follow-up Audit and Completion
A follow-up audit will be conducted a year later to review the effectiveness of the corrective actions. A new
corrective action plan will be prepared and the actions tracked to close out, if necessary on a continuous basis.

A follow-up audit report will be written and distributed to appropriate parties and finally filed with the original
audit report to complete the process.
3.0 Definitions:
1. Audit: A systematic assessment of the efficiency and effectiveness of an organization or process
in relation to policies, objectives and implementation and maintenance of the system. It may be
taken as investigation of an accident before it happens. It allows detailed analyses of deficiencies
and their possible remedies.
2. Audit criteria: Standards, conditions, guidelines, objectives, etc by which an auditor judges
collected evidence of subject matter
3. Auditee: organization or company being audited
4. Auditors: Trained and experienced resource persons conducting an audit
4.0CHECKLISTS

Excellent Good Fair Poor None

No. HSE POLICY
5 4 3 1 0
1 Does a policy exist? Yes
Is the policy appropriate to the nature and scale of the
2
company’s risks? Yes
Does the policy include a commitment to continual
3
improvement? Yes
Does the policy include a commitment to comply with all
4
current legal and other requirements? Yes
5 Is the policy documented, implemented and maintained?
Is the policy communicated to all employees to make them
6
aware of their HSE obligations? Yes
7 Is the policy made available to all interested parties? Yes
Is the policy reviewed periodically to ensure that it remains
8
relevant and appropriate the company’s operations? Yes
Does the policy include allocation of adequate resources for
9
HSE implementation? Yes
Is HSE recognized as an integral part of business
10
performance? Yes
Do all employees have at least a working knowledge of the
11
policy? Yes
Do employees make conscious effort to implement the
12
policy? Yes
13 Overall assessment of the policy Good
 Excellent Good Fair Poor None
No. PLANNING
5 4 3 1 0
Procedures:
Have they been established and maintained for ongoing Yes
identification of hazards, risk assessment and implementation of
1 necessary controls?
2 Do the procedures cover routine and non-routine activities? Yes
Does it Include the activities of all stakeholders in the Yes
3 workplace: workers, contractors, visitors?
Does it account for human behaviour, capabilities and other Yes
4 human factors?
Identify hazards originating outside the workplace that may Yes
5 impact negatively on company, persons or environment?
6 Cover facilities at the work place even those provided by others? Yes
identify hazards created in the vicinity by work-related activities Yes
7 of the company
8 Does it accommodate change management? Yes
Continual modification of the HSE management system to meet Yes
9 operational, contractual and legal requirements?
include design of work areas, processes, installation, None
machinery/equipment, operating procedures and work
organizations relating to risk assessment and implementation of
10 necessary controls
Does it ensure that the results of these assessments and the Yes
effects of the controls are considered when HSE objectives and
11 the programs to achieve them
Hazard Identification & Risk Assessment Methodology:
Is it defined with respect to scope, nature and timing to be Yes
12 proactive rather than reactive?
Does it provide for classification of risks and management Yes
13 through controls defined in the objectives
Is it consistent with operating experience and the capabilities of Yes
14 risk control measures used?
Does it provide input into the determination of facilities Yes
requirements, identification of training needs and/or
15 development of operational controls?
Does it provide for the monitoring of required actions to ensure Yes
16 both the effectiveness and timeliness of their implementation
Do you integrate results of previous audits, incidents and Yes
17 emergencies
As part of change management, do you prioritize controls in this Yes
order: elimination, substitution, engineering controls,
signage/warnings and/or administrative controls, personal
18 protective equipment?
19 Do you provide a written record where risks are significant? Yes
Legal and other Requirements
Has the company established, implements and maintains Yes
procedure(s) for identifying and accessing all the legal and other
20 HSE requirements that are applicable it
 Do you ensure that all these requirements are taken into Yes
account in establishing, implementing and maintaining your HSE
21 MS
22 Do you regularly update this information and make it available to Yes
all employees and interested persons?
23 Do you have a register of legal and statutory regulations relevant Yes
to HSE?
24 Do you train employees to abide by all requirements? Yes
Objectives
25 Have you established, implement and maintain documented Yes
HSE objectives at each relevant function and level in the
company?
26 Are the objectives measurable and consistent with HSE policy, Yes
requirements and continual improvement?
27 Have the objectives taken into account the legal and other Yes
requirements, HSE risks, technology options, operational and
business requirements and views of interested parties
28 Do the objectives pass the SMART test? Yes
29 Are the objectives prioritized?
Have you defined performance indicators for key objectives?
30 Quantitative, qualitative and milestones. Yes
31 Have you broken the objectives in individual elements? Yes
32 Have prepared a plan to implement each element? Yes
HSE Management Programs
Have you established, implement and maintain a HSE
33 management programs for achieving the objectives? Yes
Does the plan designate responsibility and authority for
achieving the objectives at relevant functions and levels of the
34 company? Yes
Does it stipulate means and timescale by which objectives are to
35 be achieved? Yes
Do you review the management programs at planned regular
36 intervals? Yes
Do you amend the programs to address changes to the
activities, products, services or operating conditions to ensure
37 that objectives are achieved? Yes
Do you conduct new risk management exercises after major
38 changes in working practices, processes or equipment? Yes
 Excellent Good Fair Poor None
No. IMPLEMENTATION AND OPERATIONS
5 4 3 1 0
1 Ultimate responsibility rests with top management or CEO? Yes
2 A top manager is responsible for HSE activities? Yes
Are enough resources allocated to implement and maintain the
3
HSE management system Yes
Are reports of HSE performance periodically presented to top
4
management for review? Yes
Are the results used as a basis for continual improvement of the
5
HSE MS? Yes
Does the HSE manager have defined roles, responsibilities and
6
authority to perform? Yes
Does the manager ensure that the HSE MS is established,
7 implemented and maintained in accordance with OHSAS 18001
& ISO 14001? Yes
Is the identity of the HSE manager known to all in the
8
workforce? Yes
9 Are his roles understood by all in the workforce? Yes
Do all managers demonstrate commitment to continual
10
improvement of the HSE MS? Yes
11 Do managers attend HSE meetings? Yes
12 Do managers visit sites? Yes
13 Are managers involved in incident investigations?
Does everybody in the workplace take responsibility for aspects
14
of the HSE over which he/she controls? Yes
Training, Awareness and Competence
Are all workers competent in terms of education, training and
15
experience? Yes
16 Are there records of employee training and competence? Yes
Has the company identified the training needs for HSE risks and
17
HSE MS? Yes
Have these training needs been provided or alternatively
18
satisfied? Yes
19 How effective is the training or action taken? Yes
Are there procedures to ensure awareness of :
Yes
Importance of conformance to HSE policy, procedures and
20
requirements of the management system? Yes
The potential and actual HSE consequences of work activities
21
and behaviour? Yes
22 HSE benefits of improved personal performance by workers? Yes
23 Their roles and responsibilities? Yes
The potential consequences of departure from specified
24
procedures? Yes
Do training programs take into account differing levels of
25
responsibility, ability, language, skills, literacy and risk? Yes
Communication
26 Are there clear and open channels of communication existing? Yes
 Are there internal channels of communication among the various
27
levels and functions of the company? Yes
Are there channels of communication with contractors and other
visitors to the workplace? Yes
Are channels for receiving, documenting and responding to
28
relevant communications from external interested parties? Yes
29 Is there a focal point for all HSE matters? Yes
Participation and Consultation
Are there procedures for worker involvement in: Yes
Hazard identification, risk assessment and determination of
30
controls? Yes
31 Incident investigation? Yes
32 Development and review of HSE policies? Yes
33 Are workers consulted in changes that affect their HSE affairs? Yes
34 Is there a worker representative for HSE matters? Yes
Are relevant external parties consulted about pertinent HSE
35
matters? Yes
Documentation
Are the company’s information established and maintained in
36
paper or electronic form? Yes
Does your HSE MS documentation include:
37 HSE policies and objectives? Yes
38 Description of the scope of the HSE MS? Yes
Description of the main HSE MS elements and their
39
interactions? Yes
40 Reference to related documentation? Yes
Documents, including records required by the OHSAS 18001
41
and ISO 14001 standards? Yes
Documents and records necessary for effective and efficient
42
implementation and operation of the HSE MS and the risks? Yes
Control of Documents
Are procedures available for controlling all HSE MS documents
43
and data required by the OHSAS and ISO standards? Yes
Are procedures available for:
44 Approval of documents for adequacy prior to issue? Yes
Periodic review, revision and re-approval for adequacy by
45
authorized personnel? Yes
Ensuring that changes and current revision status of documents
46
are identified? Yes
Ensuring that current versions of documents and data are
47
available at points of use? Yes
Ensuring that HSE relevant documents of external origin are
48
identified and their distribution controlled?
Preventing the unintended use of obsolete documents and
49 applying suitable identification to them if they retained for any
purpose? Yes
50 Do you have a dedicated document controller? Yes
Is the language of the documents easy to understand by the
61
intended users? Yes
 Operational Control
Have you determined those operations and activities that are
62 associated with identified hazards, where the implementation of
controls is necessary to manage the HSE risks? Yes
63 Does this include the management of change? Yes
Does the company implement and maintain: Yes
64 Operational controls integrated into its HSE MS? Yes
65 Controls related to purchased goods, equipment and services? Yes
Controls related to contractors and other visitors to the
66
workplace? Yes
Documented procedures to cover situations where their absence
67
could lead to deviations from the HSE policy and objectives? Yes
Stipulated operating criteria where their absence could lead to
68
deviations from the HSE policy and objectives? Yes
Emergency Preparedness and Response
Are there procedures to:
69 Identify the potential for emergency situations? Yes
70 Respond to such emergency situations? Yes
Prevent and mitigate the associated adverse HSE
71
consequences? Yes
Do you take account of the needs of relevant interested parties
72
e.g. neighbours, emergency services? Yes
Do you review and revise the procedures
73 Periodically? Yes
74 After occurrence of emergency situations? Yes
Do you periodically test the effectiveness and adequacy on the
75
procedures e.g., through drills? Yes
Do you involve relevant interested parties in these HSE
76
exercises? Yes
77 Do you have a known leader in case of emergencies? Yes
78 Are the instructions easy to follow?
79 Are obligatory actions clearly spelt out? Yes
80 Are all workers adequately informed and trained? Yes
 Excellent Good Fair Poor None
No. CHECKING AND CORRECTIVE ACTIONS
5 4 3 1 0
Performance Measurement and Monitoring
Are there procedures to monitor and measure HSE performance Yes
1
on a regular basis?
Do your procedures provide for: Yes
Both qualitative and quantitative measures, appropriate ton the Yes
2
needs of the company?
Monitoring of the extent to which the company’s HSE objectives Yes
3
are met?
Proactive measures of performance that monitor conformance Yes
4
with the HSE program, controls and operational criteria?
Reactive measures of performance to monitor ill health, Yes
5 incidents and other historical evidence of deficient HSE
performance?
Recording of data and results of monitoring and measurement Yes
6 sufficient to facilitate subsequent corrective action and
preventative action analysis?
Calibration and maintenance of monitoring and measuring Yes
7
equipment?
8 Documentation of calibration and maintenance activities? Yes
9 Conformance to statutory requirements? Yes
Evaluation of Compliance
Do you know all the legal and other requirements governing Yes
10
HSE activities?
11 Do you have access to them? Yes
Are there procedures for periodically evaluating compliance with Yes
12
applicable legal requirements?
Are there procedures for evaluating compliance with OHSAS Yes
13
18001 and ISO 14001 standards?
14 Do you keep records of these periodic evaluations? Yes
Incident Investigation
Are there procedures to record investigate and analyze Yes
15
incidents?
Do your procedures: Yes
16 Determine responsible factors and root causes? Yes
17 Identify the need for corrective actions? Yes
18 Identify opportunities for preventive actions? Yes
19 Identify opportunities for continual improvement? Yes
Communicate results of such investigations and lessons learned Yes
20
to all in the workforce?
Are the results of incident investigations documented and Yes
21
maintained for a specified minimum time?
22 Are incidents investigated timely by competent persons? Yes
Nonconformity, Corrective Action and Preventive Action
Are there procedures for dealing with actual and potential Yes
23 nonconformities and for taking corrective actions and preventive
actions?
 Do these procedures provide for: Yes
Identifying and correcting nonconformities and taking actions to Yes
24
mitigate their HSE consequences?
Investigating nonconformities, determining their causes and Yes
25
taking actions in order to prevent their occurrences?
Evaluating the need for actions to prevent nonconformities and Yes
26 implementing appropriate actions designed to avoid their
occurrence?
Recording and communicating the results of corrective actions Yes
27
and preventive actions taken?
Reviewing the effectiveness of corrective and preventive actions Yes
28
taken?
Reviewing proposed actions for newly identified hazards through Yes
29
risk assessment before implementation?
Corrective and preventive actions are appropriate to the Yes
30 magnitude of problems and commensurate with the HSE risks
encountered?
Recording any necessary changes to the HSE MS procedures Yes
31
due to the corrective and preventive actions taken?
32 Do you maintain a Non-Conformance Register (NCR)? Yes
Control of Records
Are there procedures for the identification, storage, protection, Yes
33
retrieval, retention and disposal of records?
Do you maintain records necessary to demonstrate conformity to Yes
34 the requirements of the HSE MS, OHSAS 18001 and ISO 14001
standards, and the results achieved?
35 Are the records legible, identifiable and traceable? Yes
36 Do you have a dedicated records controller? Yes
Internal Audit
Is there an appropriate audit policy? Yes
37 Are internal audits planned and conducted periodically? Yes
Do the internal audits determine whether the HSE MS Yes
Conforms to the requirements of the OHSAS 18001 and ISO Yes
38
14001 standards?
39 Has been properly implemented and maintained? Yes
is effective in meeting the company’s policy and objectives Yes
40 Do the audits review the result of previous audit? Yes
Are results of audits provided to management? Yes
Are audits planned on the basis of risk assessments and results Yes
41
of previous audits?
Do the audit procedures and aids address: Yes
42 the responsibilities, competencies Yes
requirements for planning and conducting audits Yes
Reporting results and retaining associated records? Yes
Defining key elements to be audited? Yes
Inclusion of a cross-section of activities? Yes
The determination of audit criteria, scope, frequency and Yes
43
methods?
44 Selection of qualified objective and impartial auditors? Yes
45 Conducting audits objectively and impartially? Yes
Are audit team members external to the auditee? Yes
Is documentation wholesome and complete? Yes
Is audit report clear, precise and complete? Yes
 Excellent Good Fair Poor None
No. MANAGEMENT REVIEW AND CONTINUAL IMPROVEMENT
5 4 3 1 0
Does top management review the HSE management system at Yes
1 planned periodic intervals?
Do the reviews ensure continuing suitability, adequacy and Yes
2 effectiveness of the HSE management system?
Do the reviews include assessing opportunities for improvement Yes
3 and need for changes in the HSE MS?
4 Are reviews documented and the records retained? Yes
Do the inputs to the reviews include: Yes
Results of internal audits and evaluations of compliance with Yes
5 applicable legal and other relevant requirements?
6 Results of participation and consultation? Yes
Relevant communications from external interested parties, Yes
7 including complaints?
8 The HSE performance of the company? Yes
9 The extent to which the objectives have been met? Yes
Status of incident investigations, corrective actions and Yes
10 preventive actions?
11 Follow-up actions from previous management reviews? Yes
Changing circumstances, including developments in legal and Yes
12 other requirements related to HSE?
13 Recommendations for improvement? Yes
Are the outputs from the management reviews consistent with Yes
14 the company’s commitment to continual improvement?
Do the outputs include decisions and actions related to possible Yes
changes to:
15 HSE performance? Yes
16 HSE policy and objectives? Yes
17 Resources? Yes
18 Emergencies? Yes
19 Risk Management? Yes
20 Other elements of the HSE management system? Yes
Are the relevant outputs from the management reviews made Yes
21 available for communication and consultation?