nuclear geo-hazards group core integrated …...(ngg) integrated management system manual (cgs...

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NUCLEAR GEO-HAZARDS GROUP CORE INTEGRATED MANAGEMENT SYSTEM

PROCEDURES, WORK INSTRUCTIONS, FORMS AND CHECKLISTS

JHP van der Merwe, A Graham, M Gouverneur and E Hattingh

Council for Geoscience Report Number 2013-0010

Rev. 0

Confidential

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DOCUMENT APPROVAL SHEET

REFERENCE:

CGS REPORT

2013-0010

ESKOM

REVISION

0

COPY No.

Nuclear Geo-Hazards Group Core Integrated Management System Procedures, Work Instructions Forms

and Checklists

DATE OF

RELEASE:

29 March 2013

CONFIDENTIAL

AUTHORS

COMPILED BY

COMPILED BY

COMPILED BY

ACCEPTED BY:

JHP van der Merwe A Graham M Gouverneur N Keyser

REVIEWED BY

AUTHORISED BY:

E Hattingh G Graham

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REVISION DESCRIPTION OF REVISION DATE MINOR

REVISIONS

APPROVAL

0 The documents contained in this report were compiled from the

IMS manual 2010-0168, rev. 1. Procedures were amended to be

aligned with the revised IMS manual 2010-0168, rev. 2. No

changes affected on the work instructions, forms and checklists

except for the alignment of page numbers and reference in

headers.

29-03-2013

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TABLE OF CONTENTS

DOCUMENT APPROVAL SHEET .............................................................................. ii

1 Scope .................................................................................................................. 1

1.1 Purpose ......................................................................................................... 1

1.2 Applicability ................................................................................................... 1

2 References .......................................................................................................... 1

3 Definitions and Abbreviations .............................................................................. 1

4 Roles and Responsibilities ................................................................................... 2

5 Core IMS procedures, work instructions, forms and checklists ............................ 2

6 Monitoring ............................................................................................................ 2

7 Records ............................................................................................................... 2

8 Development Team ............................................................................................. 2

9 Appendices .......................................................................................................... 3

9.1 Appendix A: Core IMS Procedures ............................................................... 3

9.2 Appendix B: Core IMS Work Instructions ...................................................... 4

9.3 Appendix C: Core IMS Forms ....................................................................... 4

9.4 Appendix D: Core IMS Checklists ................................................................. 4

CORE INTEGRATED MANAGEMENT SYSTEM PROCEDURES, WORK INSTRUCTIONS, FORMS AND CHECKLISTS

Rev. 2 REFERENCE: CGS report 2013-0010

ISSUE DATE 29 March 2013

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1 Scope

This report consolidates the core IMS procedures, forms, work instructions and

checklists and must be read in conjunction with the Nuclear Geo-Hazard Group

(NGG) Integrated Management System Manual (CGS Report 2010-0168).

1.1 Purpose

The purpose of this report is to consolidate the core IMS procedures, forms, work

instructions and checklists with the aim to address the procedural requirements in

ISO 9001, RD-0034, OHSAS 18001 and ISO 14001.

1.2 Applicability

Each procedure in this report addresses the applicable target audience in the NGG.

2 References

Applicable references to CGS and external documents are contained in each

procedure in this report.

3 Definitions and Abbreviations

Definitions and abbreviations are extensively described in Appendix B (CGS Report

2010-1068).





4 Roles and Responsibilities

Roles and responsibilities are described in each procedure of this report.

5 Core IMS procedures, work instructions, forms and checklists

The core IMS procedures, work instructions, forms and checklists are handled as

elements of this report and are uniquely identified and managed as a document of its

own nature.

The documents are consolidated in the Appendices of this report for ease of

reference and maintenance.

6 Monitoring

Monitoring and acceptance criteria are described in each procedure of this report.

7 Records

Records are described in each procedure of this report as well as the records matrix

(e.g. TNSP-RML-11-0001).

8 Development Team • Jannie van der Merwe

• Annabel Graham

• Michelle Gouverneur

• Erna Hattingh

• Francois Delport





• Marinda Havenga

• Johann Neveling

9 Appendices

9.1 Appendix A: Core IMS Procedures

CGS/QA10/PR01 Procedure for project management

CGS/QA10/PR02 Procedure for control of records

CGS/QA10/PR03 Procedure for corrective and preventive action

CGS/QA10/PR04 Procedure for competence, training and awareness

CGS/QA10/PR05 Procedure for internal audit and self-assessment

CGS/QA10/PR06 Procedure for internal and external independent technical

review

CGS/QA10/PR07 Procedure for control of non-conforming product or

services

CGS/QA10/PR08 Procedure for resource management

CGS/QA10/PR09 Procedure for management of the electronic repository

CGS/QA10/PR10 Procedure for safety and SCEP training

CGS/QA10/PR11 Procedure for rewards and recognition for promoting

safety

CGS/QA10/PR12 Procedure for correspondence with the customer

CGS/QA10/PR13 Procedure for the control of reports

CGS/QA10/PR14 Procedure for IMS document control

CGS/QA10/PR15 Removed





9.2 Appendix B: Core IMS Work Instructions

CGS/QA10/WI01 Removed

CGS/QA10/WI02 Work instruction for checking of stored digital data

9.3 Appendix C: Core IMS Forms

CGS/QA10/FM01 Client confidentiality agreement CGS/QA10/FM02 IMS undertaking template CGS/QA10/FM03 Document approval sheet CGS/QA10/FM04 Acknowledgement of receipt of a confidential/restricted

document CGS/QA10/FM05 Acknowledgement of receipt of correspondence CGS/QA10/FM06 Document amendment sheet CGS/QA10/FM07 Q1 form CGS/QA10/FM08 Removed CGS/QA10/FM09 SCEP nomination form CGS/QA10/FM10 Acknowledgement of receipt of briefing session CGS/QA10/FM11 Acknowledgment of receipt of reading material CGS/QA10/FM12 Request for corrective and preventive action CGS/QA10/FM13 Removed CGS/QA10/FM14 Monthly financial progress report CGS/QA10/FM15 List of deliverables and invoicing information CGS/QA10/FM16 Form for reporting on risk management

9.4 Appendix D: Core IMS Checklists

CGS/QA10/CL01 Field safety checklist




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APPENDIX A: CORE IMS PROCEDURES

PROCEDURE FOR PROJECT MANAGEMENT

Rev. 2 REFERENCE: CGS/QA10/PR01

in CGS report 2013-0010



CGS/QA10/PR01-i



AMENDMENT SHEET





CGS/QA10/PR01-i

Revision No Nature of Change Revisions Approval

Issue Date

1

2

Extensive re-write of IMS documents following

internal audit held on 24-25 February 2011.

Minor revision. There is no major content difference.

Updated procedure’s content to align with the

revised IMS manual. The NGG changed the use of

the geoportal to an electronic repository. Ensure the

use of correct references to documents and project

structure roles.

05-09-2011

29-03-2013





CONTROLLED COPY CGS/QA10/PR01-1

1. SCOPE

1.1. Purpose

This procedure outlines the requirements to be adhered to for Project Management within the

Nuclear Geo-hazards Group. It outlines the different activities before a project starts up,

during the project execution phase and the close-out phase of the project.

1.2 Applicability

This procedure is applicable to the Project Management Team.

2. REFERENCES

2.1. CGS references A list of IMS documents is contained in the IMS Master List of documents (Appendix A in

CGS Report 2010-0168).

Other CGS references include:

IMS manual CGS report 2010-0168

Core IMS Procedures, Forms, Work Instructions

and Checklists

CGS report 2013-0010

Terms of Reference Management Review

Committee


Safety Culture Enhancement Programme CGS report 2010-0192

Processes, Classification and Technical

procedures


Applicable Project Execution Plans

Applicable Project Risk Register

Applicable Project Quality Plan






Applicable Compliance Matrix

Contracts: All applicable contracts between the CGS and customer.

2.2. External references Normative Eskom Standard 39-60 Contract quality requirements

ISO 9001:2008 Quality management systems - requirements

ISO 10006:2003 Quality management systems guidelines for quality management

in projects

NNR RD-0034:2008 Quality and safety management requirements for nuclear

installations

IAEA INSAG-4:1991 Safety culture

IAEA INSAG-13:1999 Management of operational safety in nuclear power plants

IAEA INSAG-15:2002 Key practical issues in strengthening safety culture

NSIP-01432 Rev.0A Nuclear sites: safety and quality classification of SSR-related

products and processes

NUREG-2117:2011 Practical implementation guidelines for SSHAC Level 3 and 4

hazard studies

NUREG CR-6372:1997 Recommendations for probabilistic seismic hazard analysis:

guidance on uncertainty and use of experts

Informative ASME NQA-1 Quality assurance requirements for nuclear facility applications

IAEA GS-R-3 The management system for facilities and activities

IAEA GS-G-3.1 Application of the management system for nuclear facilities and

activities

IAEA GS-G-3.5 Application of the management system for nuclear facilities

IAEA-TECDOC-1329 Safety culture in nuclear installations: guidance for use in the

enhancement of safety culture

ISO 14001:2005 Environmental management systems – requirements with

guidance for use






OHSAS 18001:2007 Occupational health and safety management systems

ISO 21500:2012 Guidance on project management

NNR RD-0016:2006 Requirements for authorisation submissions involving computer

software and evaluation models for safety

3. DEFINITIONS AND ABBREVIATIONS

Definitions and abbreviations are extensively described in Appendix B of CGS Report 2010-

0168.

4. ROLES AND RESPONSIBILITIES

The specific roles and responsibilities and the appointment of project team to various roles

within the nuclear geo-hazard related projects will be described in signed letters of

appointment and contracts, which will be kept by the Project Administrator. The high level

roles and responsibilities on the project are:

4.1 The CEO of the CGS will approve the project team that will represent, or perform tasks

for the nuclear geo-hazard project and appoint a Project Executive to manage the

project.

4.2 The appropriate Project Executive is responsible for the technical oversight of the

project and is responsible for reporting the status of the project to the CEO of the CGS

as required. With respect to the IMS, the Project Executive is accountable for all the

activities of the nuclear geo-hazard project including:

• Determining the criteria and methods needed to ensure the operation and control

of the identified processes (including the sequence and interaction of these

processes);

• Ensuring the availability of resources to support the nuclear geo-hazard project;






• Monitoring the processes and determining if the customer’s needs and

expectations are being met (e.g. management review meetings, attendance of

workshops, etc.); and

• Complying with the IMS policy, objectives and procedures as well as statutory

and regulatory requirements.

4.3 The appropriate Project Executive will identify resources for the project team. The

CEO will appoint the Project Manager for the co-ordination between the different

projects or processes, and interface with the various Study Leaders, as well as the

customer.

The Project Manager is assigned with the responsibility and accountability for the

project. The Project Manager is given the necessary authority to undertake the

responsibility and accountability for the project.

The Project Manager will ensure that all work will be carried out according to the

requirements stipulated in the customer’s contract(s) and supported by Project Quality

Plan by ensuring that project team members assigned to the project will:

• work according to established IMS procedures;

• have the necessary qualifications and training to adequately perform the tasks;

• have a working knowledge of the IMS suite of documents applicable to the

person as outlined in a letter of appointment or contract; and

• be given the necessary authority and responsibility to undertake the agreed

tasks.

4.4 The Project Executive will identify a Technical Manager for the project team. The

CEO will appoint the Technical Manager for the co-ordination between the different

projects or processes, and interface with the various Study Leaders, as well as the

customer for geological investigations. The Technical Manager will also provide

assistance to the Project Manager and continuity of the Project Manager’s role at any

time that the Project Manager is not available.






4.5 The Study Leaders and Task Leaders for geoscientific projects are identified by the

appropriate Project Executive and Project Manager. The Study Leaders and Task Leaders are appointed by the CEO and report to the Project Manager and/or Technical

Manager. The Study Leaders will be responsible for activities and the team working on

their portion of the project. Task Leaders will be responsible for specific technical tasks

to be performed by the technical teams. In some cases the role of a Study Leader and

Task Leader can be performed by the same person.

4.6 The CEO will appoint a member of CGS Management as Management Representative. The Management Representative will, irrespective of other

responsibilities, have the responsibility and authority to:

• ensure that the processes needed for the IMS are established, implemented and

maintained;

• report to Project Management on the performance of the Integrated Management

System (IMS) and any need for improvement;

• ensure the promotion of awareness of customer, statutory and regulatory

requirements throughout the project team; and

• liase with external parties on matters relating to the integrated management

system.

The Project Safety and Quality Officers report to the Management Representative

(as per RD-0034 §8.3.1 requirement 42 and 43) so that quality problems or relevant

safety aspects can be independently identified, corrected and repetition prevented. The

lines of communication clearly highlight the independence of the Management

Representative and the Project Safety and Quality Officers

4.7 The Project Manager and Management Representative will identify a resource for

the role as Project Quality Officer. The CEO will appoint a Project Quality Officer. The Project Quality Officer will have responsibility and authority that includes:

• ensuring that an IMS is established, implemented and maintained;






• reporting to Project Management (Management Representative, Project

Executive and Project Manager) on the performance of the quality management

system and any need for improvement; and

• assist with the promotion and awareness of quality, and regulatory requirements

throughout the project.

4.8 The Project Manager and Management Representative will identify a resource for

the role as Project Safety Officer. The CEO will appoint a Project Safety Officer. The Project Safety Officer will have responsibility and authority that includes:

• ensuring that the Safety Culture Enhancement Programme (SCEP), as well as

the associated safety plans is established, implemented and maintained as

integral part of the IMS;

• reporting to Project Management on the performance of the SCEP, associated

safety plans and any need for improvement; and

• assist with the promotion and awareness of a safety culture and OHS Act

requirements related to the project.

4.9 The Project Manager will identify a resource to be the Project Planner. The CEO will

appoint a member of the project staff as Project Planner. The Project Planner will

have responsibility and authority for the provisioning of a complete and effective

planning and scheduling function to the Project Manager to ensure that the NGG

projects are well planned and scheduled for timely completion. Key responsibilities will

be stipulated in the appointment letter.

4.10 The Project Manager will identify a resource for the position of Project Quality Controller. The CEO appoints a member of the project staff as Project Quality Controller. The Project Quality Controller will have responsibility and authority for the

development and compilation of quality documentation and/or data packs according to

Quality Control Plans (QCP). Plan and organise technical international workshops as

part of the SSHAC Level 3 process.






4.11 Other roles and responsibilities

Each process, procedure and work instruction describes the roles needed to perform the

relevant output. All appointments will be authorised by the CEO.

5. PROCEDURE FOR PROJECT MANAGEMENT

The procedure for project management is divided and discussed in three distinct phases:

• Pre-contract and contract awarding phase

• Execution phase

• Closeout phase

5.1. Pre-contract and Contract award phase

Pre contract

Receive request from client

Pre contract phase

1.3. Review regulatory, statutory and customer requirements.

Contract awarding

2.1 Appoint TNSP team and outsourced suppliers.

Pre contract phase

1.1 Draft project schedule and compile budgets.

Pre contract phase

1.2. Review contract – NEC suite of contracts.

Contract awarding

2.2 Compile documentation required for contract.

Contract awarding

2.3 Procurement contracting as per CGS/QA10/MN01

Contract awarding

2.4. Conduct start up meeting

Pre contract phase

1.4 Receive signed contract

Figure 1: Pre-contract and contract awarding phase

The pre-contract phase is carried out by the appointed Project Manager and includes the

following activities:

• receive request from customer;

• review of “lessons learnt” from previous contracts for similar work or for the same

customer;

• draft project schedule and pre-contract assumptions upon which proposal/quote is

based;

• compile budgets;






• review contract – NEC suite of contracts;

• review regulatory and statutory requirements;

• review objectives and scope (including deliverables and acceptance criteria);

• address customer requirements;

• identify project team;

• contract negotiations; andTte receipt of the signed contract signals the end of this

phase.

5.2. Contract awarding (start-up phase)

The CEO and/or Project Executive appoint the Project Management Team with the high level

responsibilities as described in paragraph 4 above for:

5.2.1. Compilation of all documentation required by contract

The contracts require typically the following documentation:

• Safety Culture Enhancement Programme (SCEP);

• IMS manual and procedures;

• Processes and technical procedures;

• Project Quality Plan (PQP) supported by QCP template;

• Project Execution Plan (PEP);

• Risk Register;

• Compliance Matrix;

• Project schedule (e.g. Gantt Chart) including audits and MRC meetings;

• Cash flows and invoicing schedules; and

• Project progress reporting templates or forms.

At this time, it is advised to begin application processes for any permits (e.g. SAHRA, etc.) or

permissions that may be required in order to begin project mobilisation and/or execution of

project activities.






5.2.2. Procurement process for sub-contractors

The following needs to be done as part of the procurement process:

• Compile a Terms of Reference where applicable

• Obtain quotations;

• Ensure appropriate quality control and accreditation, as required, is in place as

required by the activity classification;

• Registration on CGS suppliers list;

• Notify NSIP to register suppliers on Eskom vendor list; and

• Contracting.

The NGG currently makes use of the existing CGS procurement process and as such

complies with the prescribed requirements for suppliers and purchasing information. Refer to

§5.7.5: Procurement of the Integrated Management System Manual (CGS/QA10/MN01 in

“IMS Manual and Procedures” CGS Report 2010-0168.

5.2.3. Appointment of the Project Management Team (PMT)

The PMT are jointly responsible and accountable to:

• Compile appointment letters and agree on the roles and responsibilities of the CGS

project team members.

• Reach contractual agreements with out-sourced project team members on stipulated

roles and responsibilities.

• Provide relevant project documentation to team.

• Identify training needs and establish a training plan.

5.2.4. Conducting a Start-up meeting

During the start-up meeting the team gets informed of:

• Quality, Safety, Environmental and Technical Objectives;

• Planned activities;

• Products and deliverable dates;






• Organization, roles and responsibilities;

• Project controls;

• Quality and safety requirements or plans

• Project Execution Plan (PEP);

• Obtain signed undertakings and confidentiality; and

• Communication protocol with the customer.

The start-up meeting is held after all team members have been appointed and all necessary

IMS documentation has been prepared and communicated to the customer and project team.

This meeting signals the end of the start-up phase.






5.3. Project Execution phase

Execution phase

3.1 Execute activities as per activity schedule and keep records

Execution phase

3.2 Resource Management – Provision of resources & infrastructure

Execution phase

3.3 Management commitment to SCEP

Execution phase

3.4 Risk Management to control and measure:

• Routine and non routine activities,

• Health, Safety and environmental risks

Execution phase

3.5 Execute deliverables according to schedule of activiities

Execution phase

3.7 Progress monitoring through:• Monthly activity reports• Identify KPI • Management commitment to SCEP• Management of deviations,

compensations, concessions, non conforming products, corrective & preventive actions

Execution phase

3.6 Review products to ensure conformity to customer requirements as per CGS/QA10/PRO6

Execution phase

3.8 SCEP training as per CGS/QA10/PR11

Execution phase

3.9 Self assessments

Execution phase3.10 Plan and conduct internal audits

as per CGS/QA10/MN01 & CGS/QA10/PRO5

Execution phase

3.11 Obtain client feedback and discuss at MRC meeting. Refer procedure CGS/QA/MN01

Execution phase

3.12 Financial management through:• Determine a list of deliverables as per CGS/QA10/FM16 • Quarterly financial reports as per CGS/QA10/FM14• Invoicing

Execution phase

3.13 Effective communication as per CGS/QA10/MN01

Execution phase

3.14 Conduct management review the IMS, SCEP, Financial matters and technical processes as per CGC/QA/MN01

Figure 2: Execution phase






Figure 2 illustrates that the appointed project team members will execute activities as per the

applicable Project Execution Plan; Technical Processes, Procedures and project activity and

keep records as required according to the IMS.

The signed contract with the customer for the nuclear geo-hazard project stipulates that the

documents and records resulting from project execution and service provision are to be

written in South African English, using the Sl system of measurements. Dates are to be

expressed according to the South African convention: dd/mm/yyyy. A template for reports is

provided on the electronic repository.

The delivery of the final report and/or product signals the end of the project execution phase.

5.3.1. Resource management

The project is dependent on certain support services rendered by the CGS (e.g. Human

Resources, Procurement, ICT, etc.). The Project Manager and Management Representative

will monitor progress, resolution of issues and/or completion of activities. The controls

exercised over these processes will be through compliance with the applicable CGS

management policies and job descriptions.

Project management will determine and provide the resources needed:

• to carry out the activities of the project (which may be inter-related, for example, the

licensed software for hazard calculations also requires computers that meet the

requirements to run hazard calculations and sensitivity analysis with annual license

fees for software; RD-0034 §9.2 requirement 50);

• to establish, implement and assess the integrated management system (including

SCEP) and continually improve its effectiveness (RD-0034 §9.1 requirement 46); and

• to enhance customer satisfaction by meeting customer requirements.

The performance and effectiveness of training and awareness strategies may be evaluated

by Performance Appraisals (PAS; e.g. balanced scorecards and Individual Development

Programmes). During the PAS, CGS project team members are made aware of the






relevance and importance of their activities and how they contribute to the achievement of

the safety and quality objectives applicable to nuclear. Performance appraisals will be carried

out quarterly.

The provision of resources, human resources, infrastructure and the work environment is

addressed in §5.4: “Resource Management” in the Integrated Management System Manual

(CGS/QA10/MN01) and “Resource Management” procedure (CGS/QA10/PR08, in CGS

report 2013-0010.

5.3.2 Management commitment to team and SCEP

Project Management is committed to the development, implementation and continuous

improvement of the IMS. Refer to §6.4 “Improvement” in the Integrated Management System

Manual (CGS/QA10/MN01 in CGS report 2010-0168).

5.3.3 Risk Management

Project Management will establish and maintain a risk register for the ongoing identification

and assessment of risks and implementation of the required control measures. These risks

may include:

• routine and non-routine activities; and

• identified health, safety and environmental risks.

Refer to §5.3.2 “Management priorities, policy and system planning” where “Risk

management” is addressed in the Integrated Management System Manual

(CGS/QA10/MN01 in CGS report 2010-0168).

5.3.4 Safety Culture Management

Safety Culture Management addresses the attitudes and practices necessary to achieve

good performance in nuclear safety, including visible commitment by management (Project

Manager and the Project Executive), openness, care and thoroughness in completing tasks,






good communication and clarity in recognising major issues and dealing with them as a

priority. Refer to §5.1.3 “Safety management System and safety culture” in the Integrated

Management System Manual (CGS/QA10/MN01 in CGS report 2010-0168).

5.3.5 Deliverables

A schedule of activities and deliverables in relation to a time-frame will be provided to the

customer shortly after the signing of the contract. Project-specific deliverables will be tracked

and sufficient notice will be provided of possible slippages if there are any.

5.3.6 Review of product/s

During the contracting phase, the impact of the requirements related to the product will be

reviewed prior to the acceptance of a contract to supply a product to the customer’s needs.

All deliverables (reports) will be reviewed as per procedure for “Internal and external

independent technical review” (CGS/QA10/PR06 in CGS report 2013-0010).

5.3.7 Progress Monitoring

Progress monitoring will occur at a number of forums:

5.3.7.1 Weekly informal meetings

The Project Manager and project team meet weekly, when required, to discuss project

progress, completion and problems encountered during the previous week. Other project

team members may send reports, comments and suggestions via e-mail or the electronic

repository for discussion at the weekly meetings.

5.3.7.2 Monthly SHE meetings

The Project Manager and the Project Safety Officer arrange monthly safety, health and

environment meetings. Other project team members may send reports, comments and






suggestions via e-mail or the electronic repository for discussion at these meetings. The

following items are discussed:

• reporting on and safety incidents;

• risks;

• near miss incidents;

• lost time incidents, including Key Performance Indicators (KPI) for Lost Time Incidents

(LTI’s); and

• relevant audit findings.

5.3.7.3 Monthly progress reports

The Project Manager, the TI Leads and other project team members, as required, compile

monthly progress reports for the customer, including, but not limited to, the following:

• project progress, including technical issues and tasks;

• an activity forecast;

• quality assurance measures;

• safety, health and environmental considerations;

• activity schedule;

• list of deliverables;

• early warning notifications;

• compensation events; and

• financial reporting (including invoicing and cash flows).

5.3.7.4 Monthly customer project and contract meetings

Meetings with the customer take place monthly according to the contract and/or activity

schedule(s). The following items may be discussed at monthly meetings:

• contractual matters including project management, communication, submissions,

monthly progress reports and confidentially agreements;

• review of the requirements related to the product(s);






• progress (e.g. progress reports, cash flows, etc) and a review of process information,

service provision and activity schedule (including compensation events and early

warnings);

• requests for information required;

• project finances (e.g. early warning notifications; compensation events);

• schedule and/or outcomes of audits and technical reviews (including corrective and

preventive actions);

• quality assurance; and

• health, safety and the environmental issues.

The customer is responsible for the compilation of an agenda for and minutes of these

meetings. These minutes will be kept as a record by the customer.

5.3.7.5 Quarterly MRM meetings

CGS Management will appoint a Management Review Committee (MRC) that reviews the:

• project requirements such as resources, training and feedback;

• quality-related issues including continual improvement, audits, reviews, electronic

repository and quality control

• continuing suitability, adequacy and effectiveness of the integrated management

system;

• financial and contractual matters;

• SHE awareness and SCEP;

• progress and technical reviews; and

• action tracking lists.

The Management Review Committee (MRC) will meet at least once a quarter, but may meet

more frequently, depending on the project schedule, progress and performance. Refer to

§5.3.3.1: “Management Review” of the Integrated Management System (CGS/QA10/MN01 in

CGS Report 2010-0168) and the Terms of Reference for the Management Review

Committee (CGS report 2013-0011).






5.3.8 Training will occur in parallel with the execution phase

SCEP training will be done as per §5.1.3 Safety Management System and Safety Culture

Implementation (CGS/QA10/MN01 in CGS Report 2010-0168) and the procedure for SCEP

training (CGS/QA10/PR10 CGS report 2013-0010).

Technical training will be identified as per §5.4 Resource Management in the Core IMS

Procedures (CGS/QA10/PR10 CGS report 2013-0010) where the team member’s

qualifications, training, awareness and competency will be addressed via the procedure for

“Competency and training” (CGS/QA10/PR04, in CGS report 2013-0010).

5.3.9 Self-assessments

The Management Representative and or Project Quality Officer, supported by the Project

Safety Officer and the Project Quality Controller, as required, will perform self-assessments.

Self-assessments such as check lists and walk-troughs will lead to trend analysis in order to

identify opportunities for improvement. Self-assessments will be conducted as informal

internal audits as described in the procedure for “Internal Audit” (CGS/QA10/PR05 in CGS

report 2013-0010).

Also, when areas for improvement have been identified, the Project Manager and

Management Representative will establish a clear priority action plan that addresses the root

cause, assign or delegate ownership to project team members and seek to close these

actions out as timeously as possible.

5.3.10 Internal audits

The Management Representative plans and organises internal audits as per the audit

programme. The audit programme, including any schedule, is based on the results of risk

assessments of the project’s activities, and the results of previous audits. Refer to §6.1

Monitoring and Measurement of the Management System (CGS/QA10/MN01 in CGS Report






2010-0168). Internal audits will be planned, executed and closed out as per the procedure for

“Internal Audit” (CGS/QA10/PR05 in CGS report 2013-0010).

5.3.11 Customer feedback

Customer feedback will be in the form of discussions at monthly project meetings with the

customer, formal correspondence, feedback/observations (at or after workshops), as well as

reviews by the customer. A formal customer satisfaction survey is also conducted once a

year.

Customer feedback will be discussed at MRM meetings. Refer to §5.3.3.1: “Management

Review” of the IMS (CGS/QA10/MN01 in CGS Report 2010-0168). This information will be

used for continual improvement. Refer to §6.3 Analysis of Data in the IMS Manual

(CGS/QA10/MN01 in CGS report 2010-0168).

5.3.12 Financial management

Financial management will be controlled through:

• Establishing a list of deliverables with invoice information – refer to List of Deliverables

and Invoicing Information (CGS/QA10/FM16 in CGS report 2013-0010).

• Monthly financial progress reports - refer to Monthly Financial Progress Report

(CGS/QA10/FM14 in CGS report 2013-0010).

• Invoicing.

• Financial impact of compensation events.

5.3.13 Communication

The lines of communication are presented in Appendix C of the IMS Manual

CGS/QA10/MN01 in CGS report 2010-0168. Communication lines of the Project Safety and

Quality Officers are intended to be unobstructed to the highest level of management of the

project. Inputs from the mentioned officers will be considered by the Project Executive






through the Management Representative. This will ensure that safety and quality is

addressed at every level of the project.

As stipulated in the contract, communication with the customer and their representatives will

be by means of the “single point of contact”. Means of communicating with the customer

include electronic mail, telephone/fax, letters and discussion meetings.

Customer complaints can be submitted via e-mail or verbally to Project Management. The

CGS also carries out surveys of customer satisfaction. Project Management will evaluate the

complaint and decide whether a “Request for Corrective or Preventive Action form”

(CGS/QA10/FM12 in CGS report 2013-0010) will be sufficient to address the complaint

formally. It is expected that customer dissatisfaction will also be discussed during interaction

with the customer (e.g. project meetings, telephone calls, etc.).

An analysis of customer satisfaction and complaints is discussed at Management Review

Meetings.

5.4. Close-out phase

Close out phase

4.1. Close out all acitivities and non conformances.

Close out phase

4.2 Identify lessons learnt.

Close out phase

4.3 Arrange final audit

Close Out phase

4.4 Ensure that all outstanding audit actions are closed out.

Close out phase

4.5 Do final invoicing

Close out phase

4.6 Ensrure receipt of close out certificates

Close out phase

4.7 File all records

Figure 3: Close-out phase

During the close-out phase the Project Management Team will be responsible for the

delivery of the product and the close-out of the project. This will include as minimum:






• Close out all activities and non-conformances;

• Identify lessons learnt;

• Close-out workshop, where the customer agrees to ;

• Arrange final audit;

• Ensure that all outstanding audit actions are closed out;

• Do final invoicing; and

• Ensure receipt of completion certificates.

The close-out of the final audit and receipt of the completion certificates signals the end of

the close-out phase.

6. MONITORING

6.1. Monitoring

• Self-assessments by the Management Representative, Project Safety Officer, Project

Quality Officer or any suitable appointed person, as required by the project schedule

and execution;

• Weekly informal progress meetings with CGS project team (chaired by Project

Manager);

• Monthly progress reporting to customer by Project Manager;

• Management Review Meetings; and

• Quarterly performance appraisals (e.g. scorecards) of the Project Management Team.

6.2. Acceptance criteria

• Completion of project within contractual timeframe or submission of suitable early

warning notifications;

• Completion of project phases within contractual budget or have requested suitable

compensation events;






• Resolution of audit findings, reviews, customer feedback in a timeous and appropriate

manner;

• Establishment and enhance of a safety culture within the project; and

• Completion of project within statutory, regulatory and contractual requirements.

7. RECORDS

Records that are created for nuclear geo-hazards projects include:

• Contract reviews with assumptions;

• Signed contracts;

• Signed minutes of monthly progress meetings with the customer;

• Supporting quality assurance documentation; and

• Safety Management and SCEP documentation.

8. DEVELOPMENT TEAM

• Erna Hattingh

• Jannie van der Merwe

• Johann Neveling

• Annabel Graham

9. ATTACHMENTS

None

PROCEDURE FOR CONTROL OF RECORDS

AMENDMENT SHEET





CGS/QA10/PR02-i







CGS/QA10/PR02-ii

Revision No Nature of Change Revisions Approval Issue Date

1

2

Extensive re-write of IMS documents

following internal audit held on 24-25

February 2011.

Minor revision. There is no major content

difference. Updated procedure’s content to

align with the revised IMS Manual. The NGG

changed the use of the geoportal to an

electronic repository. Change in report

number from 2010-0168 to 2013-0010.

05-09-2011

29-03-2013






1. Scope

1.1 Purpose

This procedure establishes requirements to ensure that the Nuclear Geo-hazards Group

implements elements of the project IMS to identify, prepare, and maintain records that

support quality-related activities. These requirements apply to all records, whether hard copy

or electronic media.

Records are established to provide evidence of conformity to requirements and of the

effective operation of the quality management system. This procedure provides uniform

controls for the identification, preparation, maintenance, storage, and disposal of records.

Records providing evidence of activities affecting safety and quality will remain legible,

identifiable and retrievable. Retention periods for records are defined in the contract.

This element outlines the requirements for safeguarding and preserving the integrity of digital

and non-digital data.

1.2 Applicability

This procedure is applicable to the control and distribution of records at all administrative

levels within the project. Process controls for electronic information management applies to

all project team member that use electronic media to store or manipulate information within

their work activities.

2. References

2.1 CGS References

IMS manual and procedures CGS report 2010-0168

Core IMS documents CGS report 2013-0010

Terms of Reference Management Review Committee CGS report 2013-0011








Applicable Processes, Classification and Technical Procedures


Applicable Safety Plans


Applicable Project Records Matrix

Applicable Risk Register

Contracts: All applicable contracts between the CGS and the customer.

2.2 External References

Normative

Eskom Standard 39-60 Contract quality requirements


ISO 10006:2003 Quality management systems guidelines for quality management in projects

NNR RD-0034:2008 Quality and safety management requirements for nuclear installations




NSIP-01432 Rev.0A Nuclear sites: safety and quality classification of SSR-related products and

processes

NUREG-2117:2011 Practical implementation guidelines for SSHAC Level 3 and 4 hazard studies

NUREG CR-6372:1997 Recommendations for probabilistic seismic hazard analysis: guidance on

uncertainty and use of experts

Informative

ASME NQA-1 Quality assurance requirements for nuclear facility applications


IAEA GS-G-3.1 Application of the management system for nuclear facilities and activities


IAEA-TECDOC-1329 Safety culture in nuclear installations: guidance for use in the enhancement of

safety culture

ISO 14001:2005 Environmental management systems – requirements with guidance for use



NNR RD-0016:2006 Requirements for authorisation submissions involving computer software and

evaluation models for safety






3. Definitions and Abbreviations

Refer to Appendix B: CGS/QA10/MN01 in CGS Report 2010-0168.

4. Roles and responsibilities

Team member with responsibilities for implementing this element are:

• Project Manager

• Project Administrator

• Project Quality Officer

• Project Management Team

5. Procedure for Control of Records

The signed contract with the customer for the project stipulates that the documents and

records resulting from project execution and service provision are to be written in South

African English, using the Sl system of measurements. Dates are to be expressed according

to the South African convention: dd/mm/yyyy.

5.1 Record management system

At the start of the project, the Project Manager will appoint a Project Administrator to

maintain records in accordance with this procedure. The Project Manager will notify the

Project Administrator and Management Representative of any team member or

organisational changes that would affect custody or accountability of records.

5.1.1 Identification of records

The quality-related records will be categorised according to a file classification system that

must be updated as required and each file will have a unique reference number. The

contents of each file will be controlled by the project naming conventions and a file indexing

system to ensure retrievability.






5.1.2 Creation of records

Project team member will submit valid records, generated as per processes, procedures and

work instructions, to the Project Administrator who will include these files for storage and

maintenance. Records may be originals or copies. Project team member should retain a

copy of all documents submitted.

5.1.3 Legibility and checking of records

Individuals creating records will ensure that the records are legible, accurate, complete,

appropriate to the work accomplished, and traceable to any applicable tests, samples, etc.

Records will be transmitted from the project team member to the Project Administrator in a

timely manner.

Prior to filing records, the Project Administrator will inspect the records to verify that they are

signed, initialled, or otherwise authenticated and dated. Handwritten signatures are not

required if the record is clearly traceable to the person who created the record. If the nature

of the record (such as magnetic media) precludes stamping, initialling, or signing, then other

means of identifying the record as complete by authorised team member is permitted.

5.1.4 Storage and protection of records

All quality-related records should be kept in a locked filing cabinet or safe with the files

organised. Records are protected from damage, deterioration or loss.

The cabinet or safe is locked at all times and access is limited. Only the approved team

member working on the project can obtain access to the documents or records through the

designated person. No records will be issued to or retrieved by any person that has not

signed a customer confidentiality form. A list will be kept of any records retrieved, including

by whom and for what purpose.

If storage for items other than paper is required (e.g. magnetic media, microfilm, etc.), the

Project Administrator will arrange for special storage. When determining whether to store

records on electronic media or hard copy, the software and hardware needed to retrieve the

records should be considered.






In the event of an emergency condition that may cause records to be damaged, the Project

Administrator, Project Manager and/or Management Representative will arrange for alternate

storage.

5.1.5 Removal of a record

Where it is necessary to remove a record, the Project Administrator will provide a signed

request to the Project Manager identifying and the reason for removal. The Project Manager

will note reason for removal, and give the appropriate approval.

5.1.6 Retention period for records

All restricted and/or controlled documents must be maintained for the period of the contract

and the retention period specified in the contract, after which all records will be transferred to

the customer. The retention period for records is established in the signed contract as five

(5) years from the last day of the contract. During the five year archiving period, NGG will

establish if there is a legal or academic impact to maintain the records longer than the

contracted 5 year period. No further maintenance should be attempted after that without

specific instructions from the customer.

5.1.7 Turnover of records to the customer

The Project Administrator, Project Quality Controller and/or Project Quality Officer will

provide / submit the relevant records as contractually agreed with the customer. The records

will be provided/ submitted with a receipt acknowledgement from the customer. A copy of

the completed receipt acknowledgement form will be maintained by the Project Administrator.

5.1.8 Disposal of records

At the end of the retention period for records in storage, the Project Administrator, Project

Quality Controller and/or Project Quality Officer on behalf of the Management Representative

will notify the Project Manager in writing that the records are eligible for destruction. The

Project Manager will review the records to determine if they are still needed and if the

following conditions have been met:






• deliverables have been transmitted to the customer;

• regulatory requirements are satisfied;

• acceptance criteria are met and customer requirements are satisfied.

The Project Manager will provide signed authorisation to the Project Administrator, Project

Quality Controller and/or Project Quality Officer that the records may be destroyed, or justify

a longer retention period if the records are still needed.

The disposal of superseded or obsolete records will be performed by the Project

Administrator, Project Quality Controller and/or Project Quality Officer upon written request

from the Project Manager and the Management Representative once customer approval has

been granted.

No records may be disposed of without the initiative and consent of the Project Manager and

Management Representative during the contract or retention period.

5.1.9 Control of geoscience field records

Traceability is a customer requirement and the NGG will control and record the unique

identification of the constituent parts of the product and the completed product.

Where appropriate, the origin, identification and location (traceability) of input data used to

compile reports and maps will be defined by the process owner/study leaders. The

responsibilities to acquire, process, handle and store all field data and samples will reside

with the study leader.

Documents describing the observations and results of geoscientific investigations may

include, but are not limited to:

• Field geology notebooks;

• Maps (including field sheets and base maps);

• Regular operations reports for geophysical surveys;

• Trench logs and/or maps;

• Sample tracking forms (CGS/TP10/FM06 in CGS report 2010-0171); and






• All images and GIS files produced will have a metadata file attached which will contain

information regarding the data.

These processes and procedures are discussed further in the “Guideline for the control of

geoscience field records” (CGS/TNSP-GL02 in CGS report 2010-0171).

5.1.10 Calibration

Before using measuring equipment the user will ensure that it:

• is within its calibration period;

• is operational and has not been damaged or degraded; and

• is properly suited for the intended purpose.

The user will ensure that any measuring equipment, including equipment that contains

software or programmable hardware, be calibrated, adjusted, and/or maintained as a unit at

prescribed intervals, and/or prior to use. This is to:

• collect data that is reportable, or affects experimental results; and

• determine conformance to specified requirements.

Calibration will be done using reference calibration standards. Calibration standards will

have a greater accuracy than the required accuracy of the measuring equipment being

calibrated. If such standards do not exist or are unavailable, calibration standards with

accuracy equal to the required calibration accuracy may be used if they can be shown to be

adequate for the requirements.

Records of calibration will be maintained as:

• sign-off of a calibration report (Category 1 measuring equipment); or

• completed calibration form (Category 2 measuring equipment; CGS/TP10/FM08 in


Refer to “Technical procedure for calibration” (CGS/TP10/PR19 in CGS report 2010-0171).






5.2 Data permissions

Permission from the author must be obtained when data that was not collected or generated

by the CGS and/or has not been published in a peer-reviewed journal is included in reports

for submission to the customer. Proof of permission must be retained by the author of the

report and/or Project Quality Officer as a record.

5.3 Customer Confidentiality agreements

All team member and subcontractors to the NGG will complete and sign the customer

confidentiality documents. Records of signed agreements will be kept by the Project

Administrator, along with a list of team member who must sign or have signed.

5.4 Security of electronic information

Process controls are established and maintained, as appropriate, to suitably protect

electronic information (in an electronic information management system or on electronic

media) from damage or destruction and ensure that information is readily retrievable during

its prescribed lifetime.

Various methods may be used to maintain the accuracy and completeness of the information

placed onto, or modified on, electronic media.

5.4.1 Identification of electronic information

Electronic information will be appropriately stored and properly identified for transport,

storage and transfer.

The following factors should be considered when identifying electronic data:

• Medium type (tape, diskette, CD-ROM, etc.) and physical format;

• Appropriately labelled, including

o Date

o Source of back-up (i.e., identify the computer system, instrument, or other system

that was the source of the information), directory name, and file name(s).

o System utility used to perform backup






o Format of the backup media

• Method of transport (mail, courier, etc.)

• Method of integrity verification upon receipt/delivery (back-up listing, application/utility

for verification, etc.)

• Method for verifying/confirming delivery of storage or transfer medium.

5.4.2 Servers and Workstations/Personal computers

User accounts will be created for all CGS employees with a password. The passwords will

be maintained by the system administrator. When a user leaves the company, his/her

account will be immediately destroyed by the system administrator. It is incumbent upon the

Project Manager to ensure that this is done promptly.

Access to the information contained on personal computer is controlled (e.g., password

protected, physical access, etc.)

Electronic mail accounts will be password protected on the e-mail server.

5.4.2.1 Virus protection and infection

The server anti-virus software will be updated regularly. The PCs on the LAN must all have

anti-virus software and the virus patterns will be updated weekly, at least.

In the case of virus infection, the level of infection must first be assessed. The first stage

recovery would be the usage of an ant-virus tool to disinfect the system; this would involve

scanning all files on the system to ensure that the data files are clean. If the data files are

clean then the OS and any other software must be checked and cleaned. If the data files are

also infected these must also be cleaned; in the case that they can not be cleaned or the

data is unreadable/unusable after the cleaning procedure, the data must be restored from a

reliable back-up – be that tape, digital media or disk mirror. If the anti-virus software fails to

clean the system, the swiftest procedure is to replace the existing disk with a non-infected

disk mirror.






5.4.2.2 Disaster Recovery and Back-up

The concept of a disaster recovery / business continuity plan is to prepare NGG in the event

of extended service outages caused by factors beyond our control (e.g., natural disasters,

man-made events), and to restore services to the widest extent possible in a minimum time

frame. All project team members are expected to implement preventive measures whenever

possible to minimize operational disruptions and to recover as rapidly as possible when an

incident occurs.

Assumptions:

• Key team members will be available following a disaster.

• A national disaster such as nuclear war is beyond the scope of this plan.

• This document and all vital records are stored in a secure off-site location and not only

survive the disaster but are accessible immediately following the disaster.

• Each support organization will have its own plan consisting of unique recovery

procedures, critical resource information and procedures.

In the case of complete destruction of the system, massive hardware failure of the system in

part or as a whole; a complete recovery of data, operating system (OS) and 3rd party

software would be required (e.g. ArcGIS, Reference Manager).

Each project team member is required to make back-ups of data on a regular basis. For this

project management will provide external hard drives to be used. OS and 3rd party software

will be stored by the ICT Unit at the CGS. During the project execution the different teams

will consist of different members that is situated around the globe. Data and documents will

be shared within the team over secure ftp sites and emails around the globe. The risk of

losing data will be communicated and each team will take responsibility to ensure backups

are made and sustained

All reports are written to CD/DVD of which one copy is kept onsite in the document safe,

while the other is sent for storage off-site. An official copy is provided to the customer ASAP

and controlled with receipt acknowledgement. When the PMT identify a need for a more

complex disaster recovery plan, such a plan will be developed and be implemented.






5.4.2.3 Socio-Political Disasters (e.g. civil unrest and strike action)

In the case of civil unrest and strike actions, an effort on the part of the responsible persons

should be made to check the systems remotely. Since these problems can cause difficulties

such as power cuts, telecommunication breaks and transport stoppages, it may become

impossible to gain direct or even remote access to the system in question.

5.4.3 Instruments

Information is copied to a back-up medium and the medium is appropriately labelled and

stored. Any hard copy printouts generated are kept until the back-up copy has been verified.

5.4.4 Non-physical Electronic Media

Established controls for non-physical electronic media take into account the transport

mechanism (e-mail, TCP/IP, Netbios, etc.); the utility and settings (File Transfer Protocol,

copy, mail attachment, etc.) and the method of receipt verification (visual inspection,

transmission verification settings, application information integrity check, etc.).

5.5 Electronic Information Management System

Various methods may be used to maintain the accuracy and completeness of the information

placed into, or modified within, an electronic information management system.

This can be accomplished by:

• A complete inspection of the information;

• Random sampling of the information;

• Use of checksums or cyclic redundancy checks;

• Comparison of source hard copy to electronic input; or

• Other standards and methods, as appropriate.






5.6 Transfer of data to the customer’s server

Where required, reports, maps, digital data and other project documents may be made

available to the customer on the electronic repository. The customer will be notified via e-

mail that the document is available.

5.7 Retention and disposal of records

The appropriate retention and disposal information for the records is defined in the contract.

6. Monitoring

6.1 Monitoring

Monitoring of the control of records procedure will be achieved by:

• Self-assessments by the Management Representative, Project Quality Officer and

Project Quality Controller, as required by project schedule and execution; and

• Customer and project team member complaints/compliments received by the Project

Manager.

These measures will be reviewed at Management Review Meetings.

6.2 Acceptance Criteria

• Records are complete (Records matrix TNSP-RML-11-0001), appropriate and

approved, as assessed by means of self-assessments or audits;

• Records will be retrievable within the audit or review timeframe; and

• Records are kept under suitable conditions for the duration of the retention time

defined in the contract.

7. Records

Documents that meet the following requirements are classified as “contract retention period”

records:






• Technical documents that provide evidence of the quality of the implemented

processes and products and independent review reports;

• Quality implementing documents, such as completed work instructions, internal and

external audit reports, and action tracking lists;

• All formal correspondence and minutes of meetings with the customer or their

representative;

• Team member training and qualification documents for individuals executing quality-

related project requirements;

• Signed customer confidentiality agreements and

• Any documents that provide objective evidence that the project has been properly

executed.

8. Development Team

• Erna Hattingh

• Johann Neveling

• Annabel Graham



9. Attachments

None

PROCEDURE FOR CORRECTIVE AND PREVENTIVE ACTION




The downloaded document is uncontrolled; therefore the user must ensure that it conforms to the

authorised database version CGS/QA10/PR03-i



AMENDMENT SHEET





authorised database version CGS/QA10/PR03-ii


Issue Date

1

2

3

Procedure for corrective and preventive actions, and

related forms updated after Level 2 and Level 1

accreditation audits.

Extensive re-write of IMS documents following internal

audit held on 24-25 February 2011.


Updated procedure’s content to align with the revised

IMS Manual. The NGG changed the use of the

geoportal to an electronic repository. Change in report

number from 2010-0168 to 2013-0010.

01-03-2011

05-09-2011

28-02-2013


Rev. 3 REFERENCE:

CGS/QA10/PR03

in the CGS report 2013-0010

ISSUE DATE

29 March 2013


1. Scope

1.1 Purpose

This procedure provides a method for addressing corrective and preventive actions that have been

identified for the Nuclear Geo-Hazards Group projects.

Corrective action is taken to ensure that:

• deficiencies are identified and documented;

• the effect on product or services has been evaluated;

• action is taken as soon as practical to preclude recurrence;

• methods are provided for addressing results/product that have been impacted by a

deficiency; and

• controls are implemented to prevent the inadvertent use of unsuitable items.

Preventive action is taken to prevent conditions adverse to the production of conforming product(s)

before they occur. Preventive actions may form part of the risk management approach of the

project.

1.2 Applicability

This procedure applies throughout the project when a product, associated documentation or

procedural requirement does not meet one or more specified requirements. This procedure also

describes measures to be taken in the event of customer complaints, “lessons learned”, non-

conforming products or service, technical review and audit findings and/observations, amongst

others.

2. References

2.1 CGS References




Rev. 3 REFERENCE:

CGS/QA10/PR03


ISSUE DATE

29 March 2013











1.3 External references

ISO 9001 (2008) Quality Management Systems — Requirements.

OHSAS 18001 (2007) Occupational health and safety management

systems: Specification.

NNR RD-0034 (2008) Quality and Safety Management Requirements for

Nuclear Installations.



Note: Preventive is in all senses synonymous with preventative.

4. Roles and Responsibilities

The Project Manager is responsible for:

• Ensuring that this procedure is implemented;

• Identifying and requesting corrective and/or preventive action and taking appropriate actions;

http://en.wiktionary.org/wiki/preventative


Rev. 3 REFERENCE:

CGS/QA10/PR03


ISSUE DATE

29 March 2013


• Completing sections A, B and D of the “Request for Corrective and Preventive Action” form

(CGS/QA10/FM01 in CGS report 2013-0010) and entering them into the appropriate action

tracking list;

• Delegating the responsibility to perform the corrective and/or preventive action to a suitably

qualified staff member;

• Identifying the root cause(s);

• Follow up and verify corrective and preventive actions taken; and

• Ensuring that actions are taken to close out the corrective and/or preventive action as

promptly as possible.

The Management Representative is responsible for:

• Close out verified corrective and preventive actions taken;

• Report the results of follow-up actions at Management Review Meetings (by use of

appropriate action tracking list); and

• Ensure that data gathered during this process is effectively trended and analysed.

All project team members are responsible to:

• Assist in determining the root causes of conditions requiring corrective action; and

• Implement corrective and/or preventive actions.

5. Procedure for Corrective and Preventive Action

Both corrective and preventive action is requested by completion of the “Request for Corrective

and Preventive Action” form (CGS/QA10/FM12 in CGS report 2013-0010) by the Project Manager.

5.1 Corrective Action

5.1.1 Typical corrective action triggers

The decision to initiate corrective action may be based on any of the following factors:

• Any safety-, environmental- or quality-related non-conformance report;

• Any incident or accident (e.g. safety, health, environment, risk, financial, etc.);


Rev. 3 REFERENCE:

CGS/QA10/PR03


ISSUE DATE

29 March 2013


• Deviation from contract deliverables and/or schedule;

• Audit observations or findings from internal or external audits;

• Customer satisfaction or customer complaint(s);

• Project team suggestions or complaints;

• Difficulties with subcontractors and suppliers;

• Technical reviews (including PPRP in SSHAC Level 3 process);

• Self-assessments; and

• Inadequate procedures and work instructions.

Project Management will take action to eliminate the causes of deficiencies in order to prevent

recurrence. Corrective actions will be appropriate to the effects of the deficiencies encountered and

their effectiveness will be reviewed.

5.1.2 Requesting corrective action

The Project Manager, Technical Manager and Management Representative will evaluate the

potential deficiency to determine if the resultant product or service, as defined in the signed

contract, will affect the stated product requirements and defined acceptance criteria.

Once agreed that the potential deficiency will affect the resultant product or provision of service,

the Project Manager completes Sections A and B of the “Request for Corrective and Preventive

Action” form (CGS/QA10/FM12 in CGS report 2013-0010) and enters the corrective action request

into the appropriate action tracking list.

A member of project team that has the necessary responsibility and authority is nominated to

determine and carry out the corrective action, as well as to determine the root cause (if not already

identified by Project Manager on signed “Request for Corrective and Preventive Action” form). In

some cases, the nominated person may be requested to submit a proposal to Project Management

for approval prior to carrying out corrective action(s).

Corrective action to prevent recurrence will be taken as soon as practical but not to exceed the

specified due date. If a corrective action for a deficiency cannot be completed by the designated


Rev. 3 REFERENCE:

CGS/QA10/PR03


ISSUE DATE

29 March 2013


due date, the responsible person will contact the Project Manager prior to the expiration date or as

close as possible and negotiate a new due date.

Once the corrective action(s) have been carried out, the designated person will track corrective

actions to closure, collect objective evidence and any supporting documentation, and complete

Section C of “Request for Corrective and Preventive Action” form (CGS/QA10/FM12 in CGS report

2013-0010).

Section C of the completed “Request for Corrective and Preventive Action” form should contain

details of:

• the correction of the affected product; or

• the corrective action procedures that were taken;

• objective evidence of the results of the corrective action; and

• the steps or procedures that have been implemented to avoid similar shortfalls in the future.

5.1.3 Follow-up and close-out

The Project Manager indicates verification by completing Section D of the “Request for Corrective

and Preventive Action” form (CGS/QA10/FM12 in CGS report 2013-0010).

Thereafter, the Management Representative completes Section E of the “Request for corrective

and preventive action” form (CGS/QA10/FM12 in CGS report 2013-0010) to indicate that the

deficiency has been addressed and/or closed out.

The completed “Request for Corrective and Preventive Action” form and objective evidence are

filed as records and the action tracking list updated. The customer or any other impacted

organisations may be notified.

5.2 Preventive action

The project team may initiate preventive actions to eliminate the causes of potential deficiencies in

order to prevent their occurrence. Preventive actions will be appropriate to the effects of the


Rev. 3 REFERENCE:

CGS/QA10/PR03


ISSUE DATE

29 March 2013


potential problems. This process may form part of the risk management approach followed by the

project (see §5.3). Critical risks will be addressed as and when they occur.

5.2.1 Typical preventive action and/or risk treatment action triggers

The decision to initiate preventive action may be based on any of the following factors:

• A trend of customer dissatisfaction or increased number of customer complaint(s);

• The performance of a risk assessment and the identification of actions to prevent an

imminent risk;

• Data and trend analysis on the performance of IMS processes;

• Identification of opportunities for improvement/enhancement of the effectiveness of the IMS;

and

• The use of technical advances in research, through the sharing of knowledge and experience

regarding nuclear safety; and through the use of analytical techniques that reference

international best practice.

5.2.2 Requesting preventive action

Once the nature of the preventive action and its effect on the resultant product or provision of

service has been established, the Project Manager completes Sections A and B of the “Request for

Corrective and Preventive Action” form (CGS/QA10/FM12 in CGS report 2010-0168) and enters

the preventive action request into the appropriate action tracking list.

The Project Manager may delegate responsibility to the relevant project staff to ensure that the

necessary steps are taken. The designated project staff will have the necessary responsibility and

authority to determine and carry out the preventive action. In some cases, the nominated person

may be requested to submit a proposal to Project Management for approval prior to carrying out

preventive action(s).

Once the preventive action(s) have been carried out, the designated person will track preventive

actions to closure, collect objective evidence and any supporting documentation and complete


Rev. 3 REFERENCE:

CGS/QA10/PR03


ISSUE DATE

29 March 2013


Section C of “Request for Corrective and Preventive Action” form (CGS/QA10/FM12 in CGS report

2010-0168).

5.2.3 Follow-up and close-out

The Project Manager indicates verification of the preventive action by completing Section D of the

“Request for Corrective and Preventive Action” form (CGS/QA10/FM12 in CGS report 2013-0010).

Thereafter, the Management Representative completes Section E of the “Request for Corrective

and Preventive Action” form (CGS/QA10/FM12 in CGS report 2013-0010) to indicate that the

preventive action has been closed out.

The completed “Request for Corrective and Preventive Action” form and objective evidence are

filed as records and the action tracking list updated. The customer or any other impacted

organisations may be notified.

5.3 Risk identification and management

Risk is managed in order to ensure that appropriate controls are developed and applied in order to

facilitate the achievement of project objectives and more informed decision making.

The Risk Register (TNSP-RR-10-0001) applies throughout a project’s contract duration and

applies to both office-based and field tasks and investigations (e.g. mapping, drilling, etc.).

Results of the review and monitoring of risks will be discussed during management review

meetings and will be reported by the Management Representative by completing the “form for

reporting on risk management” (CGS/QA10/FM16 in CGS report 2013-0010).


Rev. 3 REFERENCE:

CGS/QA10/PR03


ISSUE DATE

29 March 2013


6 Monitoring

6.1 Monitoring

• Self-assessments by the Management Representative, Project Safety Officer, Project Quality

Officer and Project Quality Controller, as required by project schedule and execution;

• Weekly informal progress meetings with CGS project team (chaired by Project Manager);

• Monthly progress reporting to customer by Project Manager; and

• Management Review Meetings.

Records of corrective and preventive actions are recorded in the appropriate action tracking list

and will be reviewed by the Management Review Committee. These records, together with results

of audits, are analysed to eliminate potential causes of non-conformances. The status and

effectiveness of all preventive actions are to be monitored and reviewed by the Management

Review Committee. Results and resolutions are tracked to ensure that the management objectives

are realised.

6.2 Acceptance criteria

• Corrective actions, preventive actions and non-conformances are reported and actioned

within one month;

• Corrective actions, preventive actions and non-conformances are closed out and verified by

the Management Representative;

• Corrective actions and non-conformances are reviewed at the MRM; and

• Action is taken to prevent the reoccurrence of corrective actions and non-conformances.

7. Records

The completed “Request for Corrective and Preventive Action” form (CGS/QA10/FM12 in CGS

report 2013-0010) records evidence of corrective and preventive actions and may be tracked using

the appropriate action tracking list during Management Review.


Rev. 3 REFERENCE:

CGS/QA10/PR03


ISSUE DATE

29 March 2013


8. Development Team

• Erna Hattingh

• Annabel Graham


9. Attachments

None

PROCEDURE FOR COMPETENCE, TRAINING AND AWARENESS





CGS/QA10/PR04-i



AMENDMENT SHEET





CGS/QA10/PR04-ii


1

2



Minor revision. Change in procedure name to

include awareness. There is no major content

difference. Updated procedure’s content to

align with the revised IMS Manual. Change in

report number from 2010-0168 to 2013-0010.

05-09-2011

29-03-2013



In CGS report 2013-0010



1. Scope

1.1 Purpose

The purpose of this procedure is to provide a uniform method for assessing the competence

of CGS project team members as well as identifying, performing and documenting the

training and awareness they may require to work on nuclear geo-hazard related projects.

This will ensure that the team members achieve and maintain the level of knowledge needed

to accomplish the assigned work. This includes technical, quality, safety and environmental

requirements (where applicable) to ensure that project team member(s) performing work

affecting conformity to product requirements will be competent based on appropriate

education, training, skills and experience.

1.2 Applicability

This procedure applies to the training of CGS project team members who perform or manage

activities that affect the quality of work. Training needs are determined and initiated when:

• a new activity begins (evaluated annually thereafter);

• new project team members are assigned to the project or activity;

• there is a significant change in the project or activity; e.g., scope of work, quality

assurance requirements, and

• training as specified by the customer.






2. References

2.1 CGS References

A list of IMS documents is contained in the IMS Master List of documents (Appendix

A in CGS Report 2010-0168).









Applicable Compliance matrix








2.2 External References Normative Eskom Standard 39-60 Contract quality requirements



in projects


installations







hazard studies






activities





guidance for use













Project Management with responsibilities for implementing this procedure are:

• Project Executive

• Management Representative

• Project Manager

• Technical Manager

Project Management will identify the training and awareness requirements and may delegate

these to the Project Quality and Safety Officers and/or any other project team member.

5. Procedure for Competence, Training and Awareness

5.1 Competence

The Project Management Team will:

• determine the necessary competence for project team member(s) performing work

affecting conformity to product requirements;

• where applicable, provide training or take other actions to achieve the necessary

competence;

• evaluate the effectiveness of the actions taken; and

• ensure that its project team member(s) are aware of the relevance and importance of

their activities and how they contribute to the achievement of the project objectives.

5.1.1 Appointment of project team members

The following minimum requirements are required for the appointment of project team

members:






• Scientists

• Integration of paleoseismological information with seismic hazard: Ph.D. in

Seismology, with at least 5 years experience in seismic hazard or M.Sc. with at

least 10 years of experience with a proven ability to conduct and manage

research innovatively within a team;

• Seismic hazard: M.Sc. in Physics or Geophysics, with a second major in

Mathematics, Geology, Statistical Mathematics, Applied Mathematics, Civil

Engineering or Computer Science, with at least 5 years experience in

Seismology;

• Palaeoseismological Investigators: M.Sc. (Structural Geology / Sedimentology /

Geomorphology), with at least 5 years experience in field geology and with a

proven ability to conduct and manage research innovatively within a team;

• Geology working under supervision: B.Sc (Hons) in Geology with at least 3 years’

experience in Geology;

• Ground geophysical investigators: B.Sc (Hons) in Geophysics with at least 5

years experience;

• Interpretation of ground and airborne geophysics: M.Sc in Geophysics with at

least 5 years experience;

• Integrating interpretations with ground geophysics: M.Sc. (Geophysics) with 5

years experience;

• Running or quality control of geophysical surveys: M.Sc. (Geophysics) with 5

years experience;

• Marine geophysical investigators: M.Sc in Geophysics/Hydrographic

Surveying/Applied Geophysics with at least 5 years’ experience.

• Project Support Team

• Project Quality Officer: Post-graduate degree in natural sciences, engineering or

the business environment with at least 15 years’ experience in quality

management systems (ISO 9000 series) and auditing.

• Project Safety Officer: Appropriate degree or diploma with at least 10 years’

experience in the safety (OHSAS 18000 series) and project environment.

• Project Quality Controller: Appropriate degree, diploma, or certificate with at least

10 years’ experience in the project environment.






• Project Planner: Appropriate degree, diploma or certificate with at least 10 years’

experience in the project environment.

• Project Administrator: Appropriate diploma or certificate with at least 5 years’

experience in the project environment.

• Unit Administrator: Appropriate diploma or certificate with at least 5 years’

experience in the administration.

5.1.2 New project team members

All new CGS project team members are appointed with a probation period as stated in the

CGS conditions of employment. During this period, the Project Manager, their Unit Manager

or immediate supervisor will assess their individual performance.

The need for further training will be determined by existing skills and requirements imposed

by the project.

5.1.3 Established project team members

The competence of each individual will be assessed through his/her performance

assessment as stipulated by the CGS.

Registration or membership of a related professional scientific organisation (e.g. South

African Council for Natural Scientific Professionals) is required for all project team members

involved in the integration of data sets or in the management and/or quality control of

geophysical surveys.

5.2 Training

5.2.1 General

The NGG and CGS maintains training records. These records are maintained to provide the

Project Manager with information on current and prior training of project team member(s).






The need for further training will be determined by assessing existing skills, individual

development programmes (IDPs) and requirements imposed by projects.

Training or re-training will be affected as soon as possible in the case of an employee who

consistently under-performs, or who was involved in a technical non-conformance.

The CGS project team members will receive Safety Culture Enhancement Programme

(SCEP) specific training, including topic specific workshops. This training programme will be

linked to the project schedule.

5.2.2 Implementation

5.2.2.1 Evaluation and documentation of education, previous experience, and competence

For project team members who perform, manage, or verify activities affecting quality and/or

safety, the NGG will ensure the following:

• descriptions are established for the positions those project team member(s) occupy;

• minimum education and experience requirements are established for each position

commensurate with the scope, complexity, and nature of the work;

• project team member(s) have experience and education commensurate with the

minimum requirements established, documented justification is provided for project

team member(s) who do not meet the minimum requirements;

• minimum education and experience is verified, or when minimum education and

experience cannot be verified, documented justification is provided for the project team

member(s) assignment.

5.2.2.2 Project-Specific Quality and Safety Training

Project team member(s) will be trained in the following topics as they relate to a particular

function or activity:

• Job responsibilities and authority;

• Applicable IMS procedures;

• Quality Control Plans; and






• Safety and SCEP.

Workshops will be the main method of conducting SCEP training and will be held at suitable

venues as determined by the Project Manager to ensure that all project team member(s)

receive the relevant training.

5.2.2.3 Reading Assignments

Reading assignments will be used as a methodology, where applicable, to ensure common

understanding and implementation of specific aspects of the project. The nature of reading

assignments will rather be informal that formal.

Reading assignments will be used:

• when specific information becomes available that needs to reach project team

member(s); and

• when Specialist Scientists form part of the project and reside abroad.

Reading assignments are considered appropriate and sufficient when:

• the topic is adequately addressed in a document;

• no instructor input is required to clarify the material; and

• the trainee is familiar with the basic concepts presented.

5.2.2.4 Briefing Sessions

Briefing sessions are appropriate when:

• training is meant to be an overview of a topic rather than detailed instruction;

• training is a revision of a procedure with which the trainees are familiar; and

• the amount of material to be presented is not large or complex in nature, but does

require instructor input to ensure that the trainees adequately understand the subject.

5.2.2.5 On-the-Job Training

On-the Job Training (OJT) is appropriate when:






• the trainee is required to demonstrate proficiency in a process or skill;

• supervised experience or mentoring is necessary prior to allowing the individual to

work independently (e.g., training which concerns the use of specialized test

equipment); and

• implementing technical procedures where applicable.

5.2.3 Training waivers

Training may be waived for project team member(s) who have an acceptable level of

proficiency based on previous experience or training, as determined by the Project

Manager/Technical Manager.

5.2.4 Refresher courses

Project specific needs in terms of human resources are identified by the Project Manager

and reported to the Management Review Committee.

5.3 Awareness Sessions

New project team member(s) members that did not attend organised training (e.g. start-up or

kick-off workshops) may undergo awareness training to get them in line with the rest of the

project team. This training may be on a one-to-one basis.

6. Monitoring

6.1 Monitoring

Project Management will assess the competence of project team members and any need for

further training will be identified. Monitoring of the results of a competence assessment and

training provided will be performed during Management Review Meetings and may be

confirmed by Independent Technical Review.

6.2 Acceptance Criteria

• Up-to-date list of competence required for the project team to realise the project;






• Evaluation of the competence of each project team member(s); and

• Identification of training needs and provision of training after competence evaluations.

7. Records

Records will be maintained of education, training, skills and experience, including the

following:

• Curriculum vitae, job description or letter of appointment for all project team members

involved in the project;

• All relevant diploma and degree certificates;

• Signed records of quality undertaking forms and customer confidentiality forms for all

project team member(s) involved in the project;

• All results of in-house training of project team member(s) (e.g. workshop attendance

records, etc.)

• Certificates obtained through external courses; and

• Individual Development Plan(s).

8. Development Team

• Erna Hattingh

• Johann Neveling


• Annabel Graham


9. Attachments

None

PROCEDURE FOR INTERNAL AUDITS

AMENDMENT SHEET

Rev. 2

REFERENCE: CGS/QA10/PR05




CGS/QA10/PR05-i

PROCEDURE FOR INTERNAL AUDIT AND SELF-ASSESSMENT


AMENDMENT SHEET

Rev. 2





CGS/QA10/PR05-ii


Issue Date

1

2



Add self-assessment to the procedure following

SABS surveillance audit on 2 May 2012. Paragraphs

affected include:

§1.1; §1.2; §2.1; §4; §4.2.1; §4.2.2; §4.2.3; §4.3; §5;

§5.2; §5.3; §5.4; §6.1;


revised IMS Manual. The NGG changed the use of

the geoportal to an electronic repository. Change in

report number from 2010-0168 to 2013-0010 to

separate the IMS manual from the core IMS

procedures.

05-09-2011

29-03-2013






1. Scope

1.1. Purpose

Internal Audit assists the project to accomplish its objectives by bringing a systematic,

disciplined approach to evaluate and improve the effectiveness of risk management, internal

control, and governance processes in place.

Self-assessments serve as a management diagnostic tool to enable appropriate and timely

improvement, corrective and preventive action and focus on process improvement, known

problems and high risk areas.

This procedure describes the planning, scheduling, preparing, performing and reporting of

internal audits and self-assessments. This procedure also describes the method for

receiving, tracking, and closing out audit corrective actions.

The objectives of internal audits and self-assessments in NGG’s project’s include:

• Determining the effectiveness of the implementation of the integrated management

system in meeting specific quality and safety objectives; and

• Reporting any findings, observations, non-conformances and opportunities for

improvement identified to the Project Manager and Management Representative of the

project.

Regularly scheduled internal audits may be supplemented by self-assessments or additional

audits for one or more of the reasons given below:

• A specific request by the Project Manager and/or Management Representative;

• Significant changes are made to the Integrated Management System such as

significant reorganisation or procedure revisions;

• It is suspected that the safety or quality of services or the product is in jeopardy due to

deficiencies in the Integrated Management Systems;

• A systematic, independent assessment of project effectiveness is considered desirable

(e.g. upon request by the client); and

• An audit is requested as the method to verify implementation of a required corrective

action.






Internal audits provide independent assurance to the customer regarding the project

implementation and execution.

1.2. Applicability

This procedure applies to the performance of internal audits and self-assessments. External

audits fall under the responsibility of the customer.

2. References

2.1 CGS references

A list of IMS documents is contained in the IMS Master List of documents (Appendix A in






Applicable Safety Culture Enhancement Programme













2.1. External references

Normative Eskom Standard 39-60 Contract quality requirements


ISO 10006:2003 Quality management systems guidelines for quality management in

projects


installations







hazard studies






activities





guidance for use













Project staff with responsibilities for implementing this procedure is:

• Project Manager;

• Management Representative;

• Project Quality Officer;

• Project Quality Controller;

• Project Safety Officer and

• Project Administrator.

The Project Manager will schedule internal audits and self-assessments at appropriate

intervals. These will be reflected on the planning schedule.

The Project Manager or the Management Representative may be delegated the Project

Safety Officer and the Project Quality Officer with the responsibility for implementing this

procedure and more specifically to conduct self-assessments on behalf of the NGG

Management.

The CGS has subcontracted the Internal Audit function. The Internal Auditor appointed by

the CGS and assessors will comply with the following controls:

4.1. Accountability

The appointed company undertaking Internal Audits, in the course of their duties, will be

accountable to the Project Manager.






4.2. Responsibility

4.2.1 General

The company appointed to undertake Internal Audits has the responsibility to:

• Develop a detailed audit plan prior to each audit. The audit plan will take into account

the relevant quality, safety and contractual requirements and be communicated to the

Project Manager prior to the audit;

• Implement the audit plan including, as appropriate, any special requests or items of

concern requested by the Project Manager and/or Management Representative;

• Maintain a professional audit staff with sufficient knowledge, skills, experience, and

professional certifications to meet the scope, objectives and requirements of the audit

plan;

• Issue internal audit reports to the Project Manager and/or Management Representative

summarising the results of audit activities.

Self-assessments will be planned by the Project Manager, the delegated assessor and

implemented on the project schedule. Notification will be informal via meetings, telephone or

email.

4.2.2 Audit / Assessment Leader

The lead role will be performed by the Lead Auditor for internal audits and by the Lead

Assessor in self-assessments. The Audit / Assessment Leader:

• Prepares an audit or assessment plan and notifies the staff affected;

• Chairs the internal audit / assessment activities and only conducts an opening and

closing meeting during internal audits;

• Co-ordinates the audit / assessment schedule with the relevant project team members;

• Plans the audit / assessment, prepares the working documents and briefs the audit

team;

• Consolidates all findings and observations and prepares a report;

• Reports critical non-conformities to the Project Manager immediately; and

• Reports to the Project Manager the audit / assessment results clearly and promptly.






4.2.3 Audit / Assessment Team

• Supports the Lead Auditor’s / Assessor’s activities;

• Performs the audit / assessment and may make use of a checklist approach;

• Reports the non-conformities and recommend suggestions / opportunities for

improvement;

• Retains the confidentiality of audit findings; and

• Act in an ethical manner at all times.

4.2.4 Auditees

Receive the audit report and determine, initiate and follow-up the corrective action.

4.3. Authority

The company/person appointed to do Internal Audits / Assessments are authorised to:

• Have unrestricted access to all functions, records, property and personnel, related to

the NGG projects;

• Allocate resources, set frequencies, select subjects, determine scopes of work, and

apply the techniques required to accomplish audit objectives; and

• Obtain the necessary assistance of project team members as well as other specialised

services from within or outside the organisation.

The company appointed/person to do Internal Audits are not authorised to:

• Perform any operational duties for the organisation or its regional units; and

• Direct the activities of any employee in the organisation, except if such employee has

been assigned to assist the Internal Auditors.






5. Internal Audit / Self-assessment Methodology

Figure 1: General steps involved in an audit and self-assessment

5.1. Standards of audit practice

It is expected that the Internal Auditors will be guided by ISO 19011 (2002) -Guidelines for

quality and/or environmental management systems auditing.

5.2. Audit / Assessment Approach

Audits and Self-assessments are planned and controlled by the Project Manager using the

planning schedule. Audit and Self-assessment personnel are allocated by the Project

Manager based on the technical expertise required for the process under assessment.

The self-assessment structure, method and reporting are at the discretion of the Project

Manager and Lead Assessor provided that material findings are processed via the "request

for corrective and preventive action" forms (CGS/QA10/PR06 in CGS report 2013-0010).

The timing of each audit / assessment will be agreed upon with the Project Manager and the

people involved in the project will be notified accordingly. The following steps will be followed

in each scheduled audit:






5.2.1. Planning

When the processes of the project are to be assessed, the following documents, as a

minimum (RD-0034 clause 123), shall be provided to the auditors for review:

• Structure of the nuclear siting project - see Appendix C (CGS/QA10/MN01 in CGS

report 2010-0168);

• Definition and classification of the processes;

• Procedures, manuals and progress reports of the implemented IMS, including those

describing the integration of all relevant aspects of Safety Management and Safety

Culture into the Management Review process;

• Philosophy and status reports of the Safety Culture introduction and enhancement

process;

• Evidence of introduction of IMS, including Safety Culture, provided to outsourced

suppliers (sub-contracted suppliers are not subject to the project IMS);

• Supporting SM/SC related documents, commitments, guidelines etc.;

• Documentation of the internal and external review and improvement process of SM/SC;

and

• Documentation of external review and surveillance measures, where available.

The Lead Auditor will contact the Project Manager before the audit to outline the scope and

proposed schedule of the audit. During this initial contact the Lead Auditor will:

• designate which procedures and/or documents are to be used as a basis for the audit

(ISO 9001, SCEP, RD-0034, RD-0016, etc.);

• ask questions about the audit and confirm the current work being performed,

• determine any changes in the scope or tasks of the project,

• identify the names and locations of key personnel to be contacted during the audit;

• determine the lines of communication; and

• determine the deliverables from the audit.

The Lead Auditor will prepare an audit notification letter, notifying the Project Manager of:

• the audit scope and requirements;

• the audit team members;






• the activities to be audited; and

• the audit schedule, including scheduled introduction meeting and estimated exit

meeting.

The audit plan, agenda or itinerary should include an assessment of the effectiveness of the

applicable elements of the Integrated Management System based upon information such as

the following:

• Current project activities and applicable requirements;

• Technical evaluation of the applicable procedures, instructions, activities and products;

• The results of previous audits, self-assessments and surveillances, including non-

conformances, corrective and preventive actions; and

• Independent information (e.g. from other sources such as generic experience of the

nuclear industry, peer organizations, regulating bodies, etc.).

Prior to initiating an audit, the Lead Auditor will examine any existing audits, assessment or

surveillance reports, and corrective action reports that relate to the elements to be evaluated.

5.2.2. Introduction Meeting

The Lead Auditor will arrange for an introduction/opening meeting with the Project Manager.

The purpose of this meeting is to:

• meet the participants;

• obtain meeting attendees signatures, names and titles on the entrance meeting

attendance register;

• discuss the audit purpose, scope and requirements;

• provide information on how the audit will be conducted, the activities and areas to be

audited, and who will cover each area;

• arrange times to meet with key personnel;

• establish a tentative schedule for daily management briefings and for the exit meeting.






5.2.3. Performing the audit / self-assessment

The Auditor(s) / Assessors will verify by examination and evaluation of objective evidence

whether each checklist or procedure requirement is being met and immediately report any

conditions requiring prompt corrective action to the Lead Auditor / Assessor, who will pass the

information to the Project Manager.

The Lead Auditor will brief the Project Manager on a daily basis on the status of the audit

(e.g. issues encountered).

The Auditor(s) will conduct themselves as follows:

• avoid duplicating efforts by combining checks on different requirements whenever

possible (e.g. when checking the procedures for content and format - also check the

document control process);

• adequately identify samples so that the audit could be retraced and the same samples

obtained;

• record the details of any non-compliance;

• when checking samples of a document for more than one requirement, record the

results so that it is clear which requirement is compliant or non-compliant;

• examine objective evidence to the extent necessary, and do not be limited by the

procedure or checklist;

• sign and date the checklist or notes when the audit has been completed.

5.2.4. Exit meeting

At the conclusion of the audit, an exit/closing meeting will be held. The team will review and

summarise the audit results with project management.

The Lead Auditor will:

• present a draft copy of the audit results to the Project Manager and explain that a

written response to the findings is expected within 30 calendar days of receipt of the

audit report;






• discuss findings and observations to clarify any potential misconceptions or

misunderstandings;

• obtain meeting attendees signature, names and titles on the exit meeting attendance

register; and

• explain what is expected in the CAP if there are any specific requirements.

The Management Representative of the project is considered to be sufficiently independent

to close-out internal audit findings and observations upon verification by the Project Manager

(refer to procedure for corrective and preventive action CGS/QA10/PR06 in CGS report

2013-0010).

5.2.5. Reporting

The draft audit report, audit checklists, and information obtained during the audit will be

analysed by the audit team to determine the content of the final audit report. Comments

obtained from Project Manager in response to the draft report may be included. The audit

report will be reviewed by the audit team, signed and approved by the Lead Auditor and

issued to the Project Manager within 30 calendar days of the exit meeting.

The audit report will include the following sections:

• The introduction will identify the topic of the audit, and the date(s) of the audit,

description of the audit scope and identification of the audit team;

• The summary will include the following:

identification of persons contacted during the audit;

a summary of the documents reviewed, and the specific results of the reviews and

interviews;

a statement on the effectiveness of the IMS elements which were audited (in

accordance with ISO 9001, RD-0034, RD-0016, etc.);

a short identification of the number of findings and the main groupings of these

findings. If none are identified, then it is stated;

identification of any exemplary practices;






The audit report will include a statement that, for audit-generated corrective action

reports, the Management Representative’s signature is required as verification of

corrective action closure.

• The findings section will include for each finding:

the governing requirement for the deficiency;

a description of the observed deficiency with sufficient detail to enable the

determination of the necessary corrective action(s; and

reference to the objective evidence supporting the finding.

agreeing on corrective action






Findings shall be classified as follows:

Major non-conformance

This pertains to a major deficiency in the contents, requirements or implementation of the IMS, such as: • A failure of the customer’s system to address a specified

requirement of the standard;

• A frequent or purposeful failure to follow specified requirement written within the project;

• A failure to achieve the fundamental aim of a project requirement;

• A failure to achieve legal, regulatory or statutory requirements;

• Multiple minor non-conformities within the same area of the project system;

• Multiple minor non-conformities to the same requirement of the standard or project system;

• The deficiency may have significant cost implications; and

• A purposeful failure of the company to correct non-conformities. A major non-conformance indicates an impact on the ability of the project to achieve customer satisfaction or may serious impair the project in achieving its objectives. Therefore a formal root cause analysis is required.

Minor non-conformance

Any failure of the audited system to satisfy a written requirement that is not considered to be a major non-conformity; or A minor deficiency, where one or more elements of the IMS are only partially complied with or implemented. A minor non-conformance may be rectified effectively without investigating the root cause. They are reviewed during the determination of the immediate correction required and it is found that no risk exists outside the immediate incident and no further action is required outside the immediate correction.

Observation An area of concern; a process, document, or activity that is currently conforming that may, if not improved, result in a non-conforming system or service.

Routine action Actions that are submitted for consideration but may not necessarily be addressed, or may only be actioned sometime in the future.

Opportunity for improvement

An observation made by the audit team which may be implemented by the auditee (treated as preventive action), usually a process, activity or document that, while currently conforming, could be improved to bring benefits to the project and/or the client.

Positive findings Findings that pertain to processes, procedures and/or the implementation thereof that goes beyond the requirement of the relevant standards.






5.2.6. Follow-up

The Project Manager is responsible for the verification of corrective and preventive actions

and once verified, the Management Representative will close-out the finding or observation.

Progress with the CAP will be discussed during Management Reviews. On submission of the

final completed CAP, the internal auditor will indicate closure of the audit. Follow-up audits

may be scheduled, as required.

5.3. Audit Documentation

A CAP will be drawn up with the Project Manager or a person delegated to perform this task.

The plan will include the action to be taken, the person responsible for such action and the

target date by which corrective action should be implemented. Follow-up activities include

the verification of the actions taken and the reporting of verification results.

The Management Representative for the project will ensure that non-conformance, corrective

and preventive actions are taken without undue delay. The Management Representative will

ensure that a project record file is established and maintained for the documents associated

with each internal audit. These documents will include, as a minimum, the following: audit

notification, audit reports, corrective action responses, and the acceptance of completion of

the corrective actions.

5.4. Assessment Documentation

An ATL will be drawn up with the Project Manager or a person delegated to perform this task.

The list will include the action to be taken, the person responsible for such action and the

target date by which corrective action should be implemented. Follow-up activities include

the verification of the actions taken and the reporting of verification results.

The Management Representative for the project will ensure that where needed non-

conformance, corrective and preventive actions are taken without undue delay. The

Management Representative will ensure that an ATL is established and maintained for self-

assessments. These documents will include, as a minimum, the following: the self-






assessment ATL, self-assessment records (checklist or reports), and where major findings

were raised the associated corrective action responses, and the acceptance of completion of

the corrective actions.

6. Monitoring

6.1. Monitoring

Monitoring of progress in dealing with observations, findings and non-conformances

identified by Internal Audit and self-assessments will be by means of the CAP that will be

compiled and updated by project management, as required. The CAP will be discussed

during the MRM to ensure that management objectives are being met.


• Evaluation of the effectiveness of the IMS in meeting defined objectives within the

project duration;

• Evaluation of the effectiveness and improvement of risk management, internal controls

and processes within the project duration; and

• Identification and reporting of observations, findings and non-conformances during the

project timeframe to the Project Manager.

7. Records

The following records will be kept by the Project Administrator for internal audits:

• All correspondence between the Project Manager and the internal auditors;

• The audit plan/agenda developed by the internal auditors;

• Attendance registers for each day of internal audit;

• The internal audit report;

• The CAP which is used to assign responsibilities, list root causes and track progress in

corrective and preventive action; and

• Completed "request for corrective and preventive action" forms (CGS/QA10/PR06 in

CGS report 2013-0010).






The following records will be kept by the Project Administrator for self-assessments:

• The self-assessment schedule developed by the Assessor(s) and Project Planner;

• Self-assessment notes on checklists or where applicable a report;

• The self-assessment ATLs;

• Where major findings are raised, Completed "request for corrective and preventive

action" forms (CGS/QA10/PR06 in CGS report 2013-0010).

8. Development Team

• Erna Hattingh


• Annabel Graham

9. Attachments

Appendix A: Classification of Internal Audits

PROCEDURE FOR INTERNAL AND EXTERNAL INDEPENDENT TECHNICAL REVIEW

Rev.

2








AMENDMENT SHEET

Rev.

2







Issue Date

1

2





IMS Manual. Change in report number from 2010-0168

to 2013-0010.

05-09-2011

29-03-2013


Rev.

2





1. Scope

1.1. Purpose

The purpose of this procedure is to provide requirements and methods for performing

internal and external independent technical reviews to ensure that technical documents are

complete, adequate, and technically relevant/correct.

Independent Technical Reviews (ITRs) are required on scientific or technical information

deliverables. In addition, an ITR may be performed when required by a quality

assurance/control need, or when required by the Project Manager responsible for approving

the technical document prior to its use or delivery.

1.2. Applicability

This procedure is applicable when a documented review by independent, qualified internal

and/or external reviewer is required to ensure the technical completeness, adequacy, and

relevancy/correctness of technical documents.

2. References

2.1 CGS References












Rev.

2










Rev.

2








in projects


installations







hazard studies






activities





guidance for use






Rev.

2








Project team members with responsibilities for implementing this procedure are:

• Project Manager



• Document Author

• Independent Technical Reviewer

5. Procedure for Internal and External Independent Technical Review

5.1. Review requirements and processes

The Project Manager and/or Technical Manager will ensure that required Independent

Technical Reviews (ITRs) are accomplished in accordance with this procedure. The ITR will

be performed prior to document approval for release and issue.

Products that require internal or external independent technical review will be indicated in the

contract and/or on the activity schedule.

5.1.1. Selection of reviewers

The Study Leader will identify (where possible, two or more) suitable reviewer(s) at an

appropriate time according to the contract and/or activity schedule. The Study Leader will

select reviewers that are able to ensure that the document is technically adequate, complete

and correct.


Rev.

2





Qualifications of INTERNAL technical reviewer(s) will be based on:

• up-to-date training to applicable project procedures;

• technologies and disciplines represented in the document;

• proven competence in the subject matter of the document;

• adequate understanding of the requirements for and objectives of the technical

document; and

• reviewer independence, reviewers may be from the same organisation as the

document author, but will not have performed any of the related work.

Qualifications of EXTERNAL technical reviewer(s) will be based on:

• technologies and disciplines represented in the document;

• proven competence in the subject matter of the document; and

• adequate understanding of the requirements for and objectives of the technical

document.

The Study Leader will submit the reviewer’s CVs to the Project Manager. The CVs will

accompany/supplement the terms of reference for the review, detailing the expected

outcomes of the review.

The Project Manager will select and motivate for the appointment of reviewers upon

recommendation of the Study Leader(s) and determines a review completion date.

Reviewers will be appointed as per the CGS procurement policy.

5.1.2. Performing the review

The Study Leader will provide the following information to the ITR:

• a copy of the document (if document is to be reviewed as a hard copy, copies will be

provided);

• document title, number, and revision level;

• name of author(s) and contact details;

• requirements and references to be considered in evaluating the document; and


Rev.

2





• special instructions needed by reviewer, including any specific criteria or requirements

to be met.

The reviewer will review the document within their scope of review responsibility in

accordance with instructions or terms of reference provided. Reviewers will verify that the

document being reviewed meets the following criteria, as applicable:

• reported results are traceable to and consistent with recorded data;

• data reduction has been accomplished correctly;

• data are traceable to their origin and to reported analytical results;

• data traceability for graphical presentations of data;

• inferences and conclusions are soundly based;

• the deliverable satisfies project objectives;

• the document is complete and includes all the required sections for the type of

document being reviewed; and

• verification of compliance with established requirements.

5.1.3. Completion of the review

The reviewer will produce a review report. The review report will, as a minimum:

• either verify that the document is adequate, complete and correct, or will identify and

document any deficiencies that require a change to the technical document;

• identify and quantify characteristics that do not fulfill the requirements of the product(s)

and recommend action(s) to rework characteristics that do not fulfill the requirements of

the product(s).

• clearly identify and differentiate editorial, optional and mandatory comments. This

classification is defined below:

o Editorial - a comment which addresses formatting, numbering, typographical or

grammatical errors which do not adversely impact the integrity of the document.

o Optional – a comment, which in the opinion of the external reviewer would

provide clarification and/or amplification to the document which does not

significantly impact the integrity of the report.


Rev.

2





o Mandatory – a comment which identifies a deficiency with the document which

may have, or has, adversely impacted the integrity of the document.

• contain adequate references to support the findings/comments of the reviewer when

based on other data or information outside of the furnished review material; and

• make a formal recommendation whether the product may be accepted by the customer

or not.

A major change is defined as a change which impacts the integrity of the document but

does not include corrections of grammar or spelling, re-numbering sections or attachments

which do not affect the chronological sequence of work, changing the title or number of the

document, and, updating organisational titles.

On completion, the reviewer's report must be signed and dated and sent, together with all the

relevant products, documents and records, to the Study Leader and/or the Project Manager.

5.1.4. Resolution of review comments

The Document Author will, upon receipt of the review, resolve the ITR comments:

• ensuring that the comments are incorporated into the document; or

• record the reasons for not incorporating review comments.

Records of the disposition of review comments will be kept by the document author and

added to the report as an appendix.

The Document Author will incorporate affected changes prior to release and issue of the final

version of the document.

The document may be resubmitted to the ITR to determine whether the reviewer is satisfied

with the comment disposition, and the document author may also be required to provide the

ITR with the record of the disposition of review comments.


Rev.

2





Differences of opinion involving comment resolution will be brought to the attention of the

Project Manager for resolution. Disagreements will be referred to successively higher levels

of management for resolution or the opinion of a second reviewer may be sought to resolve

the matter.

6. Monitoring

6.1. Monitoring

The results of the ITR and the integration of review comments will be monitored. Where

conflicts develop, or the correction of the deliverable will incur increased cost or impact on

project timelines, these reviews will be discussed at management review meetings.


Technical documents are reviewed to assess adequacy, completeness and accuracy by

independent reviewers prior to use or delivery.

7. Records

The Project Manager and/or Project Administrator should keep the following records and

documents:

• CVs of internal or external reviewers.

• Communication with possible reviewers.

• Internal and external review reports.

• Original released products and revised products to address actions arising from

internal and external reviews .

8. Development Team


• Annabel Graham

• Erna Hattingh


Rev.

2





• Johann Neveling

9. Attachments

None

PROCEDURE FOR CONTROL OF NON-CONFORMING PRODUCT OR SERVICES








AMENDMENT SHEET







Issue Date

1

2



Add self-assessment to the procedure following

SABS surveillance audit on 2 May 2012.


revised IMS Manual. The NGG changed the use of

the geoportal to an electronic repository. Change in

report number from 2010-0168 to 2013-0010 to

separate the IMS manual from the core IMS

procedures.

05-09-2011

29-03-2013






1. Scope

1.1. Purpose

The Nuclear Geo-hazards Group (NGG) will ensure that products and services delivered to

customers and received from suppliers conform to contracted requirements. This procedure

describes the process used to ensure that products and services that do not conform to the

project’s requirements are identified and controlled to prevent unintended use or delivery.

The purpose of this document is to describe the process to be followed once a non-

conforming product or service is either received from suppliers or delivered to the customer.

1.2. Applicability

This procedure is applicable to services and products delivered and received by the project

team, as well as the final product of the project (represented by the final report).

2. References

2.1. CGS references







Applicable Safety Culture Enhancement Programme













2.2. External references

Normative Eskom Standard 39-60 Contract quality requirements


ISO 10006:2003 Quality management systems guidelines for quality management in

projects


installations







hazard studies






activities





guidance for use











Refer to Appendix B of “IMS Manual” (CGS/QA10/MN01) in the “IMS Manual and

Procedures” (CGS Report 2010-0168).


Project management is responsible for:

• Ensuring that this procedure is implemented;

• Identifying and controlling non-conforming product and services to prevent their

unintended use or delivery.

• Deciding on appropriate actions to be taken once a non-conformance is identified;

• Identifying the root cause(s); and

• Ensuring that actions are taken to resolve the non-conformance by correction,

rework, repair or applying for a concession from the customer.

The Project Manager or Project Quality Officer is responsible for:

• Raising each non-conformance (product or service) by completing the “Request for

corrective and preventive action” form (CGS/QA10/FM01 in the CGS report 2013-

0010) and entering them into the appropriate action tracking list; and

• Follow up and close out actions taken.

The Project Quality Officer (on behalf of the Management Representative) is responsible for:

• Follow up and verify corrective and preventive actions taken;

• Report the results of follow-up actions at Management Review meetings (by use of

appropriate action tracking list); and

• Ensure that data gathered during this process is effectively trended and analysed.






All project employees are responsible to:

• Determine the root cause of non-conformances; and

• Implement corrective action.

5. Procedure for non-conforming product of services

5.1. Identifying and documenting non-conformances

Non-conformances may be identified as a result of audit reports, self-assessments

complaints from the customer or during the procurement of products or services.

The Project Manager, Technical Manager, Project Quality Officer and/or Management

Representative will evaluate the potential non-conformance to determine if the resultant

service or procured product, as defined in the signed contract, will conform to the stated

product requirements and defined acceptance criteria.

Once agreed that the potential non-conformance will affect the provision of service or

resultant product, the Project Manager completes Sections A and B of the “Request for

corrective and preventive action” form (CGS/QA10/FM12 in CGS report 2013-0010) and enters

the non-conformance into the appropriate action tracking list.

Non-conforming products will be segregated by clearly identifying them and employing other

precautions, as required, in order to prevent inadvertent use or delivery. If a service was

provided that did not meet requirements, the results thereof are also segregated. Non-

conforming products or results of non-conforming service may not be used until it has been

revised and verified by authorised project staff as acceptable for use (if applicable).

5.2. Corrective action

Root cause analysis is documented by indicating Man (e.g. human error, negligence);

Management; Material/data (e.g. samples and data); Method; Money or Machine

(computational errors of software failure). One or more may be applicable. This summary will

be used for monitoring and analysing the occurrence and frequency of non-conforming

products, services and processes.






Once the root cause of the non-conformance has been identified:

• Action may be taken to eliminate the detected non-conformity by means of correction,

rework or repair;

• The non-conforming product may be used under concession; and/or

• Actions may be taken to correct and/or prevent occurrence of the non-conformity (e.g.

corrective action).

Where possible, non-conforming products and processes are reworked and/or corrected.

Corrected products and services will be reviewed to demonstrate their conformity with

product requirements or expected results.

Where appropriate, the Project Manager will delegate the corrective actions to the

appropriate project staff. The person(s) designated by the Project Manager will have:

• demonstrated competence in the specific area to be evaluated;

• adequate understanding of the requirements; and

• access to pertinent background information.

The designated person should use the methods included in the procedure for “Corrective and

preventive action” (CGS/QA10/PR03 in CGS report 2013-0010) for evaluating the condition

and determining suitable corrective action. The designated person(s) will evaluate the

possibility of correction (e.g. rework/repair) and the review, inspection or tests required to

ensure that the corrected product meets the acceptance criteria. This review is usually

performed in accordance with the original review process(es) defined in the contract.

Any desired changes, in this action, are to be coordinated with and approved by the Project

Manager.

5.3. Concession

If necessary, the Project Manager will negotiate and initiate a concession agreement with the

customer. Justification for the acceptability of a non-conforming product that is to be used as-

is will be documented and presented to the customer for acceptance. The concession will be

authorised by the relevant parties, which may include the regulatory authorities.






5.4. Close-out of non-conformance

Upon completion of the approved correction or action taken in response to a non-

conformance, the person(s) tasked with resolving the non-conformance (designated by the

Project Manager) will describe how the non-conformance was corrected by completing

Section C of the “Request for corrective and preventive action” form (CGS/QA10/FM12 in the

CGS report 2013-0010).

The form is forwarded to the Project Manager for verification. The Project Manager verifies

the follow-up action by completing Section D of the “Request for corrective and preventive

action” form (CGS/QA10/FM12 in the CGS report 2013-0010).

The Management Representative will review the completed form and close-out the non-

conformance (Section E of the “Request for corrective and preventive action” form

CGS/QA10/FM12 in the CGS report 2013-0010). The date of close-out will be entered into

the appropriate action tracking list.

6. MONITORING

6.1. Monitoring

This procedure will be monitored via an action tracking list, compiled by the Project Quality

Manager, containing relevant data from completed “Request for corrective and preventive

action” forms (CGS/QA10/FM12 in the CGS report 2013-0010). Information gathered will be

used to report on progress, resolution and close out of non-conformances by the

Management Representative, who will also compile a summary of root causes. This

information will reported and reviewed at Management Review Meetings.


• Non-conforming products or services are identified and their use restricted;

• Appropriate action was taken to resolve the root causes of non-conforming products or

services; and






• Non-conforming products or services are corrected or reworked prior to use or delivery.

7. Records

The Management Representative will maintain a copy of each completed “Request for

corrective and preventive action” form (CGS/QA10/FM12 in the CGS report 2013-0010) and

an action tracking list that indicates the following:

• date issued;

• the originator;

• description of non-conforming product or service;

• recommended action for resolution with estimated duration of corrective or preventive

actions;

• root cause analysis;

• date of verification (by Project Manager); and

• date of close out (by Management Representative).

8. Development Team


• Erna Hattingh

• Annabel Graham

9. Attachments

None

PROCEDURE FOR RESOURCE MANAGEMENT








AMENDMENT SHEET







Issue Date

1

2




revised IMS Manual. Change in report number from

2010-0168 to 2013-0010 to separate the IMS manual

from the core IMS procedures. Remove the PPRP as

they will be appointed by the client in future

05-09-2011

29-03-2013






1. Scope

1.1. Purpose

This procedure provides the methods for resource management within the nuclear siting

project. It addresses provision of resources, human resources, infrastructure as well as work

environment.

1.2. Applicability

This procedure applies to all project team members.

2. References

2.1. CGS references




IMS manual CGS report 2010-0168

Core IMS Procedures, Forms, Work Instructions

and Checklists


Terms of Reference Management Review

Committee



Processes, Classification and Technical

procedures



Applicable Project Risk Register








Contracts: All applicable contracts between the CGS and customer.

2.2. External references Normative Eskom Standard 39-60 Contract quality requirements



in projects


installations







hazard studies






activities





guidance for use












0168.


Project Management Team with responsibilities for implementing this procedure is:

• Project Manager




5. Procedure for Resource Management

5.1. Provision of Resources

The Project Manager identifies the resources necessary to carry out the activities of the

project. This will ensure that the IMS is established, implemented, assessed and continually

improved. Financial resources for the project are provided by means of an internal budget.

5.2. Human Resources

5.2.1. Internal Human Resources

Appointments of CGS project team members to nuclear geo-hazard related projects will be

made through appointment letters according to the requirements of the project. The CEO

appoints team members with appropriate qualifications, skills and experience to perform the

specifically identified tasks and functions. Not only should team members have received

appropriate education and training, but also have acquired suitable skills, knowledge and

experience to ensure their competence. The competency requirements for project team






members are determined and training is provided, where necessary, to achieve the required

level of competence.

The following measures are undertaken to ensure that team members are adequately trained

and that competency requirements for those functions affecting the IMS requirements are

met:

• Team members are made aware of their contribution to the achievement of the quality

and safety objectives;

• Team members are made aware of the safety classification of the task that they

contribute towards;

• Records of qualifications, authorizations to perform tasks, skills and experience of all

team members to demonstrate competence for the performance of assigned tasks are

kept;

• Training and re-training needs and career planning are identified and, where necessary,

training is provided;

• Recognition and rewarding team members for safety;

• Job descriptions appear in each appointed team member’s appointment letter;

Appropriate records are maintained of education, training, skills and experience. An Active

Persons Register is established and maintained to record and identify future competency

requirements.

The Project Manager ensures that the effectiveness of training is conducted in order to

ensure that suitable proficiency is achieved and maintained by project team members.

Understanding of the relevance, importance and consequences of their activities, and how

their activities relate to safety in the achievement of the project’s objectives is also important.

Team members are made aware of the safety implications of the work that they perform.

New appointments to the CGS (and the project) will be done in accordance to the CGS

Recruitment, Selection, Placement Policy and Procedures policy (CGS-HR-RCT-001). The

following general steps are followed:






• A Job Profile/Job Description is used to establish the criteria for screening, assessment

processes and structured interviews.

• Internal Recruitment.

• External Recruitment.

• Short-listing.

• Interviews.

• Reference Checks.

• Appointment.

5.2.2. External human resources

During the course of geological investigations supporting a PSHA for nuclear facilities it is

expected that use will be made of individuals with specialised skills experience of conducting

hazard analyses within a regulatory environment. To conduct the SSHAC Level 3 PSHA for

the NPP site at any given site, a larger number of experts will be required in addition to the

geologists, geophysicists and seismologists from the CGS. The external experts and CGS

team members will together form the project team. The project team can be considered as

consisting of several groups who participate throughout the duration of the project, namely:

• TI Team (PTI, TI Leads and TI Team)

• Specialty contractors

• PPRP (Participatory Peer Review Panel) – where applicable.

All of these positions require individuals or teams with very specialised skills, preferably

combined with relevant experience of conducting hazard analyses within a regulatory

environment. The members of the TI Team, who act as technical evaluators, and members

of the PPRP, must also demonstrate certain attributes in terms of ability and willingness to

adopt the responsibilities of these roles and to commit substantial blocks of time to the

project for its entire duration.

At the same time, as a result of ongoing projects such as the BC Hydro Level 3 PSHA, the

CEUS SSC project, NGA-East and the PEGASOS Refinement Project, several new experts






are emerging and the pool from which the team can be populated is thus expanding.

Therefore, the list of available and suitable experts is not static but continually evolving.

There is no benefit in compiling a list at this time, since populating the project team with

appropriately selected experts is one of the key tasks that will be carried out under the

scoping project contract. There is no sense in contacting potential team members to enquire

if they might be available at a time when there is no firm start date for the project, or indeed

even an assurance that there will be a project in which they will participate.

Criteria for selection of experts in terms of their roles, attributes and responsibilities will be

established. Such criteria are available, for example in the NUREG 2117 on guidelines for

the implementation of SSHAC Level 3 and 4 hazard studies.

In addition to the task of assembling the project team, a number of additional experts need to

be recruited, generally to participate for only some part of the project and in some cases only

a single workshop. These experts fall into two categories:

• Resource Expert

• Proponent Expert

The former are likely to be identified during the project scoping project. A preliminary list of

Proponent Experts (who will for the main part participate only in the second of the three

workshops) will be drafted during the project scoping phase, but this is expected to grow as

additional views and models are developed. Indeed, a specific responsibility of the PPRP is

to assist the TI Leads in ensuring that all proponent views are considered in the assessments

and for this reason the PPRP is expected to nominate additional proponent experts once the

project commences.

5.3. Infrastructure

The CGS is responsible for providing and maintaining the infrastructure needed to achieve

the identified management objectives, so that work can be carried out in a safe manner. This

includes buildings, workspace, and equipment and support services.






5.4. Work Environment

The CGS provides and maintains the work environment needed to achieve the integrated

objectives. This includes adequate ablution facilities, heat, humidity, light, airflow, hygiene,

cleanliness, noise and pollution.

6. Monitoring

6.1. Monitoring

Resource requirements are discussed and assessed during:

• Self-assessments by the Management Representative, Project Safety Officer, Project

Quality Officer or suitable appointed resource, as required by project schedule and

execution;

• Weekly informal progress meetings with CGS project team (chaired by Project Manager);

• Internal and external audits.

Resource requirements will be monitored and reviewed at Management Review Meetings.

The contribution of each scientific, resource or proponent expert selected to the SSHAC

Level 3 process will be recorded in the workshop summary report.


• Project team members that are appropriately qualified are appointed for specific tasks

required for the completion of the project; and

• No impact due to a lack of resources or infrastructure on project deliverables and/or

timeframe.

7. Records

• CV’s.






• Signed letters of appointment.

• Signed contracts.

8. Development Team

• Erna Hattingh

• Johann Neveling


• Annabel Graham

9. Attachments

None

PROCEDURE FOR THE MANAGEMENT OF THE ELECTRONIC REPOSITORY








AMENDMENT SHEET







Issue Date

1

2



Extensive re-write. The NGG changed the use of the

geoportal to the concept of an electronic repository

which encompasses the use of FTP site(s), databases

and the normal office communication methods.

Updated procedure’s content to align with use the

revised IMS Manual. Change in report number from

2010-0168 to 2013-0010. Change in title.

05-09-2011

29-03-2013






1. Scope

1.1. Purpose

The purpose of this procedure is to provide a mechanism for managing digital/electronic

data/files that will support the Project Management Team of the Nuclear Geo-Hazards Group

(NGG) to operate effectively during a project.

The electronic repository can contribute to an open communication system by providing a

location where data/files can be shared and exchanged between project team members

safely and securely

1.2. Applicability

The repository will be a central point where the required documentation and data for a project

can be accessed across the internet. It will be possible to distribute, maintain, manage and

download data securely. This procedure is applicable to all the project team members.

2. References

2.1 CGS References






















in projects


installations




IAEA-TECDOC-1204 A systematic approach to human performance improvement in

nuclear power plants: Training solutions




hazard studies






activities










guidance for use







0168.


The Project Manager will identify and appoint adequate resources to manage the:

• FTP site(s);

• Reference database;

• GIS database, and

• NGG server.

5. Procedure for the Management of the Electronic Repository

The NGG electronic repository consists of secure FTP site(s) and databases as locations

where electronic data/information/files are stored safely and securely (Figure 1). The data

and information stored on the secured site(s) and the databases can only be used by project

team members.






Figure 1: Schematic diagram of the NGG electronic repository

By placing content in an electronic repository Project Management enables the project team

to manage and preserve data/information/electronic files to derive maximum value from it

during a project.

The use and rules of the electronic repository are agreed within the project team regarding

the set-up, import, export, storage and retrieval of digital content within the repository.

5.1. Secure FTP site(s)

The Project Manager will arrange with Information and Communications Technology (ICT) to

provide a secure FTP site. The FTP site will contain a unique secure IP address to access

content both within the organisation and across the internet.

The FTP address, login details, password and specific FTP site activation instructions are

provided by the Project Manager to the appointed project team members. The Project

Manager may provide different project team members with different levels of access on the

FTP site(s).






5.2. Electronic databases

The resources appointed in §4 above are responsible for the administration, upload, revision,

sharing and back-up of data on the various sites and/or databases.

5.3. General user communication

Where needed, discussion can be enabled on electronic repository items via e-mail, voice

over internet protocol (VOIP), telephone, and the various project meetings. This will also

affect items that are placed/removed/changed on the FTP site. Any other communication on

the sites and/or databases must be via the Project Manager as required in the customer

contracts.

6. Monitoring

6.1. Monitoring

The electronic repository allows secure access for the NGG project team to project-specific

documentation and data that is governed by the customer confidentiality agreement. While

every effort has been made to make the electronic repository as user-friendly as possible,

some problems may be experienced and NGG project team members are encouraged to

contact the appointed responsible person or Project Manager in this regard.

The operation and security of the electronic repository will be monitored through self-

assessments by the Management Representative, Project Quality Officer and/or other

suitably qualified project team members, as required. Problems or improvements will be

reviewed during Management Review Meetings.


• The electronic repository is functional.

• The electronic repository provides a secure means of communicating accurate project

information to the project team.






7. Records

The electronic repository data/files are in a standard format that can be read by the users.

8. Development Team


• Marinda Havenga

• Annabel Graham

• Erna Hattingh

9. Attachments

None.






APPENDIX A CLASSIFICATION OF INTERNAL AUDITS






Process Title: Sub-contracted Internal Audits

Consequence of error

(if there is more than one consequence, more than one

classification is required)

Errors in the internal audit process will have no effect on nuclear safety as any errors will most probably be picked up by the external auditors.

Potential nuclear safety impact Justification for Judgement

High

Medium

Low An error in the internal audit process will have no measureable effect on nuclear safety in terms of increase of CDF/LERF and no release of radioactivity to the environment. Additional reviews by the external auditors provide additional defence or oversight.

Complexity of activity/process Justification for Judgement

High

Medium

Low Routine auditing

Opportunity for confirmation/verification

Justification for Judgement

Never/No

Sample/Occasional

Yes/Often Audits will be done on a regular basis.

Confirmation/Verification

Yes/often Sample/occasional Never/no

Complexity: Low Medium High Low Medium High Low Medium High

Pote

ntia

l Im

pact

High C C B B B A B A A

Medium D C C C C B B B A

Low D D D D D C D C C

Internal Audits was classified as a “D” activity using the Eskom document NSIP-01432. This

related to an NNR Level 4 supplier.

PROCEDURE FOR SAFETY AND SCEP TRAINING








AMENDMENT SHEET







Issue Date

1

2






to 2013-0010.

05-09-2011

29-03-2013






1 Scope

1.1 Purpose

This procedure provides a uniform method for identifying, performing, and

documenting the required Safety Culture Enhancement Programme (SCEP) training

of project team members. Training is required to ensure that project team members

achieve and maintain an appropriate level of safety awareness.

1.2 Applicability


2 REFERENCES

2.1 CGS References






















in projects


installations







hazard studies






activities





guidance for use











Appendix B: CGS/QA10/MN01 in CGS Report 2010-0168.


Project team members with responsibilities for implementing this procedure is:

• Project Manager

• Project Safety Officer

5 Procedure for SCEP training

5.1 Competence

Through fostering a safety conscious attitude and raising awareness on nuclear geo-

hazard related projects, Project Management will determine the training methods

required to achieve the project’s safety goals.

5.2 Training

The CGS project team members will receive safety, as well as SCEP-specific

training. The safety training programme and safety culture enhancement activities

may be linked to the customer’s schedule, where applicable. Training will be provided

in a number of different ways to ensure all project team members are included and

that they reach the level of awareness required for their purpose/activity in the

project.






5.2.1 SCEP Workshops

Workshops will be the main method of conducting SCEP training. Workshops for

project team members will be held at suitable venues as determined by the Project

Manager.

5.2.2 Reading Assignments

Reading assignments are used to communicate safety, health and environmental

information and promote awareness of safe work practices in project team members

that are not able to, for whatever reason, attend safety and SCEP training sessions

or where specific information becomes available that needs to reach the project team

before the next SCEP workshop.

5.2.3 Awareness Sessions

A session held, at appropriate intervals, to communicate or remind project team

members of safety, health and environmental issues pertaining to the work being

performed. Where the activity is being performed by a subcontractor or outsourced

supplier under the oversight of project team members, the supplier’s standard or

special operating procedures will apply and will be communicated to everyone on site

at appropriate intervals (e.g. “toolbox talk” given each morning). An attendance

register will be kept for each awareness session.

5.2.4 Briefing session

A briefing session is a meeting at which detailed information or instructions are given

to new project team members or project team members who did not attend previous

workshops/meetings in order to align themselves with the safety awareness of the

project. A briefing session may be on a one-to-one basis.






5.3 Monthly safety themes

Project Management will adopt applicable monthly “safety themes” from the customer

or develop their own project-related “safety themes”, as required. These safety

themes will be circulated by the Project Safety Officer on a monthly basis to all

project staff. Acknowledgment of receipt is by signing the monthly theme, and if

required, including any comments. Signed acknowledgments of receipt are returned

to the Project Safety Officer.

6 Monitoring

6.1 Monitoring

Safety issues may be identified during:

• Self-assessments by the Management Representative, Project Safety Manager,

Project Quality Manager and Project Quality Controller, as required by project

schedule and execution; and

• Weekly informal progress meetings with CGS project staff (chaired by Project

Manager).

Safety and SCEP training needs are assessed by the Project Safety Officer and any

need for training identified. Training will be provided by the Project Safety Officer or

other qualified persons. Project staff will attend and any feedback received that has

an impact on safe and timeous project completion or the safety of the product, will be

discussed during Management Review Meetings.


Safety training is provided to all project staff during the timeframe of the project, by

means of induction, training or reading assignments.






7 Records

• Attendance register of SCEP workshops.

• Attendance register for awareness sessions.

• Signed acknowledgments of receipt of monthly safety themes.

8 Development Team


• Erna Hattingh

• Annabel Graham


9 Attachments

None

PROCEDURE FOR REWARDS AND RECOGNITION FOR PROMOTING SAFETY






PROCEDURE FOR REWARDS AND RECOGNITION

FOR PROMOTING SAFETY


AMENDMENT SHEET







Issue Date

1

2






to 2013-0010.

05-09-2011

29-03-2013






1. Scope

1.1. Purpose

The purpose of this procedure is to recognise and reward project team members for

safety achievements. In this case, safety includes all aspects of the project planning,

execution and completion, as well as activities that will result in considerations that

influence the safety of nuclear geo-hazard projects.

Any person working on the project may nominate or be nominated for their

contribution to safety on the project. This document deals with the types and criteria

for recognition categories.

All project team members and relevant consultants are frequently reminded (e.g.

monthly “safety themes” and awareness sessions) that failures in the nuclear industry

can have serious consequences for themselves, their colleagues, the environment

and the public. Unsafe practices and deficiencies in systems and procedures will be

the subject of challenge by all project team members.

It must be noted that the rewards and recognition for promoting safety discussed in

this procedure do not include or directly influence internal CGS incentive strategies,

such as balance scorecards, CGS awards for excellence and performance bonuses.

1.2. Applicability







2. References

2.1. CGS References



















2.2. External References Normative Eskom Standard 39-60 Contract quality requirements



in projects


installations







hazard studies






activities





guidance for use













• Project Manager



5. Procedure for Rewards and Recognition for promoting safety

5.1. Guiding principles for developing and maintaining this recognition programme

• Recognition will be given for significant or outstanding safety performance and

will be tied to a specific accomplishment or achievement.

• The Recognition Programme will make provision for both pro-active and re-

active categories of recognition.

• Recognition will be given to both outputs and the behaviour of project team

members.

• The Recognition Programme may be used to drive certain focus areas as well

as certain behaviour.

• Recognition is most effective when it is meaningful to the individual and offered

timeously.

• Care will be taken with the communication and distribution of recognition

awards so that it is not viewed as entitlement.






5.2. Types of Recognition

5.2.1. Individual Safety Achievement

This award may be given to any project team member who made an outstanding

contribution to health and safety, protects the integrity of the product, or

demonstrates an awareness of the wider consequence that their actions may have

on the immediate environment and the integrity of the product (i.e. seismic hazard

assessment studies).

5.2.2. Safety Suggestion by an Individual

This award may be given with any of the following being taken into account:

• the value added to the project;

• the influence the suggestion had on the quality and integrity of any service

provided to the customer;

• the influence the suggestion had on existing standards or procedures;

• the impact on the prevention of injuries or environmental degradation, and

• how practical and easy the suggestion can be implemented.

5.2.3. Leadership in Safety

Project team members that demonstrate leadership in safety qualify to be nominated

in this category. The following areas will be taken into consideration:

• initiating or strengthening safety culture;

• using positive re-enforcement to foster a safety culture;

• affirmation of responsible behaviour;

• constantly addressing high-risk conditions and behaviour representing a risk to

the project;

• innovation in safety and environmental management, and






• exceptional commitment to safety and quality.

5.2.4. Safety, Health and Environmental category

An award may be given to a project team member who meets the following criteria:

• affirmation of responsible behaviour;

• constantly addressing high-risk conditions and behaviours representing a risk to

the project;

• innovation in safety and environmental management, and

• exceptional commitment to safety and quality.

5.3. Suggested recognition awards for individuals

Awards will be dispensed provided a worthy candidate is identified and nominated.

6. Monitoring

6.1. Monitoring

SCEP nominations (CGS/QA10/FM09 in CGS report 2013-0010) from the project

team will be received via email. Study Leaders may suggest or nominate persons

from their study team. The Project Safety Officer may also nominate project team

members on the basis of SCEP training attendance and interaction at workshops.

Nominations will be reviewed by the Project Manager, Technical Manager and the

Project Safety Officer. Project Management will then determine who earns a reward

during the execution of a project.

The awarding of rewards/recognition for promoting safety will be mentioned in

Management Review Meetings.







• Project team members are nominated for their contribution to health, safety and

environmental issues during the project timeframe.

• Awards will be presented to project team members that make contributions to

the safe execution of tasks during the project.

7. Records

• SCEP nomination forms (CGS/QA10/FM09 in CGS report 2013-0010).

• Awards and recognition register.

8. Development Team

• Erna Hattingh

• Johann Neveling


• Annabel Graham


9. Attachments

None

PROCEDURE FOR CORRESPONDENCE WITH THE CUSTOMER








AMENDMENT SHEET







Issue Date

1

2




Change the term client to customer. Updated

procedure’s content to align with the revised IMS

Manual. Change in report number from 2010-0168 to

2013-0010.

05-09-2011

29-03-2013






1. Scope

1.1. Purpose

This procedure describes the method to be followed in preparing and sending formal

correspondence to the customer.

1.2. Applicability

This procedure is applicable to all formal correspondence with the customer regarding the

project.

2. References

2.1. CGS References






















in projects


installations







hazard studies






activities





guidance for use











Refer to Appendix B: CGS/QA10/MN01 in CGS report 2013-0010.


Project Management Team with responsibilities for implementing this procedure is:



• Project Manager





• Project Planner

• Project Quality Controller

5. Procedure for Correspondence with the Customer

The Nuclear Geo-Hazards Group (NGG) classifies correspondence with the customer as

either informal or formal and can be described as follows:

• Informal correspondence refers to any communications that are sent to the customer

or their representative on an informal basis, where acknowledgment of receipt is not

required. Informal correspondence may escalate to formal correspondence, as

required.

• Formal correspondence refers to letters, on a CGS letterhead, that are sent to the

customer regarding matters relating to the contract and execution thereof. The Project

Manager or any other responsible person (§4 above) will write these letters and they

will be formally released to the customer and/or their representatives by the Project

Administrator. Each letter will have an acknowledgement of receipt form as well as a






Q1 form, that must be signed on receipt and the period of reply is usually 14 days, as

per NEC guidelines.

This procedure describes the process for formal communication between the customer and

the Project Manager.

A Project Administrator is appointed to implement the requirements of this procedure and to

retain records of the implementation thereof.

The signed contract with the customer for the project stipulates that the documents and

records resulting from project execution and service provision are to be written in South

African English, using the Sl system of measurements. Dates are to be expressed according

to the South African convention: dd/mm/yyyy.

5.1. Identification

Formal correspondence prepared by the Nuclear Geo-hazards Group (NGG) must have a

unique number, a date of issue, and be signed by the author.

Each letter is uniquely identified using the conventions described below:

The following list of abbreviations will make up the descriptor of the document which is

followed by an individual sequential number.

Document Abbreviation Numbering

Correspondence LTR TNSP-LTR-YEAR-0001

Acknowledgment of receipt AR TNSP-AR-YEAR-0001

Q1 Q1 TNSP-Q1-YEAR-0001

For example, correspondence numbered TNSP-LTR-2010-0057 denotes that this is a letter

relating to the NGG’s TNSP (Thyspunt Nuclear Siting Project) and it is the fifty-seventh (57th)

letter sent to the customer during this project.






If convenient, the Project Administrator may include a code after the TNSP-prefix to denote

the sub-project to which the document pertains (e.g. TNSP-SSHAC-LTR-YEAR-0001

denotes SSHAC Level 3; TNSP-GIA-LTR-YEAR-0001 denotes geological investigations).

All invoices, invoice schedules and reports submitted to the customer will be accompanied by

an acknowledgement of receipt form (CGS/QA10/FM05 in CGS report 2013-0010).

5.2. Release of correspondence to the customer

Prior to the release of correspondence to the customer, the Project Manager or any other

responsible person (§4 above) will:

• Prepare the letter on CGS letterhead and check that the addressee (who it is

addressed to), date, etc. are correct;

• Check that the letter has a title and that the relevant contract number is included.

Prior to the release of correspondence to the customer, the Project Administrator will:

• Assign a unique number and enter the details of the letter into the Document Control

List;

• Check that the letter is signed by the author and/or Project Manager, as applicable;

• Complete an “Acknowledgement of receipt form” for the correspondence


• Complete a “Q1 form” (CGS/QA10/FM07 in CGS report 2013-0010).

The Q1 form is a document required by the customer for the provision of data relating to the

project document for inclusion into the customer’s document control system.

Electronic versions of correspondence (with attachments, where applicable, and

acknowledgment of receipt forms) will be released to the customer via e-mail in PDF format,

unless otherwise instructed by the Project Manager.






Correspondence will be released to the customer through an agreed point of contact (e.g.

Principal Clerk, Data Management, Nuclear Sites) within the customer organisation and the

letter will be copied to the Project Manager.

5.3. Acknowledgement of receipt and delinquency notices (CGS/QA10/FM04)

If the signed acknowledgment of receipt form for the correspondence is not received within

14 days (as per NEC guidelines), a delinquency notification will be sent out via e-mail. After a

further 7 days, the Project Manager will be notified that receipt has not been acknowledged.

If the Project Administrator does not receive a response within 21 days, the correspondence

will be considered uncontrolled and the Project Manager will notify the customer.

5.4. File Classification System

All project-related documentation released to the customer will be listed in a File

Classification System.

5.5. Correspondence action tracking list

All correspondence released to and received from the customer will be entered into the

relevant action tracking list (e.g. letters, early warnings, compensation events, etc.) within the

File Classification System. If the correspondence contains reference to an estimate, quote or

compensation event, the Rand (ZAR) value is recorded next to the letter reference on the

action tracking list.

Correspondence action tracking lists may be discussed at project and/or Management

Review Meetings.

5.6. Archiving

The Project Administrator will monitor and archive all correspondence. The Project

Administrator will capture the relevant information describing the documents in the File

Classification System and keep an electronic or hardcopy version of the document in a






designated safe location, along with the completed and signed “Acknowledgment of receipt”

and “Q1” forms.

Retention times for records are established in the signed contract as five (5) years from the

last day of the contract. Statutory requirements that may be applicable to the CGS for

archiving or disposal of records will be taken into consideration at this point by the Project

Manager and Project Quality Officer.

5.7. Access to document storage

All relevant project documents are kept by the responsible project member (§4 above) in a

designated safe location.

Unless otherwise specified through formal nomination and communication, the Project

Administrator will keep all project documents in a locked filing cabinet, safe or storage facility

with controlled access. Keys are to be kept by the designated person and, in case of

emergency only, by one other person working on the project that is aware of the document

retrieval protocol and contractual obligations; and has signed the relevant confidentiality

forms.

Only the approved project team can obtain access to the documents or records through the

Project Administrator. Protocols for access control will be developed by the Project

Administrator and access will be strictly controlled and supervised. No documents will be

issued to or retrieved by any person that has not signed a customer confidentiality form. A

register will be maintained to control the retrieval of reports.






5.8. Disposal of Documents

The disposal of superseded or obsolete documents will be controlled to ensure that

they are not used to perform work unintentionally. The ultimate destruction of

superseded or obsolete documents will be performed by the Project Quality Officer

upon written request from the Project Manager once customer approval has been

granted.

6. Monitoring

6.1. Monitoring

Monitoring of the administrative aspects of this procedure will be achieved by self-

assessments by the Management Representative, Project Quality Officer and Project Quality

Controller, as required by project schedule and execution. Input into self-assessments may

include:

• Completed (and signed) control forms (e.g. acknowledgement of receipt, etc.);

• Delinquency notices when receipt is not acknowledged; and

• User complaints/compliments received by the Project Manager.

Items of concern with respect to correspondence with the customer will be discussed during



• Correspondence with the customer is in line with contractual requirements.

• Acknowledgment of receipt for correspondence with the customer is retrievable within

the audit or review timeframe.






7. Records

The Project Administrator will keep copies of all formal correspondence released during the

project.

Records that are created as results of this procedure are retained by the Project

Administrator as proof of an effective document control system within the project as per the

procedure for “Control of records” (CGS/QA10/PR02 in CGS report 2013-0010).

Receipt of correspondence by the customer should be acknowledged on an “Acknowledgment of receipt” form (CGS/QA10/FM05 in CGS report 2013-0010). Signed

forms are retained as records by the Project Administrator.

8. Development Team


• Annabel Graham

• Erna Hattingh


• Chameney Engelbrecht

9. Attachments

None

PROCEDURE FOR THE CONTROL OF REPORTS








AMENDMENT SHEET







Issue Date

1

2







number from 2010-0168 to 2013-0010 to separate the

IMS manual core IMS procedures. Ensure the use of

correct references to documents and project structure

roles.

05-09-2011

29-03-2013






1. Scope

1.1. Purpose

This procedure describes the methodology used in the Nuclear Geo-Hazards Group

(NGG) to be followed in preparing and releasing project-related reports to the

customer.

This procedure provides the methods to ensure that:

• reports are compiled using the NGG report template;

• reports are reviewed for adequacy and completeness, considering relevant

requirements;

• reports and all subsequent revisions thereof are approved and authorised prior

to issue;

• reports are readily identifiable and that the current revision status of the report

is stated;

• the unintended use of revised or obsolete documents is prevented, and these

reports are suitably identified to prevent unintentional use.

1.2. Applicability

This procedure is applicable to all reports generated by the NGG.

2. References

2.1. CGS References











in projects


installations







hazard studies






activities





guidance for use













Project team member with responsibilities for implementing this procedure are:

• Report Compiler;

• Project Manager;

• Technical Manager;

• Management Representative;

• Project Executive;

• Project Administrator;

• Project Quality Officer, and/or


4.1. Document Approval

Adequacy and suitability of reports is assured through a process of approval and

authorisation by the Management Representative and the Project Executive as

indicated on the document approval sheet (CGS/QA10/FM03 in CGS Report 2013-

0010).

To retain the integrity of the document approval sheet, a declaration of authorship by

each author/co-author must be included in the report (e.g. multiple international

authors).






DECLARATION OF AUTHORSHIP

I, (initials and surname), the undersigned hereby declare that I am the author/co-

author/reviewer (select applicable) of the following report:

Title: (report title)

Authors: (list all authors)

CGS Report Number: (e.g. 2010-0168)

Revision: (e.g. 0,1,2,etc.)

Release date: (dd/mm/yyyy)

_________________ ______________

Signature Date

Subsequent revisions to reports will be recorded on the amendment sheet

(CGS/QA10/FM06 in CGS Report 2013-0010).

5. Procedure for the control of reports

A Project Administrator will be appointed to implement the requirements of this

procedure and to retain records of the implementation thereof.

The signed contract with the customer for the project stipulates that the documents

and records resulting from project execution and service provision are to be written in

South African English, using the Sl system of measurements. Dates are to be

expressed according to the South African convention: dd/mm/yyyy.

5.1. Review of reports

Technical reports will be reviewed for suitability, adequacy and completeness

according to the procedure for “Independent Technical Review” (CGS/QA10/PR07 in







Comments resulting from an independent technical review may be classified as

follows:

• Editorial - a comment which addresses formatting, numbering, typographical or

grammatical errors which do not adversely impact the integrity of the document.

• Optional – a comment, which in the opinion of the external reviewer would

provide clarification and/or amplification to the document which does not

significantly impact the integrity of the report.

• Mandatory – a comment which identifies a deficiency with the document which

may have, or has, adversely impacted the integrity of the document.

A major change is defined as a change which impacts the integrity of the report, but

does not include corrections of grammar or spelling, re-numbering sections or

attachments which do not affect the chronological sequence of work, changing the

title or number of the document, and, updating organisational titles.

5.2. Editorial corrections

Editorial corrections may be made to documents without being subject to review

requirements, but such corrections will be approved and distributed as a revision to

the document.

The following items are considered editorial corrections:

• correction of grammar or spelling;

• renumbering sections or attachments which do not affect the chronological

sequence of work;

• changing the title or number of the document,; and

• updating reference list.






Note: A change in an organisational title accompanied by a change in responsibilities

is not considered an editorial correction.

If a report only requires minimal revision, then the relevant pages can be issued as

an addendum to the report, with the information on the changes indicated in the

report schedule. No hand-written changes are allowed in a report. This excludes

editing which should be used in a later revision of the report. In this case the later

revision should indicate the nature of the revision in the report schedule.

5.3. Identification

Official reports prepared by the NGG will have a unique number, a date of issue

and/or a revision number, page numbers, as well as a list of its compilers. Each

document is uniquely identified using the conventions described below.

All reports must receive a unique number consisting of the year and four digits (e.g.

2010-0001) as identification. This number is issued by the CGS’s Library and

Information Centre and refers to the year of release/publication and individual,

sequential reports numbers. This convention only applies to reports (e.g. manuals,

milestone deliverables, etc.).

For example, report 2010-0001 is the first report released/published in 2010.

5.4. Approval

Once a report has been compiled and/or revised, it is allocated a revision status of

“Rev. 0, 1, 2 etc.”. This signifies that the report is regarded as an official document for

implementation by the project team members and is approved and authorised.

Adequacy and suitability of a senior technical or scientific report is assured through

the process of acceptance, approval and authorisation by the Project Manager,






Management Representative and the Project Executive, as indicated on the

“Document Approval Sheet” (CGS/QA10/FM03 in CGS report 2013-0010).

Subsequent revisions will be recorded on the “Amendment sheet” (CGS/QA10/FM06

in CGS report 2013-0010). Previous revisions of a report will be identified as

“superseded”.

To retain the integrity of the “Document Approval Sheet”, a declaration of authorship

by each author/co-author must be included in the report (e.g. multiple international

authors).

Each page of the approved report must have “Controlled Copy” printed in red in the

bottom left corner for hard copies. Electronic versions will have a disclaimer clause.

5.5. Activities prior to the release of reports

Prior to the release of the reports, the Project Administrator will:

• Check that the report has a title and a unique, identifying number;

• Enter the details of the report into the Document Control List;

• Check that the report has been signed off by the relevant signatories on the

approval sheet (CGS/QA10/FM03 in CGS report 2013-0010);

• Check that a MS-Office (e.g. MS-Word, MS-Excel) and graphics not contained

in the report but referred to (e.g. *.jpg, *.pdf, etc.) as well as the PDF version of

the report is copied onto a CD/DVD and is inserted in the back of each report.

• Complete an “Acknowledgement of receipt form” for the report

(CGS/QA10/FM04 in CGS report 2013-0010) for hardcopy releases to the

customer.

• Obtain a distribution list for the report from the Project Manager.

Prior to distribution of approved and authorised hard copies of reports, the Project

Administrator will indicate the copy number on the approval sheet.






Note: Reports on which the above information is not complete will be considered

uncontrolled and may contain out-of-date information. It must be assumed that the

page has been superseded and a controlled copy must be obtained from the Project

Administrator for verification of correctness.

5.6. Release of reports

Reports (electronic versions and hard copies) are released in a controlled manner to

the project team and the customer as per the Project Manager’s distribution list.

The Project Manager will maintain reports in both hard copy and electronic format.

A copy of all project reports will be lodged with the CGS Library and Information

Centre in electronic copy format, along with required information about the report.

5.6.1. Electronic releases

Electronic versions (with a disclaimer clause) of reports are released to the project

team via the use of a secure FTP site by the Project Manager. When reports are

released the Project Manager will notify the appropriate project team members via

email with the necessary instructions.

Electronic versions (with a disclaimer clause) are also released to the customer.

Concerns, queries and comments about electronic versions of documents on the

secure FTP site should be referred to the Project Manager.






5.6.2. Controlled hard copies

All hard copies of the reports will be accompanied by a document approval sheet

(CGS/QA10/FM03 in CGS report 2013-0010), indicating the unique report number,

title, date of release, revision status, approval and authorisation.

A controlled hard copy of reports will be released to the customer through an agreed

point of contact (e.g. Principal Clerk, Data Management, Nuclear Sites).

These reports will for example be accompanied by an acknowledgment of receipt

form as well as a completed Q1 form. If the signed acknowledgment of receipt form

for the report, is not received within 30 days, a delinquency notification will be sent to

the customer via e-mail. After a further 15 days, the Project Manager will be notified

that receipt has not been acknowledged by the Project Administrator. In such case

the Project Manager will follow-up with the customer.

A hard copy of each report will be maintained by the NGG.

5.7. Provisional data

Where a requirement for provisional data exists Project Management will provide

other customer consultants with such data, which will be clearly identified as

provisional data. If such data is derived from sources outside the NGG it may not be

incorporated into a final, official report.

5.8. Report revision control

Requests for changes to the reports are sent to the Project Manager. Changes made

to the reports must be re-approved by the Management Representative and recorded

on the relevant amendment sheet (CGS/QA10/FM06 in CGS report 2013-0010).






Adequacy and suitability of a senior technical or scientific report is assured through

the process of re-acceptance, re-approval and re-authorisation by the Project

Manager, Management Representative and the Project Executive, as indicated on

the “Document Approval Sheet” (CGS/QA10/FM03 in CGS report 2013-0010). This

includes the revision number and release date.

The standard CGS report number (e.g. 2013-0010) will remain unchanged. Only the

revision number and release date, stated in the header, will be updated.

Superseded versions of reports are removed from the electronic repository to prevent

unintended use. Electronic versions of the reports may only be replaced or removed

by the Project Quality Officer upon request from the Project Manager. Superseded

versions of the reports are removed from the electronic repository into an archive to

prevent unintended use. These reports are kept in an archive for reference purposes

only.

5.9. Archiving

The Project Administrator, Project Quality Officer and Project Quality Controller will

archive all reports along with the completed and signed “Acknowledgment of receipt”

forms.

The document approval sheet indicating approval and authorisation will be kept

attached to the report.

Retention periods for records are established in the signed contract as five (5) years

from the last day of the contract. Statutory requirements that may be applicable to the

CGS for archiving or disposal of records will be taken into consideration at this point

by the Project Manager and Project Quality Officer.






In addition, the Project Administrator will include all reports in a File Classification

System.

5.10. Access to document storage

All NGG reports are managed by the Project Administrator, Project Quality Officer

and Project Quality Controller.

Unless otherwise specified through formal nomination and communication, the

Project Administrator will keep all project reports in a designated filing cabinet, safe

or storage facility with controlled access. Keys are to be kept by the Project

Administrator and, in case of emergency only, by the Project Quality Officer.

Only the approved project team can obtain access to the reports through the Project

Administrator. Protocols for access control will be developed by the Project

Administrator and access will be strictly controlled and supervised. No reports will be

issued to or retrieved by any person that has not signed a customer confidentiality

form. A register will be maintained to control the retrieval of reports.

5.11. Access to the electronic repository

Only the project team can obtain access to the electronic repository. Access and

permissions for access to data and documents on the electronic repository will be

controlled by the use of a username and password.

No records or documents may be issued to or retrieved by any person that has not

signed a customer confidentiality form.

When a project team member leaves the project, his/her account will immediately be

destroyed by Information and Communications Technology (ICT) Unit. It is incumbent

upon the Project Manager to ensure that ICT actions this promptly. The Project






Manager will decide on the need to change usernames and/or passwords for the

electronic repository.

5.12. Disposal of reports





granted.

6. Monitoring

6.1. Monitoring

Monitoring of the technical content of reports will be primarily be by independent

technical review prior to release of deliverable reports to the customer. The results of

independent technical review and the integration of review comments will be

monitored. Where conflict develops, or the correction of the deliverable will incur

increased cost or impact on project timelines, these reviews will be discussed at


Monitoring of the administrative aspects of this procedure will be achieved self-

assessments by the Management Representative, Project Quality Officer and Project

Quality Controller, as required by project schedule and execution. Input into self-

assessments may include:

• Completed (and signed) control forms (e.g. acknowledgement of receipt, etc.);








Items of concern with respect to reports will be discussed during Management

Review Meetings.


• Technical reports are approved once they have been assessed/reviewed by

means of technical review for suitability, adequacy, completeness and

relevance.

• Reports and acknowledgment of receipt will be retrievable within the audit or

review timeframe.

• Acknowledgment of receipt for correspondence with the customer is retrievable

within the audit or review timeframe.

7. Records

The Project Administrator will keep copies of all documents released during the

project.

Records that are created as a result of this procedure are retained as proof of an

effective document control system within the project and are controlled as per the

procedure for “Control of records” (CGS/QA10/PR02 in CGS report 2013-0010).

These records include:

7.1. Document approval sheet

All reports will be accompanied by a document approval sheet indicating: the report

number; the author(s); the title of the report; the revision status of the report; the

release date; and the signatures indicating of approval and authorisation

(CGS//QA10/FM03 in CGS report 2013-0010).






7.2. Amendment sheet

All reports will be accompanied by an amendment sheet containing the reference to

the original report, the revision number of the report and the amendment sheet, the

release date, nature of changes and a signature of approval from the officer

responsible for the approving the revisions (CGS/QA10/FM07 in CGS report 2013-

0010).

7.3. Acknowledgment of receipt

Receipt of reports should be acknowledged on an “Acknowledgment of receipt” form.

The distribution list is included on the appropriate acknowledgement of receipt form.

This form also records the distribution of reports.

8. Development Team


• Erna Hattingh

• Annabel Graham

9. Attachments

None

PROCEDURE FOR IMS DOCUMENT CONTROL








AMENDMENT SHEET





authorised database version CGS/QA10/PR14-1


Issue Date

1

2







number from 2010-0168 to 2013-0010 to separate the

IMS manual core IMS procedures. Ensure the use of

correct references to documents and project structure

roles.

05-09-2011

29-03-2013






1 Scope

1.1 Purpose

This procedure outlines the requirements to be adhered to for IMS document control

within the Nuclear Geo-Hazards Group (NGG). It provides the rules for production,

distribution and control of IMS documents to ensure that all documents in use are

current and available at the work location.

This procedure provides the methods to ensure that:

• IMS documents are reviewed for adequacy and completeness, considering

relevant requirements;

• IMS documents are reviewed, updated and all subsequent revisions are

approved prior to issue according to this procedure, as necessary;

• IMS documents are readily identifiable and that the current revision status of the

IMS document is stated;

• only relevant revisions of applicable IMS documents are available at points of

use;

• documents of external origin determined by the NGG to be necessary for the

planning and operation of the IMS are identified and their distribution controlled;

and

• the unintended use of revised or obsolete IMS documents is prevented, and

these documents are suitably identified to prevent unintentional use.

1.2 Applicability

This procedure is applicable to the control and distribution of IMS documents at all

levels within the project, and is applicable to the Project Management Team.






2 References

2.1 CGS References























in projects


installations







hazard studies






activities





guidance for use













Staff with responsibilities for implementing this procedure is:



• Project Manager



• Project Planner




A Project Administrator, Project Quality Officer and Project Quality Controller will be

appointed to implement the requirements of this procedure and to retain records on

the implementation thereof.

5 Procedure for IMS document control

The procedure/methodology for the Nuclear Geo-Hazards Group IMS document

control is shown in Figure 1. The procedure describes the process from when the

Project Executive and/or Project Manager identify and appoint a resource to develop

the IMS document until the document is obsolete and disposed in a responsible

manner.






Project Executive and Project Manager

Identify and appoint a compiler for a IMS document

Compiler

Compile the IMS document and obtain comments from the

PMT.

Project Manager

Review the IMS document for operational effectiveness and

efficiency.

Management Representative and Project Executive

Approve/re-approve and authorise/re-authorise the IMS document for adequacy and suitability prior to

implementation

Project Manager

The PM nominate resources and release the

IMS documents to the Project Team and the

Customer.

* IMS document Hierarchy.* IMS document structure / layout.* Dual numbering of IMS elements.* IMS revision control.

* Activities prior to the release of IMS

documents* Release of IMS

documents

Project Quality Officer

Dispose superseded or obsolete documents

Project Team member

Receive released IMS document at the point of

use. (Electronic Repository)

Project Manager

Request for change to an IMS element and / or IMS

document

Revise ?

Yes

Project Manager

Communicate to requestor why the document will not

be revised.

Project Manager

The PM nominate a resource an archive IMS

document.

Figure 1: The NGG IMS document control methodology






5.1 IMS document description

5.1.1 Elements in the IMS hierarchy of documents

The IMS follows the multilevel concept as described in the NNR requirement

document RD-0034 §6.1, i.e. a hierarchy of documents ranging from policies to

working procedures, that includes both a QMS, and a SMS, including safety culture

aspects (RD-0034 §7 requirements 1, 2, 7 and 12). The document hierarchy of the

project IMS is represented in Figure 2.

Figure 2: The IMS document hierarchy

Elements of the IMS documentation will be numbered according to the following

convention. Each element (e.g. process, procedure, form, work instruction, etc.) must






indicate the title and a unique reference of the element, a revision number and issue

date. Each element must be preceded by an amendment sheet.

For all IMS elements the following list of abbreviations will make up the first letter of

the number of the document:

Document Abbreviation

Manual MN

Process PS

Procedure PR

Work instruction WI

Check lists CL

Forms FM

Guidelines GL

Templates TE

Table 1: Abbreviations for document types

The second part of the above-mentioned system contains information the year of

release (e.g. QA10) and the third describes the type of document (e.g. Manual MN,

procedure PR) and the number of the document.

For example, the identifier for this procedure is CGS/QA10/PR01. This denotes that

this is a project document that was developed for quality assurance in 2010 and is

the first procedure created. Likewise CGS/QA10/PS02 refers to the second QA

process developed by the CGS in 2010.

Each individual element has a unique identifier as these documents are able to stand

alone at the point of use for specific activities.






Likewise the amendment sheet (CGS/QA10/FM06 in CGS report 2013-0010) for

each element will indicate the revision status (Example: rev 0) of the attached

element, the changes that have been made and the Management Representative’s

signature indicating approval of the revision of that element.

5.1.2 IMS document structure/lay-out

The Project Executive or Project Manager will identify suitable compilers for IMS

documentation. The appointed compilers will use the following structure (lay-out):

Number Title/section

1 Scope

1.1 Purpose

1.2 Applicability

2 References

2.1 CGS references

2.2 External references

3 Definitions and abbreviations

3.1 Definitions

3.2 Abbreviations

4 Roles and responsibilities

5 Instruction / methodology

6 Monitoring

6.1 Monitoring


7 Records

8 Development team

9 Attachments

Table 2: IMS document structure/lay-out






The structure (lay-out) above is used in the following documents:

• “IMS manual” (Example: CGS report 2010-0168);

• “Core IMS Procedures, Work instructions, Forms” (Example: CGS report 2013-

0010);

• “Project Quality Plan” (Example: CGS report 2010-0170);

• “Processes, Classification and Technical Procedures” (Example: CGS report

2010-0171);

• “Terms of Reference Management Review Committee” (CGS report 2013-0011);

and

• “Project Execution Plans” (Example: CGS reports 2010-0173 and 0174).

The signed contract with the customer stipulates that the documents and records

resulting from project execution and service provision are to be written in South

African English, using the Sl system of measurements. Dates are to be expressed

according to the South African convention: dd/mm/yyyy.

5.1.3 IMS manual and/or suites of documents

An IMS manual and/or a suite of documents consisting of several inter-related quality

and safety documents or processes are compiled and given a unique CGS report

number.

The unique CGS report number consists of the year and four digits (e.g. 2010-0001)

as identification. This number is issued by the CGS Information and Collections

Management and refers to the year of release/publication and individual, sequential

reports numbers.






For example, report 2010-0001 is the first report released/published in 2010.

Similarly, this procedure is part of the “Core IMS Procedures, Forms, Work

Instructions and Checklists” (CGS report 2013-0010).

5.1.4 Dual numbering of IMS elements

Each element will have its own unique number to identify the document at the point

of use that is assigned according to a pre-defined convention (e.g.

CGS/QA10/PR01).

However, these elements may also be compiled into reports or suites of documents

with their own unique number (according to a different pre-defined convention, e.g.

2010-0001 as described above) in order to facilitate review and distribution.

The header of all IMS elements will indicate not only their unique identifier, but also a

reference to the manual or suite of documents of which they are part of. See example

below:


REV NO. 2



ISSUE DATE: 29 March 2013

5.1.5 Documents of external origin

Documents of external origin determined by Project Management Team to be

necessary for the operation of the NGG are identified (RD-0034 §7.3.1 requirement

19). These consist of quality, safety and other requirement and regulatory

documents, as well as applicable guides and codes. Details pertaining to documents

of external origin, such as identification, classification storage, custodian and






retrieval, are listed in the “List of external documents” (example: TNSP-DEO-11-

0001) and their distribution controlled. The signed contract is considered necessary

for the planning and operation of the IMS, and while it defines which documents

should be taken into account on a contractual basis, other requirement documents

are also included. The signed customer contract(s) is managed under the file

classification system of the Project Administrator.

5.2 Approval and Authorisation

Once an element and/or a document (example CGS/QA10/PR14 in CGS report

2013-0010) has been compiled and/or revised, it is allocated a revision status of

“Rev. 0, 1, 2 etc.”. This signifies that the element or document is regarded as an

official document for implementation by the project team members for pilot testing

before the overall report is approved and authorised. Previous revisions of an IMS

element and/or document will be identified as “superseded”.

Adequacy and suitability of IMS documents is assured through the process of

approval and authorisation by the Management Representative and the Project

Executive, as indicated on the “Document Approval sheet” (CGS/QA10/FM03 in CGS

report 2013-0010). Subsequent revisions will be recorded on the “Amendment sheet”


Each page of the approved IMS must have “Controlled Copy” printed in red in the

bottom left corner for hard copies. Electronic versions will have a disclaimer clause.

5.3 Activities prior to the release of IMS documentation

Prior to the release of the IMS manual or elements, the Project Administrator will:

• Check that the IMS element or document has a title and a unique, identifying

number;






• Enter the details of the IMS element or document into the Document Control

List;

• Check that the IMS element or document has been signed off by the relevant

signatories on the document approval sheet (CGS/QA10/FM03 in CGS report

2013-0010);

• Check that a MS Word and PDF version of the document is copied onto a CD

and is inserted in the back of each document.

• Complete an “Acknowledgement of receipt form” for the IMS element or

document (CGS/QA10/FM04 in CGS report 2013-0010) for hardcopy releases

to the customer.

• Obtain a distribution list for the IMS element or document from the Project

Manager.

Prior to distribution of approved and authorised hard copies of IMS documents, the

Project Administrator will indicate the copy number on the document approval sheet.

Note: Documents on which the above information is not complete will be considered

uncontrolled and may contain out-of-date information. It must be assumed that the

page has been superseded and a controlled copy must be obtained from the Project

Administrator for verification of correctness.

5.4 Release of IMS documentation

IMS documentation (electronic versions and hard copies) is released in a controlled

manner to the project team and the customer as per the Project Manager’s

distribution list.

The Project Administrator, Project Quality Controller and Project Quality Officer will

maintain IMS elements of reports in both hard copy and electronic format.






5.4.1 Electronic releases

Electronic versions (with a disclaimer clause) of IMS documents are released to the

project team via the use of a secure FTP site by the Project Administrator, unless

otherwise instructed by the Project Manager. When IMS documents are released the

Project Manager will notify the appropriate project team members via email with the

necessary instructions.

Electronic versions (with a disclaimer clause) are also released to the customer.

Concerns, queries and comments about electronic versions of documents on the

secure FTP site should be referred to the Project Manager.

5.4.2 Controlled hard copies

All hard copies of the IMS manual and supporting documents will be accompanied by

a document approval sheet (CGS/QA10/FM03 in CGS report 2013-0010), indicating

the unique IMS elements and manual/report number, title, date of release, revision

status, approval and authorisation.

A controlled hard copy of IMS reports will be released to the customer through an

agreed point of contact (e.g. Principal Clerk, Data Management, Nuclear Sites).

These documents will for example be accompanied by an acknowledgment of receipt

form as well as a completed Q1 form. If the signed acknowledgment of receipt form

for the IMS manual, or supporting documents, is not received within 30 days, a

delinquency notification will be sent to the customer via e-mail. After a further 15

days, the Project Manager will be notified that receipt has not been acknowledged by

the Project Administrator. In such case the Project Manager will follow-up with the

customer.






A hard copy of each IMS report will be maintained by the NGG.

5.5 IMS document revision control

Requests for changes to the IMS elements and/or documents are sent to the Project

Manager. The proposed change will be discussed at the next Management Review

Meetings (MRM) and once the approval of the Management Representative and the

Project Executive is obtained, the instruction to revise the IMS document will be

noted in the minutes of the MRM.

Urgent requests for changes to IMS documents may be dealt with by the Project

Manager, Management Representative and the Project Executive and a written

instruction will be issued to a suitable compiler to revise the IMS document.

Changes made to the IMS elements (e.g. procedures) must be re-approved by the

Management Representative and recorded on the relevant amendment sheet


Changes made to the IMS manual or supporting documents (e.g. PEP) must be re-

approved and re-authorised by the Management Representative and Project

Executive and recorded on the document approval sheet (CGS/QA10/FM03 in CGS

report 2013-0010). This includes the revision number and release date.

The standard element number (e.g. CGS/QA10/PR14) and the CGS report number

(e.g. 2013-0010) will remain unchanged. Only the revision number and release date,

stated in the header, will be updated.

Superseded versions of IMS elements (e.g. individual procedures), manuals (IMS

manual) and/or supporting documents (e.g. PQP) are removed from the electronic






repository to prevent unintended use. Electronic versions of the IMS documents may

only be replaced or removed by the Project Quality Officer upon request from the

Project Manager. Superseded versions of the IMS documents are removed from the

electronic repository into an archive to prevent unintended use. These documents are

kept in an archive for reference purposes only.

5.6 Archiving

The Project Administrator, Project Quality Officer and Project Quality Controller will

archive all IMS elements and/or documents along with the completed and signed

“Acknowledgment of receipt” forms.

For IMS elements that have been compiled into a manual or suite of documents, the

signed document approval sheet indicating approval and authorisation will be kept

attached to the manual/document suite.

Retention periods for records are established in the signed contract as five (5) years

from the last day of the contract. Statutory requirements that may be applicable to the

CGS for archiving or disposal of records will be taken into consideration at this point

by the Project Manager and Project Quality Officer.

In addition, the Project Quality Officer will include all IMS documents in a master list

of documents that captures the relevant information describing the IMS element(s)

and/or documents.

5.7 Access to document storage

All NGG documents are managed by the Project Administrator, Project Quality

Officer and Project Quality Controller.






Unless otherwise specified through formal nomination and communication, the

Project Administrator will keep all project documents in a designated filing cabinet,

safe or storage facility with controlled access. Keys are to be kept by the Project

Administrator and, in case of emergency only, by the Project Quality Officer.

Only the approved project team can obtain access to the documents or records

through the Project Administrator. Protocols for access control will be developed by

the Project Administrator and access will be strictly controlled and supervised. No

documents will be issued to or retrieved by any person that has not signed a

customer confidentiality form. A register will be maintained to control the retrieval of

reports.

5.8 Access to the electronic repository

Only the project team can obtain access to the electronic repository. Access and

permissions for access to data and documents on the electronic repository will be

controlled by the use of a username and password.

No records or documents may be issued to or retrieved by any person that has not

signed a customer confidentiality form.

When a project team member leaves the project, his/her account will immediately be

destroyed by Information and Communications Technology (ICT) Unit. It is incumbent

upon the Project Manager to ensure that ICT actions this promptly. The Project

Manager will decide on the need to change usernames and/or passwords for the

electronic repository.

5.9 Disposal of Documents










granted.

6 Monitoring

6.1 Monitoring

Monitoring of the administrative aspects of this procedure will be achieved by self-

assessments by the Management Representative, Project Quality Officer and Project

Quality Controller, as required by project schedule and execution. Input into self-

assessments may include:

• Completed (and signed) forms (e.g. acknowledgement of receipt, etc.);



Internal audits will be used to crosscheck the effectiveness of the implemented

procedure.

Items of concern will be discussed during the MRM.


IMS documents are complete, appropriate and approved, as assessed by means of

self-assessments and audits.

7 Records

The Project Administrator will keep copies of all documents released by the NGG.






Records that are created as a result of this procedure are retained as proof of an

effective document control system within the NGG and controlled as per the

procedure for “Control of records” (CGS/QA10/PR02 in CGS Report 2013-0010).

These records include with each IMS document an amendment sheet and

acknowledgement of receipt.

7.1 Amendment sheet

All reports will be accompanied by an amendment sheet containing the reference to

the original report, the revision number of the report and the amendment sheet, the

release date, nature of changes and a signature of approval from the officer

responsible for the approving the revisions (CGS/QA10/FM07 in CGS report 2013-

0010).

7.2 Acknowledgment of receipt

Receipt of reports should be acknowledged on an “Acknowledgment of receipt” form.

The distribution list is included on the appropriate acknowledgement of receipt form.

This form also records the distribution of reports.

8 Development Team


• Erna Hattingh

• Annabel Graham


9 Attachments

None





APPENDIX B: CORE IMS WORK INSTRUCTIONS

WORK INSTRUCTION FOR CHECKING OF STORED DIGITAL DATA

Rev. 1 REFERENCE: CGS/QA10/WI02


ISSUE DATE: 05 September 2011

SAMPLE CGS/QA10/WI02-1


1



05-09-2011






This section to be completed by the Designated Officer during all inspections: SECTION A: STATUS OF THE RECORD CONTAINERS Date: …………………………………………… Responsible Officer: …………………………………..

Container (Number)

Sealed Comments Date

Yes No

If the seals are broken the table below must be completed:

Container (Number)

Contents Verified Signature Date

Yes No

Internal Audit Function witnessed the inspection: Date……………… Signature: ……………………. Non-conformance recorded: Yes No If YES, provide details in GEOSC/QA07/WI001.






This section to be completed by the Designated Officer charged with data verification during the three-year or ad-hoc data format inspection: SECTION B: DIGITAL DATA FORMAT VERIFICATION Date: ………………………………………… Responsible Officer: ……………………………..……. Type of verification (Tick): 3 Yearly Ad-hoc: Please complete the following section for an unscheduled check: Reason for verification: ____________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ Media Replacement: ______________________________________________________________ Data Format Change: _____________________________________________________________ MEDIA TYPES CHECKED AND FOUND USABLE: DVD-ROM/CD-ROM: Other (Specify): _________________________ DATA FORMATS CHECKED AND FOUND USABLE:

MS Excell (*.xls) : Disk Inspected Identification: ___________________ MS Word (*.doc) : Disk Inspected Identification: ___________________ SEISAN Waveform : Disk Inspected Identification: ___________________ ArcView Project (*.apr) : Disk Inspected Identification: ___________________ ArcView Shape (*.shp) : Disk Inspected Identification: ___________________ Acrobat (*.pdf) : Disk Inspected Identification: ___________________ Image (*.tif, *.jpg/*.jpeg, *.bmp, *.gif) : Disk Inspected Identification: ___________________ Text (*.txt, *.out, *.in, *.dat) : Disk Inspected Identification: ___________________ Matlab (*.m) : Disk Inspected Identification: ___________________ Executable (*.exe) : Disk Inspected Identification: ___________________ Fortran (*.for) : Disk Inspected Identification: ___________________

MEDIA REQUIRING CHANGE: DVD-ROM/CD-ROM: Other (Specify): _________________________






Specify unique media identifier(s): DVD-ROM/CD-ROM: Other (Specify): _________________________ New media: (Note that in the case of data formats, if changes need to be made there will be too many files to list individually, thus only list the common data type file extension that needs to be changed)

MS Excel (*.xls) : MS Word (*.doc) : SEISAN Waveform : ArcView Project (*.apr) : ArcView Shape (*.shp) : Acrobat (*.pdf) : Image (*.tif, *.jpg/*.jpeg, *.bmp, *.gif) : Text (*.txt, *.out, *.in, *.dat) : Matlab (*.m) : Executable (*.exe) : Fortran (*.for) :

New format(s):

MS Excel (*.xls) : MS Word (*.doc) : SEISAN Waveform : ArcView Project (*.apr) : ArcView Shape (*.shp) : Acrobat (*.pdf) : Image (*.tif, *.jpg/*.jpeg, *.bmp, *.gif) : Text (*.txt, *.out, *.in, *.dat) : Matlab (*.m) : Executable (*.exe) : Fortran (*.for) :

All data format and media changes made successfully: Yes No

Old Disk Identification New Disk Identification

Comments: ___________________________________________________________ SIGNATURE:______________________ DATE:__________________





APPENDIX C: CORE IMS FORMS

CUSTOMER CONFIDENTIALITY AGREEMENT

Rev. 0 REFERENCE: CGS/QA10/FM01


ISSUE DATE: 30 November 2010

SAMPLE CGS/QA10/FM01-1

INTEGRATED MANAGEMENT SYSTEM UNDERTAKING





1. All nuclear siting project team members are responsible for performing their tasks in a

correct and safe manner every time and must:

(i) have a clear understanding of the requirements and how this impact on client satisfaction,

(ii) commit to the Integrated Management System (IMS), and (iii) take action to eliminate all possibilities for errors so as to increase the value of

our services. 2. You are requested to carefully read through the all documents of the IMS for the nuclear

siting investigations. 3. You are invited to make proposals about improving the readability, clarity and level of

detail contained in these documents. __________________ _________________ CEO: CGS Date

Statement of undertaking I, the undersigned, declare my commitment to fulfil the requirements contained in the IMS, as reflected in all documents of the IMS. I will participate in all activities required in the implementation and maintenance of the IMS for the Nuclear siting project and will perform my activities as planned. I undertake to adhere to the IMS in order to ensure that the products and services, delivered as part of the nuclear siting project, will meet the requirements of the clients of the Council for Geoscience. I will make sure that I have a clear understanding of the requirements of my tasks so as to increase the value of our services and reduce the need for any re-work. I will under all circumstances and at all times perform my tasks in a safe, responsible and correct manner. I accept my responsibility to contribute to the overall safety and quality of this project and its products, and also commit to continual improvement which represents the underlying philosophy and spirit of this project. ____________________ ___________________ Signature of undertaking Date Name (print): _______________________







COUNCIL FOR GEOSCIENCE (Eskom Virtual Unit)

REFERENCE:

CGS REPORT

XXXX – XXXX

REVISION

X

COPY No.

TITLE

DATE OF RELEASE:

XXXXX

CONFIDENTIAL

AUTHORS

ACCEPTED BY:

AUTHORISED BY:

Executive Manager

REVISION DESCRIPTION OF REVISION DATE MINOR REVISIONS APPROVAL

ACKNOWLEDGEMENT OF RECEIPT OF CONFIDENTIAL/RESTRICTED REPORT





CGS NUCLEAR SITING PROJECT

ACKNOWLEDGEMENT OF RECEIPT OF A CONFIDENTIAL/RESTRICTED REPORT

Name: ____________________________________ Date: _________________

Address: Koeberg Nuclear Power Plant

Private Bag X10

Kernkrag

7440

I, hereby acknowledge receipt of the following report(s): Title:

Authors:

CGS Report no.:

NSIP no.:

Copy no.:

Signature:

Designation:

Please return this document as soon as possible to the following address: Attention: Project Administrator Council for Geoscience, Gauteng Private Bag X112 Pretoria

Distribution History

Copy No. Name and Organization Date

1 CGS, Bellville

2 CGS, Pretoria

3 Eskom, Koeberg

4

5

ACKNOWLEDGEMENT OF RECEIPT OF CORRESPONDENCE






ACKNOWLEDGEMENT OF RECEIPT OF CORRESPONDENCE

Name: ________________________________ Date: _________________

Address: Koeberg Nuclear Power Plant

Private Bag X10

Kernkrag

7440

I, hereby acknowledge receipt of the following correspondence:

Signature:

Designation:


Distribution History

Copy No. Name and Organization Date

1 CGS, Bellville

2 CGS, Pretoria

3 Eskom, Koeberg

4

5

Title:

Authors:

CGS Report no.:

NSIP no.:

Copy no.:

AMENDMENT SHEET

Rev. 0 REFERENCE:

CGS/QA10/FM06 in CGS report 2013-0010

ISSUE DATE 30 November 2010


DOCUMENT NAME (e.g. Process, Manual, etc.)

AMENDMENT SHEET


ESKOM Q1 FORM





LICENSE AGREEMENT





_________________________________________________________________

LICENSE AGREEMENT _________________________________________________________________

In respect of: VECTOR DATA ENTERED INTO BY AND BETWEEN

COUNCIL FOR GEOSCIENCE (A juristic person established by Act No 100 of 1993)

Herein represented by _____________________________________

Duly authorized thereto

With address: PRIVATE BAG X112

PRETORIA 0001

(Therein after referred to as the “COUNCIL”)

and

______________________________________________

Herein represented by: _______________________________

Duly authorized thereto

With address _____________________________________________________

LICENSE AGREEMENT





(Therein after referred to as the “LICENSEE”)

WITNESS AS FOLLOWS:

WHEREAS the COUNCIL has developed and produced certain data described as above in the

form of computer software (hereinafter referred to as “the DATA”);

AND WHEREAS the COUNCIL is the legal owner of the copyright in respect of the DATA;

AND WHEREAS the LICENSEE whishes to acquire the right to use the DATA;

AND WHEREAS the parties wish to set out the LICENSEE’S rights in respect of the aforesaid

DATA;

NOW THEREFORE THE PARTIES AGREE AS FOLLOWS:

1. LICENCE AND COPYRIGHT

1.1 The COUNCIL hereby grants to the LICENSEE a personal, non-exclusive, non-

transferable license to use the DATA subject to the terms and conditions of this

agreement.

1.2 The COUNCIL retains ownership of the copyright and all other intellectual

property rights in respect of the DATA. The copyright is protected by South

African Copyright Laws and applicable international treaties and/or conventions.

1.3 All rights not specifically granted in this agreement are reserved to the COUNCIL.

1.4 The copyright shall exist in respect of the DATA in whatever form the LICENSEE

may produce works utilizing the DATA or part thereof. Such work shall carry the

LICENSE AGREEMENT





following copyright attribution notice acknowledging the COUNCIL’S PROPRIETARY RIGHTS: “Portions of this work include intellectual property

of the COUNCIL FOR GEOSCIENCE and are used herein by permission.

Copyright and all rights reserved by the said COUNCIL.”

2 EXTENT OF LICENCE AND PROTECTION

2.1 The LICENSEE may use the DATA only for his own internal purpose.

2.2 The LICENSEE may make only one copy of the aforesaid software for archival

purposes unless the right to make additional copies is granted to the LICENSEE

in writing by that COUNCIL.

2.3 Except as other wise expressly provided in this agreement, or with prior express

written permission by the COUNCIL, and the LICENSEE may not reproduce

electronically or by any other means, and may not sell, rent, lessee, sub-license,

lend, time-share, transfer, remarket or distribute the DATA or the LICENSEE’S rights under this agreement in whole or in part, or provide unlicensed third parties

access to prior or present versions or the DATA.

2.4 The LICENSEE shall not remove or obscure any of the COUNCIL’S copyright or

intellectual property rights notices in respect of the DATA.

2.5 The LICENSEE undertakes to protect the DATA from reproduction, distributions,

publication or any other unauthorized use and to assist with any disputes relating

thereto.

2.6 The LICENSEE undertakes to immediately inform the COUNCIL should the

LICENSEE become aware of any infringement or violation of the COUNCIL’S

copyright or other intellectual property rights in respect of the DATA.

LICENSE AGREEMENT





2.7 The LICENSEE undertakes to use his best endeavors to ensure that his

directors, shareholders, members and employees (as the case may be) shall

honor the COUNCIL’S rights in respect of the DATA.

2.8 This agreement shall be binding upon and ensure to the benefit of the parties

hereto, their heirs, executors, administrators, other legal representatives and

successors in title. The LICENSEE may not sub-license cede or assign or

otherwise transfer the license or any rights or obligations in terms of this

agreement without the COUNCIL’S prior written consent.

3 LIABILITY LIMITED

3.1 The COUNCIL warrants that any medium upon which the DATA is provided will

be free from defects in materials and workmanship under normal use and service

for a period of ninety days from the date of acquisition. The COUNCIL will replace

defective media, but then only if the LICENSEE returns the defective item with

the dated proof of payment to COUNCIL within ninety days after date of payment.

If the COUNCIL is unable to replace the defective media, it will refund the license

fee. This will be the LICENSEE’S sole remedy for any breach of warranty.

3.2 The COUNCIL does not warrant, guarantee or represent, nor is it a condition of

this agreement, that the DATA will meet the LICENSEE’S requirements or

purposes. The DATA is provided voetstoots, “as–is”, without warranty or

representation, either express or implied, including, but not limited to the implied

warranties of merchantability and fitness for a particular purpose.

3.3 Notwithstanding anything to the contrary herein, the COUNCIL shall not be liable

for any loss of profits or for direct, indirect, special, incidental or consequential

damages arising from the use of or inability to use the DATA, even if the

COUNCIL is advised of the possibility of such damage. The LICENSEE

indemnifies the COUNCIL against liability in respect of any claim brought against

LICENSE AGREEMENT





the COUNCIL, by any client of the LICENSEE or any other third party resulting

from works produced by the LICENSEE utilizing the DATA.

3.4 Should the COUNCIL, notwithstanding above, be held liable for damages due to

any reason whatsoever, including under causes which are waived above, the

COUNCIL’S liability shall be limited to refund of the license fee. The LICENSEE

agrees to limit any claims it might have against the COUNCIL in aggregate to the

amount of the license fee.

3.5 The COUNCIL is at any time entitled to effect changes to the information

contained in the DATA, be it updates, corrections or any other changes without

being obliged to inform the LICENSEE thereof.

4 GENERAL

4.1 The headings to paragraphs in this agreement are for convenience only and must

not be considered in interpretation of the agreement.

4.2 The duration of this agreement is for an indefinite period subject to termination in

terms hereof.

4.3 It is recorded that the consideration which if payable by the LICENSEE to the

COUNCIL in respect of the license, is dealt with in another agreement.

4.4 The provisions of this agreement are separable, and in the event of any provision

being unenforceable or invalid for whatever reason, the remaining provisions shall

remain of full force and effect.

4.5 Should the LICENSEE fail to comply with the conditions of this agreement, then

the COUNCIL shall be entitled, without prejudice to any other rights it might have,

LICENSE AGREEMENT





to cancel this agreement in which event the DATA and all copies thereof shall be

returned to the COUNCIL.

4.6 This agreement constitutes the sole and entire agreement between the parties as

to the matters set forth herein and supersedes any previous agreements,

understandings and arrangements between the parties relating thereto. No

amendments to this agreement shall be valid unless effected in writing and

signed by the parties or their duly authorized representatives.

4.7 This agreement shall be governed an interpreted by the laws of the Republic of

South Africa and the parties irrevocable agree that the Supreme Court of South

Africa shall have exclusive jurisdiction to settle any disputes which might arise out

of or in connection with this agreement, and any legal proceedings shall be

brought in such court.

4.8 In this agreement, unless the context clearly indicates otherwise.

4.8.1 The expression “DATA” shall mean the full DATA or any part thereof.

4.8.2 The singular shall include the plural and vice versa.

DESCRIPTION OF DATA

MAP AREA SCALE SUBSET / COVERAGE LICENSE GROUP

STUDY AREA OF THE

SITE

1:50 000 VECTOR DATA LAYERS 4

LICENSE-GROUP STRUCTURE

Group 4 1 (one) Server

SCEP NOMIMATION FORM





Nomination for Nuclear Safety Awards Nominee: _____________________________________ Date: ___________________

Award Nominated by Motivation Individual Safety Achievement

Safety Suggestion by an Individual

Leadership in Safety

Safety, Health and Environmental category

Individual Safety Achievement:

This award may be given to any employee who made an outstanding contribution to

health and safety, protect the integrity of the product (i.e. – SHA studies), or

demonstrate an awareness of the wider consequence that their actions may have on

the immediate environment and the integrity of the product (i.e. – SHA studies)

Safety Suggestion by an Individual This award may be given with any of the following being taken into account:

• The value added to the Project.

• The influence the suggestion had on the quality and integrity of any service

provided to the client.

SCEP NOMIMATION FORM





• The influence the suggestion had on existing standards or procedures.

• The impact on the prevention of injuries or environmental degradation.

• How practical and easy the suggestion can be implemented.

Leadership in Safety Managers and Study Leaders qualify to be nominated in this category. The following

areas will be taken into consideration:

• Affirmation of responsible behaviour.

• Constantly addressing high-risk conditions and behaviour representing a risk to

the project.

• Innovation in safety and environmental management.

• Exceptional commitment to safety and quality.

Safety, Health and Environmental category An award may be given to anyone who meets the following criteria:

• Affirmation of responsible behaviour.

• Constantly addressing high-risk conditions and behaviours representing a risk to

the project.

• Innovation in safety and environmental management.

• Exceptional commitment to safety and quality.

ACKNOWLEDGEMENT OF BRIEFING SESSION






ACKNOWLEDGEMENT OF BRIEFING SESSION Name: Date:

I, hereby acknowledge attendance of a briefing session Conducted by:

Topics:

.:

Signature:

Designation:


ACKNOWLEDGEMENT OF READING MATERIAL

Rev. 1 REFERENCE: CGS/SC10/FM11





ACKNOWLEDGEMENT OF READING MATERIAL

Name: Date:

I, hereby acknowledge receipt of reading material Topics:

.:

Signature:

Designation:


REQUEST FOR CORRECTIVE OR PREVENTIVE ACTION

Rev. 2 REFERENCE:




SECTION A (Project Manager): Tick the correct request:

Ref. no.:

Safety Management (incl.

incident / accident

investigation)

Non-conforming product /

service by TNSP

Problem with Supplier of

products and services /

Procurement

Preventive action /

Opportunity for Improvement

/ “Lesson learnt”

Customer Suggestion /

Complaint

Result of technical review

Audit Finding / Observation

Change in regulatory /

statutory requirements

Reference document / Item number:

Description of problem/request:

Hold location, where applicable:

Affected area/Supplier:

Reference for acceptance criteria, where applicable:

Project Manager:

Enter in Action Tracking List (ATL)? done

Signature: Date: SECTION B (Project Manager):

Root cause analysis: Root cause:

Man

Management

Material/data

Action to be taken: Method

Money

Machine Other

Action to be taken by: Position: Project Manager:

Root cause entered in ATL? done

Signature: Date: SECTION C (Delegated Person):

Acknowledgment of understanding of action(s) required:

Action taken:


Action taken by (name): Position:

Corrective action completed as directed Action taken entered in ATL?

done Alternate corrective action completed

Signature: Date:

SECTION D (Project Manager):

Action follow-up, verification: Was action successful?

Comments:

YES

NO

Signature: Date: SECTION E (Management Representative):

Action follow-up, Close-out:

Close-out entered in ATL? done

Close-out done by (name):

Position:

Signature: Date: Note: Mark N/A in any block if not applicable.

Note: form may only be completed by the Project Manager, or by a person appointed by the Project Manager to do so.

KEY PERFORMANCE INDICATOR PER DELIVERABLE



ISSUE DATE: July 2011


ACTIVITY KEY PERFORMANCE INDICATOR REPORT

No. Description Target 1Performance 2Comments 1. Adherence to schedule 2. Independent Review 2.1 Internal (CGS) 2.2 External 3. Statement on Quality 3.1 Adhere to IMS 3.2 SACNASP registered 4. Task 4.1 Scope defined 4.2 Adherence to scope 5. Compliance 5.1 Nuclear Regulatory Guides and Codes 6. Defects on Milestone

1 Not met Partially met Met 2 Qualifies or expands on why milestone was not met or only partially met.

Signed: Authorised: Project Manager Management Representative

MONTHLY FINANCIAL PROGRESS REPORT





MONTHLY FINANCIAL PROGRESS REPORT As per end of: Report No.: Report date: Reference No.:

Contract No.:

Project Manager Management

Representative or Technical Manager

FINANCIALS

Description Rand Value Notes

Financial Contact

Escalation VAT

Project Contract Amount (PCA) % PCA Invoiced Invoiced by CGS Paid by Eskom Amount Outstanding

DELIVERABLES Date Milestone/Deliverable Status

LIST OF DELIVERABLES AND INVOICING INFORMATION





LIST OF DELIVERABLES AND INVOICING INFORMATION Deliverables/Milestones Report Number Status Invoiced

(Yes/No) Date of Invoice Rand Value Paid

(Yes/No) Date of

Payment

FORM FOR REPORTING ON RISK MANAGEMENT

Rev. 0 REFERENCE:


ISSUE DATE:

05 September 2011


FORM FOR REPORTING ON RISK MANAGEMENT Period reported on (quarter):

to

CORRECTIVE ACTION

Number of CA in this period Number “overdue” Number in last period Nature of CA (per category, process, function or area)

Root causes (%)

Man Management Material /data

Method Money Machine Other

Total for project

PREVENTIVE ACTION

Number of PA in this period Number “overdue” Number in last period Nature of PA (per category, process, function or area)

Root causes (%)

Man Management Material /data

Method Money Machine Other

Total for project

ROOT CAUSE AND TREND ANALYSIS

Root cause analysis (any clear trend or priority?)

Current risk assessment Low Moderate High Very high

Recommendations

Form completed by:

Form approved by:

Designation:

Designation:

Date

Date





APPENDIX D: CORE IMS CHECKLISTS

FIELD CHECKLIST

Rev. 1 REFERENCE: CGS/QA10/CL01



SAMPLE CGS/QA10/CL01-i


1

Extensive re-write of IMS documents

following internal audit held on 24-25

February 2011.

05-09-2011

FIELD CHECKLIST




SAMPLE CGS/QA10/CL01-1

TNSP field checklist

Item Yes / No

Comments

1. Vehicle Is the CGS vehicle form completed and signed?

Is the vehicle supplied with a spare tyre? If so, how many? There should be at least 2.

Is there a suitable wheel spanner? Is there a suitable jack, bearing in mind the location where you will be working?

Is the vehicle equipped with a winch? Do you know how to use it?

Is the vehicle equipped with a tow rope or bar? Do you know how to use it?

Is the vehicle equipped with hazard triangles?

Is the vehicle equipped with jumper cables?

Is the vehicle equipped with a pump for inflating tyres, as required, according to the location where you will be working? Do you know how to use it?

Have you checked the contents of the First Aid Kit? (see Appendix B of “SHE Awareness” procedure CGS/QA10/PR15 in IMS Manual and procedures CGS report 2010-0168)

Vehicle recovery kit to recover other vehicles

2. Field records Field books, stationery and maps Camera GPS Compass Hammer Hand Lens Sample Bags and Tags 3. Protective clothing and equipment Suitable shirts and trousers or overalls (MGU)

High visibility waistcoat or jacket; wind- and water-proof

Life-jackets, as required (MGU)

Suitable socks, with smooth “gaiters” or ankle covers, as required

FIELD CHECKLIST





TNSP field checklist Item Yes /

No Comments

Footwear (boots) with toe protection.

Gumboots Vests and “long johns”, as required and by request to Unit Head

Broad-brimmed hat or sun cap Protective Head Gear - hard hat or safety helmet, with chin straps, as required

Gloves, suitable to task, as required

Eye protection, safety goggles and/or sunglasses, as required

Breathing protection, face guard or respiratory protection, as required

Hearing protection (ear defenders), as required

Drinking vessel and sufficient fluids

Whistle or personal assault alarm

Full body safety harness, as required

Overall belt - to prevent loose hanging clothes being caught in any form of rotating machinery or to carry tools.

Rucksack harness, as required Safety static rope (minimum 10 kN breaking strength) or other rope fit to purpose, as required

Torches or lamps, as required

Signal flares, as required (MGU) Communication equipment - cell phones, radios, etc.

Metal detectors (for geophysics and geochemistry), as required

Thermal blanket, as required 4. First Aid Kits First Aid Kit (see Appendix B of “SHE Awareness” procedure CGS/QA10/PR15 in IMS Manual and procedures CGS report 2010-0168)

Sun screen, with a high SPF Insect Repellent

FIELD CHECKLIST





TNSP field checklist Item Yes /

No Comments

Re-hydration solution (i.e. Re- Hydrate)

Eye Wash Bottle Anti-Histamines (personal responsibility)

Chart of dangerous snakes Snake bite kit, where possible Lists of names and numbers of closest doctors and hospitals

Checked by: ______________________ Date: ____________________________