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

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
REVISION
ESKOM
0
COPY No. Nuclear Geo-Hazards Group DATE OF

RELEASE:
Core Integrated Management System
29 March 2013
Procedures, Work Instructions Forms
and Checklists
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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ii
REVISION DESCRIPTION OF REVISION DATE MINOR
REVISIONS
APPROVAL
0 The documents contained in this report were compiled from the 29-03-2013
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.
iii
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
iv
CORE INTEGRATED MANAGEMENT SYSTEM PROCEDURES, WORK INSTRUCTIONS,
FORMS AND CHECKLISTS
Rev. 2 REFERENCE: ISSUE DATE

CGS report 2013-0010 29 March 2013
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).
Page 1

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
Page 2

• 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
Page 3

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
Page 4

APPENDIX A: CORE IMS PROCEDURES
PROCEDURE FOR PROJECT MANAGEMENT

CGS/QA10/PR01 29 March 2013
in CGS report 2013-0010
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the authorised database version
AMENDMENT SHEET

Revisions
Revision No Nature of Change Issue Date
Approval
1 Extensive re-write of IMS documents following 05-09-2011

internal audit held on 24-25 February 2011.
2 Minor revision. There is no major content difference. 29-03-2013

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.
The downloaded document is uncontrolled; therefore the user must ensure that it conforms to CGS/QA10/PR01-i
the authorised database version

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 CGS report 2013-0010
and Checklists
Terms of Reference Management Review CGS report 2013-0011
Committee
Safety Culture Enhancement Programme CGS report 2010-0192
Processes, Classification and Technical CGS report 2010-0171
procedures
Applicable Project Execution Plans
Applicable Project Risk Register
Applicable Project Quality Plan
CONTROLLED COPY CGS/QA10/PR01-1


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 Pre contract phase Pre contract phase Pre contract phase Pre contract phase
1.3. Review regulatory,

Receive request from 1.1 Draft project schedule 1.2. Review contract – NEC 1.4 Receive signed
statutory and customer
client and compile budgets. suite of contracts. contract
requirements.
Contract awarding Contract awarding Contract awarding Contract awarding
2.2 Compile documentation

2.1 Appoint TNSP team and 2.3 Procurement contracting 2.4. Conduct start up
required for contract.
outsourced suppliers. as per CGS/QA10/MN01 meeting
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
3.3 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 Execution phase Execution phase

Execution phase
3.14 Conduct management review
3.1 Execute activities as
3.2 Resource Management – 3.5 Execute deliverables the IMS, SCEP, Financial
per activity schedule and
Provision of resources & according to schedule of matters and technical
keep records
infrastructure activiities processes as per CGC/QA/
MN01
Execution phase
3.6 Review products to ensure
conformity to customer
requirements as per CGS/
QA10/PRO6
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
3.8 SCEP training as per CGS/QA10/

PR11
Execution phase
3.9 Self assessments
Execution phase
3.10 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
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 Close out phase Close out phase Close Out phase
4.1. Close out all acitivities and 4.4 Ensure that all outstanding
4.2 Identify lessons learnt. 4.3 Arrange final audit
non conformances. audit actions are closed out.
Close out phase Close out phase Close out phase
4.6 Ensrure receipt of close

4.5 Do final invoicing 4.7 File all records
out certificates
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
• Johann Neveling
• Annabel Graham
9. ATTACHMENTS
None

PROCEDURE FOR CONTROL OF RECORDS
AMENDMENT SHEET

The downloaded document is uncontrolled; therefore the user must ensure that it conforms to the CGS/QA10/PR02-i
authorised database version

Revisions
Approval
1 Extensive re-write of IMS documents 05-09-2011

following internal audit held on 24-25
February 2011.
2 Minor revision. There is no major content 29-03-2013
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.
The downloaded document is uncontrolled; therefore the user must ensure that it conforms to the CGS/QA10/PR02-ii

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
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
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
REFERENCE: ISSUE DATE

Rev. 3
AMENDMENT SHEET
REFERENCE: ISSUE DATE
Rev. 3
Revision No Nature of Change

Revisions Issue Date
Approval
1 Procedure for corrective and preventive actions, and 01-03-2011

related forms updated after Level 2 and Level 1
accreditation audits.
2 Extensive re-write of IMS documents following internal 05-09-2011
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.

in the CGS report 2013-0010
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




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;


• 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.);


• 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


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


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


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).


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.


8. Development Team
• Erna Hattingh
• Annabel Graham
9. Attachments
None

PROCEDURE FOR COMPETENCE, TRAINING AND AWARENESS

PROCEDURE FOR COMPETENCE, TRAINING AND

AWARENESS
The downloaded document is uncontrolled; therefore the user must ensure that it conforms CGS/QA10/PR04-i
to the authorised database version
AMENDMENT SHEET

Revisions
Approval

2 Minor revision. Change in procedure name to 29-03-2013

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.
The downloaded document is uncontrolled; therefore the user must ensure that it conforms CGS/QA10/PR04-ii
to the authorised database version

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


Normative
in projects
installations
hazard studies
Informative
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

PROCEDURE FOR INTERNAL AUDIT

AND SELF-ASSESSMENT
AMENDMENT SHEET

Revisions
Approval

2 Add self-assessment to the procedure following 29-03-2013
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.

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

Applicable Safety Culture Enhancement Programme


Normative
ISO 10006:2003 Quality management systems guidelines for quality management in
projects
installations
hazard studies
Informative
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- This pertains to a major deficiency in the contents, requirements or

conformance 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- Any failure of the audited system to satisfy a written requirement that is
conformance 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 An observation made by the audit team which may be implemented by the
improvement 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. REFERENCE: ISSUE DATE

2
PROCEDURE FOR INTERNAL AND

EXTERNAL INDEPENDENT TECHNICAL REVIEW
AMENDMENT SHEET

2
Revisions
Approval


IMS Manual. Change in report number from 2010-0168
to 2013-0010.

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



2



2

Normative
in projects
installations
hazard studies
Informative
activities
guidance for use


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.


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


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.


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.


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


2
• Johann Neveling
9. Attachments
None

PROCEDURE FOR CONTROL OF NON-CONFORMING PRODUCT OR SERVICES

PROCEDURE FOR CONTROL OF NON-CONFORMING

PRODUCT OR SERVICES
AMENDMENT SHEET

Revisions
Approval

2 Add self-assessment to the procedure following 29-03-2013
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.

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


Normative
ISO 10006:2003 Quality management systems guidelines for quality management in
projects
installations
hazard studies
Informative
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

Revisions
Approval

2 Updated procedure’s content to align with the 29-03-2013

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

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 CGS report 2013-0010
and Checklists
Terms of Reference Management Review CGS report 2013-0011
Committee
Processes, Classification and Technical CGS report 2010-0171
procedures
Applicable Project Risk Register


Contracts: All applicable contracts between the CGS and customer.

Normative
in projects
installations
hazard studies
Informative
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

PROCEDURE FOR THE MANAGEMENT OF THE ELECTRONIC

REPOSITORY
AMENDMENT SHEET

Revisions
Approval

2 Extensive re-write. The NGG changed the use of the 29-03-2013
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.

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





Normative
in projects
installations
IAEA-TECDOC-1204 A systematic approach to human performance improvement in
nuclear power plants: Training solutions
hazard studies
Informative
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 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
(if there is more than one
auditors.
consequence, more than one
classification is required)
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 Justification for Judgement

confirmation/verification
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
High C C B B B A B A A
Potential
Impact
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

Revisions
Approval


to 2013-0010.

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




Normative
in projects
installations
hazard studies
Informative
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

Revisions
Approval

to 2013-0010.

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
in projects
installations
hazard studies
Informative
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

PROCEDURE FOR
CORRESPONDENCE WITH THE CUSTOMER
AMENDMENT SHEET

Revisions
Approval


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.

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




Normative
in projects
installations
hazard studies
Informative
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

Revisions
Approval


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.

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






Normative
in projects
installations
hazard studies
Informative
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

PROCEDURE
FOR IMS DOCUMENT CONTROL
AMENDMENT SHEET

Revisions
Approval

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.
The downloaded document is uncontrolled; therefore the user must ensure that it conforms to the CGS/QA10/PR14-1

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




Normative
in projects
installations
hazard studies
Informative
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
* IMS document Hierarchy. Compiler

* IMS document structure /
layout. Compile the IMS document Yes
* Dual numbering of IMS and obtain comments from the
elements. PMT.
* IMS revision control.
Project Manager
Review the IMS document for Revise ?

operational effectiveness and
efficiency.
Project Manager
Communicate to
requestor why the
Management Representative and Project Manager document will not
Project Executive be revised.
Approve/re-approve and authorise/re- Request for change to an

authorise the IMS document for IMS element and / or IMS
adequacy and suitability prior to document
implementation
Project Manager Project Manager

* Activities prior to
the release of IMS The PM nominate
documents resources and release the The PM nominate a
* Release of IMS IMS documents to the resource an archive IMS
documents Project Team and the document.
Customer.
Project Team member
Receive released IMS

document at the point of
use. (Electronic
Repository)
Project Quality Officer
Dispose superseded or
obsolete documents
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. REFERENCE: ISSUE DATE:

2 CGS/QA10/PR14 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: ISSUE DATE:

CGS/QA10/WI02 05 September 2011
Revisions
Approval

SAMPLE CGS/QA10/WI02-1

This section to be completed by the Designated Officer during all inspections:
SECTION A: STATUS OF THE RECORD CONTAINERS
Date: …………………………………………… Responsible Officer: …………………………………..
Container Sealed
Comments Date
(Number) Yes No
If the seals are broken the table below must be completed:
Container Contents Verified

Signature Date
(Number) 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

CGS/QA10/FM01 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 REFERENCE:
(Eskom Virtual Unit) CGS REPORT

XXXX – XXXX
REVISION
COPY No. DATE OF RELEASE:

XXXXX
TITLE
CONFIDENTIAL
AUTHORS
ACCEPTED BY:
AUTHORISED BY:
Executive Manager
REVISION DESCRIPTION OF REVISION DATE MINOR

REVISIONS
APPROVAL
ACKNOWLEDGEMENT OF RECEIPT OF CONFIDENTIAL/RESTRICTED REPORT

CGS/QA10/FM04 05 September 2011
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:
Title:
Authors:
CGS Report no.:
NSIP no.:
Copy no.:
Signature:
Designation:

Private Bag X112
Pretoria
Distribution History
Copy No. Name and Organization Date
1 CGS, Bellville
2 CGS, Pretoria
3 Eskom, Koeberg
4
5
AMENDMENT SHEET

DOCUMENT NAME (e.g. Process, Manual, etc.)
AMENDMENT SHEET
Revision No Nature of Change Revisions Approval Issue Date
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 1:50 000 VECTOR DATA LAYERS 4
SITE
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:

Private Bag X112
Pretoria
ACKNOWLEDGEMENT OF READING MATERIAL

CGS/SC10/FM11 05 September 2011
ACKNOWLEDGEMENT OF READING MATERIAL
Name: Date:
I, hereby acknowledge receipt of reading material
Topics:
.:
Signature:
Designation:

Private Bag X112
Pretoria
REQUEST FOR CORRECTIVE OR PREVENTIVE ACTION

SECTION A (Project Manager): Tick the correct request: Ref. no.:
Safety Management (incl. Non-conforming product / Problem with Supplier of Preventive action /
incident / accident service by TNSP products and services / Opportunity for Improvement
investigation) Procurement / “Lesson learnt”
   
Customer Suggestion / Result of technical review Audit Finding / Observation Change in regulatory /
Complaint 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?
 Alternate corrective action completed  done
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

CGS/QA10/FM13 July 2011
ACTIVITY KEY PERFORMANCE INDICATOR REPORT

1 2
No. Description Target Performance Comments
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
Signed: Authorised:
Project Manager Management Representative
1
Not met
Partially met
Met
2
Qualifies or expands on why milestone was not met or only partially met.
MONTHLY FINANCIAL PROGRESS REPORT

MONTHLY FINANCIAL PROGRESS REPORT

As per end of: Report No.:
Report date: Reference No.:
Management
Contract No.: Project Manager Representative or
Technical Manager
FINANCIALS
Notes
Description Rand Value 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

Invoiced Date of Paid Date of
Deliverables/Milestones Report Number Status Rand Value
(Yes/No) Invoice (Yes/No) Payment
FORM FOR REPORTING ON RISK MANAGEMENT

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 Method Money Machine Other
/data
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 Method Money Machine Other
/data
Total for project
ROOT CAUSE AND TREND ANALYSIS
Root cause analysis (any clear Current risk

trend or priority?) assessment
Low
Moderate
High
Very high
Recommendations
Form completed by: Form approved by:
Designation: Designation:
Date Date

APPENDIX D: CORE IMS CHECKLISTS
FIELD CHECKLIST

CGS/QA10/CL01 05 September 2011
Revisions
Approval
1 Extensive re-write of IMS documents 05-09-2011

following internal audit held on 24-25
February 2011.
SAMPLE CGS/QA10/CL01-i
FIELD CHECKLIST

TNSP field checklist

Item Yes / Comments
No
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
SAMPLE CGS/QA10/CL01-1
FIELD CHECKLIST


Item Yes / Comments
No
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


Item Yes / Comments
No
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: ____________________________

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NUCLEAR GEO-HAZARDS GROUP

CORE INTEGRATED MANAGEMENT SYSTEM

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

Council for Geoscience

COPY No. Nuclear Geo-Hazards Group DATE OF

COMPILED BY COMPILED BY COMPILED BY ACCEPTED BY:

JHP van der Merwe A Graham M Gouverneur N Keyser

REVIEWED BY AUTHORISED BY:

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

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

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

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

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

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

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

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

Rev. 2 REFERENCE: ISSUE DATE

Applicable references to CGS and external documents are contained in each

3 Definitions and Abbreviations

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

Rev. 2 REFERENCE: ISSUE DATE

4 Roles and Responsibilities

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

5 Core IMS procedures, work instructions, forms and checklists

Rev. 2 REFERENCE: ISSUE DATE

9.1 Appendix A: Core IMS Procedures

CGS/QA10/PR01 Procedure for project management

Rev. 2 REFERENCE: ISSUE DATE

9.2 Appendix B: Core IMS Work Instructions

9.3 Appendix C: Core IMS Forms

CGS/QA10/FM01 Client confidentiality agreement

9.4 Appendix D: Core IMS Checklists

CGS/QA10/CL01 Field safety checklist

Rev. 2 REFERENCE: ISSUE DATE

APPENDIX A: CORE IMS PROCEDURES

Rev. 2 REFERENCE: ISSUE DATE

PROCEDURE FOR PROJECT MANAGEMENT

Rev. 2 REFERENCE: ISSUE DATE

1 Extensive re-write of IMS documents following 05-09-2011

2 Minor revision. There is no major content difference. 29-03-2013

Rev. 2 REFERENCE: ISSUE DATE

This procedure is applicable to the Project Management Team.

2.1. CGS references

Other CGS references include:

CONTROLLED COPY CGS/QA10/PR01-1

Rev. 2 REFERENCE: ISSUE DATE

Applicable Compliance Matrix

Contracts: All applicable contracts between the CGS and customer.

2.2. External references

CONTROLLED COPY CGS/QA10/PR01-2

Rev. 2 REFERENCE: ISSUE DATE

OHSAS 18001:2007 Occupational health and safety management systems

3. DEFINITIONS AND ABBREVIATIONS

4. ROLES AND RESPONSIBILITIES

CONTROLLED COPY CGS/QA10/PR01-3

Rev. 2 REFERENCE: ISSUE DATE

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

CONTROLLED COPY CGS/QA10/PR01-4

Rev. 2 REFERENCE: ISSUE DATE

4.6 The CEO will appoint a member of CGS Management as Management