9200 9P 007 - R1

CONOCO INDONESIA INC. LTD.
PROJECTS DEPARTMENT
SPECIFICATION
TITLE
QUALITY ASSURANCE AUDITS &
CORRECTIVE ACTIONS
DOCUMENT NUMBER
REV
DATE
PAGE
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REVISION CONTROL SHEET

LATEST REV
DATE ISSUED
PREPARED
REVIEWED
APPROVED
COMMENTS
1 Oct 2002
B. Burn
R.Ford
A.McIntosh
Issued For Use
1 Feb 2003
B. Burn
R.Ford
A.McIntosh
Department Name
Change
Check with Document Control for latest available Revision

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SPECIFICATION
TITLE
CORRECTIVE ACTIONS
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TABLE OF CONTENTS
1.
SUMMARY
......................................................................................................4
2.
DEFINITIONS
......................................................................................................5
3.
AUDIT PLANNING .................................................................................................6
4.
AUDIT PREPARATION ..........................................................................................7
5.
PERFORMING THE AUDIT....................................................................................8
6.
AUDIT REPORT ................................................................................................... 11
7.
FOLLOW-UP AND CLOSE OUT.......................................................................... 12
8.
DOCUMENTATION AND RECORDS................................................................... 12
9.
AUDITORS ROLES AND RESPONSIBILITIES .................................................. 15

APPENDIX 1
AUDIT AND REVIEW SCHEDULE ............................................ 17
APPENDIX 2
AUDIT REGISTER LOG............................................................. 18
APPENDIX 3
AUDIT CHECKLIST ................................................................... 19
APPENDIX 4
AUDIT REPORT SHEET ............................................................ 20
APPENDIX 5
AUDIT ATTENDANCE REGISTER............................................ 21
APPENDIX 6
AUDIT NOTIFICATION .............................................................. 22
APPENDIX 7
AUDIT QUERY FORM ............................................................... 23
APPENDIX 8
C.A.R. STATUS LOG................................................................. 24
APPENDIX 9
C.A.R. FORM ............................................................................. 25

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CORRECTIVE ACTIONS
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1.
SUMMARY
1.1
This procedure applies to all audit locations for:-
1.1.1 Internal and external audits performed by suitably trained and experienced
personnel.
1.1.2 The planning, preparation, performance, reporting, follow up and close out of
audits.
1.2
Objectives
The prime objectives of audits are to: -
1.2.1 Determine the conformance or otherwise of the Management System Elements

with the documented and agreed System requirements.
1.2.2 Determine the effectiveness of the System in meeting the specified Quality
objectives and provide the Auditee with an opportunity to improve the System.
1.2.3 To provide objective evidence to Third Party Assessors of conformance to
requirements.
1.3
The requirements of this procedure shall not limit the freedom of the QA Auditors
to perform spot audits not included in the original audit program, if questionable,
Quality related activities are observed at any time.
1.4
This procedure is based on the ISO 10011 Auditing Standards and forms part of
the Project Quality Plan 84501-9200-9R-010.
1.5
The Quality Assurance Department are responsible for co-ordinating all audits
and ensuring that they are undertaken by acceptably qualified personnel and that
Corrective Actions raised are cleared in a timely manner.
1.6
The Project Quality Control Manager will ensure that an audit schedule is
maintained for each Operating Unit and actively followed.
1.7
Corrective actions raised as the result of an audit are intended to record quality
non-conformities identified during audits. For non-conformities identified during
ongoing surveillance of inspection, or by other Department personnel, refer to the
EPCI Contractors Quality Plan Procedures for Non- conformances and Corrective
action.

PROJECTS DEPARTMENT
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CORRECTIVE ACTIONS
1.8
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The procedure outlined in Section 9.0 should be followed to:-
1.8.1 Obtain and record agreement on action to be taken to correct the nonconformities and prevent recurrence.
1.8.2 Verify and record that the agreed corrective action has been implemented.
1.8.3 Provide a CAR Status log (Appendix 8) as a means of monitoring and recording
follow up action and providing a basis for analysis of quality trends.
1.9
In the case of internal audit observations, the CAR form (Appendix 9) may be
replaced by narrative text within an audit report, or memorandum, provided that
the following activities are clearly identifiable:
1.9.1 Identification of non-conformity.

1.9.2 Documented agreement by Auditee of non-conformity.
1.9.3 Documented agreement on corrective action.
1.9.4 Documented closeout of action.
2.
DEFINITIONS
Definitions, which are contained in ISO 8402, are as indicated: -
2.1
Quality Audit (ISO 8402)

A systematic and independent examination to determine whether Quality
Activities and related results comply with planned arrangements and whether
these arrangements are implemented effectively and are suitable to achieve
objectives.
2.1.1 Internal Audit

Audits of a portion of the teams own organization.
2.1.2 External Audit
An audit of portions of another organizations Quality System not under the direct
control or within the organisational structure of the audit teams own organization.
2.2
Auditor (Quality)
A person who has the qualification to perform Quality Audits.
Notes: -
a) To perform a quality audit, the auditor must be authorised for that

particular audit.

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b) An auditor designated to manage a quality audit is called a Lead

Auditor
2.3
Auditee
An organisation to be audited.
2.4
Non-Conformity (ISO 8402)

The non -fulfilment of specified requirements.
2.5
Corrective Action Request (CAR)

A document used to highlight and record any quality non- conformity and the
proposed and actual remedial action.
2.6
Corrective Action
Measures taken to rectify conditions adverse to quality and, where necessary, to
preclude their repetition.
2.7
Observation
A statement of fact made during an audit and substantiated by objective
evidence.
2.8
Objective Evidence
Qualitative or quantitative information, records or statements of fact pertaining to
the quality of an item or service or to the existence and implementation of a
quality system element, which is based on observation, measurement or test and
which can be verified.
2.9
Addressee
The person, organisation, unit or company to whom the CAR is addressed and
who is responsible for ensuring that corrective action is carried out. In the case of
CARs raised during formal audits, the addressee will be the Auditee.
3.
AUDIT PLANNING
3.1
Each manufacturing outlet engaged in producing items for the Specific Project
will establish and maintain an overall schedule for planned audits of the quality
system at that location. This will be prepared by their local Quality Manager and
approved by the Specific project Quality Manager.

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3.2
In addition to audits of the Corporate System, Project specific audit schedules

may have to be maintained including Vendor / Sub - Contractor audits. Third
party audits will also be included in this schedule.
3.3
The audit schedule will be established listing the audit subjects against schedule
dates (Appendix 1) .The schedule should allow for follow up audits and be
updated regularly as information becomes available. Any unscheduled audits
undertaken will be included in this schedule.
3.4
Audit report numbers shall be allocated and registered by the Lead Auditor, and
shall be proceeded by the year, i.e. AR 01/01, AR 02/02 etc and location.
4.
AUDIT PREPARATION
4.1
At least two weeks before a scheduled Audit, the Quality Manager or his
designee shall nominate a Lead Auditor and Auditor(s) for the audit, and shall
inform them of the scheduled audit date, the Auditee organisation, contact
names, Audit scope and elements to be audited.
4.2
The auditors, excepting technical specialists, shall be staffs who have been
trained in Auditing techniques.
4.3
Technical specialists may be selected to supplement audit activity but must not
be responsible for the specific activities being audited.
4.4
Planning the Audit
4.4.1 The Lead Auditor will obtain the next available number from the audit register.
4.4.2 The Lead Auditor, will assign responsibilities to he audit team and ensure that the
checklists are prepared ( Appendix 3 ) based upon a review of:-
4.5
Audit planning this will also include any special arrangements for
observing work in progress or specific practices or procedures selected for
detailed review.
Specific details of the Audit Plan should only be communicated to the

Auditee throughout the audit if the premature disclosure does not
compromise the collecting of objective evidence.
Notification of Audit
4.5.1 The Lead Auditor shall contact the Auditee organisation to discuss the audit,
agenda and location, and to arrange a mutually convenient date and time within
the period allocated in the Audit Schedule.

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4.5.2 Written confirmation ( letter, form or fax for external audits or form for internal
audits see ( Appendix 6 ) shall include:
Timetable for the Audit Reference number.
The Audit scope and objectives.
The Audit baseline documents :-e.g. Contractual
The Audit program.
Identification of Audit Team Members.
The date, duration and location of the Audit.
The time and location of the entry meeting, and a request.
Any special office facilities, e.g. office space.
4.5.3 For external Audits, at least seven (7) days notice in writing shall be given to the
Auditee, if practical.
5.
PERFORMING THE AUDIT
5.1
Entry Meeting
The Lead Auditor shall convene a brief meeting between the audit team and the
nominated representatives of the Auditee organisation at which the Lead auditor
shall:
5.1.1 Introduce the Audit team.

5.1.2 Briefly discuss the Audit scope, objectives and proposed itinerary.
5.1.3 Confirm arrangements for any special resources or facilities, e.g. office space or
escorts.
5.1.4 Establish the official communication links between the Audit team and the
Auditee.
5.1.5 Confirm that the Audit reference documents are the specified revisions.
5.1.6 Agree on a time and a venue for the Audit Exit Meeting and issue an invitation to
management representatives to attend.
5.1.7 Clarify any unclear details of the Audit plan.
5.1.8 Circulate an Attendance Register ( Appendix 5 )

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CORRECTIVE ACTIONS
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The Audit
5.2.1 For external Audits following the entry meeting, it is sometimes of value for the
Audit Team to undertake a familiarisation tour of the facility prior to commencing
the Audit. This will be at the discretion of the Lead Auditor, bearing in mind that a
tour of the facility will, in any case, be required during the Audit.
5.2.2 The Lead Auditor will co-ordinate and directs the course and pace of the Audit,
The Lead Auditor may make changes to the Auditors work assignments, if
necessary.
5.2.3 Each Auditor shall use the checklist as an enquiry aid. Checklists shall be based
on requirements contained in the audit baseline documents (Section 4.5.2).
5.2.4 The Auditor is concerned only with objective evidence and on examination of this
will record in the appropriate space on the checklist essential information, e.g.
identification of the evidence examined and specific details of any nonconformance together with applicable references:
Evidence should be collected through interviews, examination of

documents, and observation of activities and conditions in the areas of
concern. Clues suggesting non-conformities should be noted, if they seem
significant, even though not covered by the checklists, and should be
investigated. Information gathered through interviews should be tested by
acquiring the same information from independent sources, such as
physical observation, measurement and records.
Wherever possible, copies of relevant documents produced, as objective

evidence should be obtained for inclusion in the report.
Wherever possible, photographs of relevant acts witnessed, as objective

evidence should be obtained for inclusion in the report.
5.2.5 The Auditor shall complete the Audit Checklist by stating under the heading
Compliance either:
YES -Indicating complete acceptance.
NO - Indicating evidence is not available to conform compliance of the

Auditee.
N/A- Indicating the Audit enquiry is not applicable.
Details of all observations and non-conformances will be recorded. Nonconformities should be identified in terms of the specific requirements of the
standard or other related documents against which the Audit has been
conducted.
5.2.6 If the Auditor suspects Quality deficiencies during the course of the Audit, the
checklist may be expanded with additional questions.

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5.2.7 In cases, where queries cannot be answered on the spot, Auditors may provide
an Audit Query Form (Appendix 7) for the use of the Auditee Representative.
This form allows the Auditee to obtain information to answer the query without
delaying the Audit, for review later in the Audit.
5.2.8 Where non-conformities are identified, the Auditor and Auditee shall agree on a
statement defining non-conformity and shall both sign the agreed statement.
5.3
Audit Team Meeting
5.3.1 On completion of the Audit and prior to the Audit Exit Meeting, the Audit team will
meet in order to:-
5.4
Analyse any non-conformities to confirm their validity as requiring

Corrective Action Requests ( CAR's )
Ensure CARs are completed in accordance with Section 9.0 of this

procedure prior to the Exit Meeting.
Ensure that a list of Audit observations with brief detail is available.
Agree on an objective overview of the Audit for presentation to the Auditee
Exit Meeting
The Lead Auditor shall convene the Exit Meeting with Management
Representatives of the Auditee organisation where he shall:
Present an objective overview of the Audit, making reference to

satisfactory aspects of performance as well as to non-conformity findings
and observations. The purpose is to ensure that the results of the Audit
are clearly understood.
Discuss each CAR and Audit observation to ensure they are fully
understood by the Auditee and obtain his signature on the CAR.
Present the Audit teams conclusions regarding the Quality Systems

effectiveness in ensuring that the Quality objectives will be met.
Obtain copies of the CARs and leave them with the Auditee for his
initiation of corrective action prior to receipt of the Audit report.
Advise the Auditee organisation of the intended date of the issue of the
Audit Report and state the expected response to complete and return all
CARs after receipt of the Audit Report. This should be within seven (7)
days of the Exit Meeting.
Close the Meeting with the appropriate remarks.
Records of the Closing Meeting will be kept.
5.4.1 If requested, the Auditor may also take recommendation to the Auditee for
improvements to the Quality System. Recommendations are not binding on the

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Auditee. It is up to the Auditee to determine the extent, the ways and the means
of actions to improve the Quality System.
6.
AUDIT REPORT
6.1
Following the Audit, the Lead Auditor, with assistance from the Audit Team and
using the completed Checklist, shall prepare the formal Audit Report.
6.2
The Audit report shall comprise:-
6.3
Lead Sheet (Appendix 4)
Table of contents.
Audit Report Text.
Attendance Register.
Agreed CARs
Any attachments/photographs useful to the report.
The Audit Report text shall have the following sections:-
Audit scope and objectives.
Summary.
Basis of Audit (i.e. Listing of reference documents used in preparing

Checklist.
Audit Program (i.e. Reference to Entry and Exit meetings, personnel

involved, areas visited.
Details of Audit. (Including references to CARs and Audit observations,

Audit teams judgement of Audits compliance and the Systems
ability to achieve defined quality objectives.
Copies of CARs.
6.4
The existence and use of Checklists should be referred to in the Audit Report but
the Checklists should not be distributed with the report.
6.5
The originals of any CARs shall be retained in the Q.A. files.
6.6
The Audit Report shall be signed by the Lead Auditor and reviewed / approved by
the Specific project Quality Manager.
6.7
The Audit report shall be issued within seven (7) days of the Audit. The covering
letter or memo shall indicate the date by which the responses are required.
6.8
The Audit report distribution should always include the Auditee.
6.9
The Audit report shall be marked and transmitted as a Confidential Document.


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Distribution of the Audit report will be as required but will normally be:-
Auditee
Specific project Quality Manager
Specific project Project Manager
Auditees Departmental / SHEA
The Quality Manager may make further distribution at their discretion.

6.11
Audit reports are considered to be controlled, copyright, confidential documents

and should be treated as such by all recipients.
7.
FOLLOW-UP AND CLOSE OUT
7.1
The Audit Closeout shall be defined by the Lead Auditor, and will depend on the
reasons for the Audit.
-
If the Audit was Assessment of a potential supplier / subcontractor, the

issue of the Audit report, with recommendations, can conclude the Audit.
If the Audit was carried out to identify non-conformities in a contractual

situation, or as part of the project audit program, the Audit is not complete
until all corrective actions have been carried out and verification of this has
taken place.
The Lead Auditor shall monitor the progress of corrective actions on

CARs in accordance with section 9.0 of this procedure.
At the due date, a follow up Audit to verify implementation and

effectiveness of the corrective action may be performed. However, in the
use of an external Audit where corrective actions are minimal,
consideration may be given to obtaining documentation by post, obtaining
written verification from a Specific project Inspector.
Completed Audit Documentation shall be filed in the Q.A. files.

8.
DOCUMENTATION AND RECORDS
8.1
After Audit Close-Out, the following documents shall be retained.
8.1.1 Audit Notification Document

8.1.2 The Audit Schedule.
8.1.3 Competed Checklists.
8.1.4 Originals of Corrective Action Requests

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8.1.5 Audit Report and Transmittal Note.

8.1.6 Corrective Action Request Status Log.
8.1.7 Audit Follow- Up Report.
8.1.8 Other relevant correspondence, reports, etc. The C.A.R. Procedure
8.2
CAR Records
8.2.1 A Corrective Action Request Status Log shall be maintained (see Appendix 8) by
the Quality Control Manager.
8.3
Raising the C.A.R.
8.3.1 Corrective Action Requests shall be implemented by completing the CAR Form
(see Appendix 9). This is generally self-explanatory but the following notes are
given for guidance.
a)
First part of the form to be completed by the Originator of the CAR (by the
Auditor in the case of a CAR raised during an Audit) and signed by the
Auditee.
b)
Recommended or proposed corrective action and scheduled

start/completion shall be agreed jointly between the originator and
Addressee. Corrective action shall include measures to prevent a
recurrence of the deficiency. In the case of a Car raised during an Audit, the
bottom portion of the CAR shall, wherever possible, be completed before the
close of the Audit. The Addressee should be advised that his signature
indicates that he understands and agrees with the stated Quality deficiency
and corrective action and he agrees to carry out the stated corrective action.
8.3.2 Having completed the first part of the CAR, a copy shall be passed to the
Addressee for his records and to enable him to implement the agreed corrective
action (This does not constitute formal issue of the CAR but speeds up the
corrective action.)
If at any time of raising the CAR, it is not possible to agree on the corrective
action to be taken, the form with the first part completed should be passed to the
Addressee for him to complete the corrective action to be taken and return at a
later agreed date.
8.4
Issuing the C.A.R.
8.4.1 The originator shall retain the original form and formally issue a copy to the
Addressee.
In the case of a CAR raised outside an audit, copies will be distributed as
required but will normally be as follows: -

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Addressee
Specific Quality Manager
Specific Project Manager
Addressees Departmental Manager (Internal CARs only)
Project Q.A. file (ORIGINAL)
8.4.2 Following formal issue of the CAR, the status log shall be updated.
8.5
Addressees Response
8.5.1 The addressee has responsibility for promptly completing applicable sections of
the form to the originator by the date requested.
8.5.2 If not already done during the Audit, the Addressee shall state the intended
corrective action together with the proposed date by which such action shall be
accomplished, and shall sign and date this statement. A copy of the CAR
completed to this stage shall be returned to the originator.
8.5.3 When the specified corrective action has been implemented, the Addressee shall
complete the bottom portion of the form and return a copy of the CAR to the Q.A.
Department.
8.6
Receiving the C.A.R. from the Addressee
8.6.1 On receiving the CAR, the originator shall record in the CAR Status Log the given
information and shall determine what action is required.
8.6.2 If a follow up Audit is required, the originator shall contact the Addressee and
agree on a date for the follow up meeting.
8.7
Follow-up Action
8.7.1 Follow up action or Audit to verify the implementation of corrective action shall be
performed as detailed in Section 7.0 of this procedure.
8.7.2 When the follow-up action confirms that the corrective actions taken are
satisfactory, the originator shall complete the close out section of the CAR form,
making reference to relevant documents reviewed, and signing and dating the
CAR. The Lead Auditor shall finally sign the CAR as closed out.
8.7.3 Originals of CARs shall be filed in the Q.A. Department.

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9.
AUDITORS ROLES AND RESPONSIBILITIES
9.1
Audit Team
9.1.1 Whether an Audit is carried out by a team or an individual, A Lead Auditor should
be placed in overall charge.
9.1.2 Depending on the circumstances, the Audit Team may include experts with
specialised background, auditor trainees or observers who are acceptable to the
client, Auditee and Lead Auditor.
9.2
Lead Auditors Responsibilities
9.2.1 The Lead Auditor is ultimately responsible for all phases of the Audit. The Lead
Auditor should have management capabilities and experience and should be
given authority to make final decisions regarding the conduct of the Audit and
Audit Observations
9.2.2 The Lead Auditors responsibilities also cover:-
9.3
Assisting with the selection of the Audit Team.
Preparation of the Audit Plan.
Representing the Audit Team with the Auditees Management.
Submitting the Audit Report.
Auditors Responsibilities
9.3.1 Auditors are responsible for:-
Complying with the applicable audit requirements.
Communicating and clarifying audit requirements.
Planning and carrying out assigned responsibilities effectively and

efficiently.
Documenting the observations.
Reporting the Audit results.
Verifying the effectiveness of corrective actions taken as a result of the

Audit (If requested by the client).
Retaining and safeguarding documents pertaining to the Audit.
Submitting such documents as required.
Ensuring such documents remain confidential.
Treating privileged information with discretion.
Co-operating with and supporting the Lead Auditor.

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Independence of the Auditor

Auditors should be free from bias and influences, which could effect the
objectivity. All persons and organisations involved with an Audit should respect
and support the Independence and integrity of the Auditors.
9.5
Auditors Objectives
9.5.1 The Lead Auditor should:-
Define the requirements of each Audit assignment, including the required

Auditor Qualification.
Comply with the applicable Auditing requirements and other appropriate

directives.
Plan the Audit, prepare working documents and brief the Audit Team.
Review Documentation on existing Quality System activities to determine

their adequacy.
Report critical non-conformities to the Audit immediately.
Report any major obstacles encountered in performing the Audit.
Report the Audit results clearly, conclusively and without undue delay.
9.5.2 Auditors should:-
9.6
Should within the Audit scope.
Exercise Objectivity.
Collect and analyse evidence that is relevant and sufficient to permit the
drawing of conclusions regarding the Audited Quality System.
Remain alert to any indications of evidence that can influence the Audit
results and possibly require more extensive Auditing.
Be able to answer such questions, as: -
Are the procedures, documents and other information describing or

supporting the required elements of the Quality System known, available,
understood and used by the Auditees personnel.
Are all the documents and other information used to describe the Quality
System adequate to achieve the required Quality Objectives.
Act in an ethical manner at all times.
All Lead Assessors are required to have undertaken an IQA Approved course
and passed the examination. Internal Auditors are required to undertake an IQA
approved Auditing course for internal audits and will not be allowed to participate
in external audits until they have passed the Examination.
84501-9200-9P-007
APPENDIX 1: -
AUDIT AND REVIEW SCHEDULE.
QUALITY AUDIT/REPORT SCHEDULE
Audit No.
KEYS
Approved By:
Audit Subject
Jan
P = PLANNED
Feb
March
T = TENTATIVE
April
May
2001
June
July
E = EXECUTED
Aug
Sept
R = REPORTED
Approved By:
Oct
Nov
C = CLOSED
Dec
84501-9200-9P-007
APPENDIX 2: -
AUDIT REGISTER LOG.
AUDIT REGISTER / STATUS LOG

CLIENT:
LOCATION:
PROJECT:
REV:
CONTRACT NO:
SHEET:
BY
OF
DATE:
AUDIT NO.
DATE
TEAM
AUDITEE
SUBJECT
CONT. NO.
REPORT
ISSUE
DATE
NO. OF
FINDINGS
DATE
CLOSED
REMARKS
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APPENDIX 3: -
AUDIT CHECKLIST.
LOCATION:
AUDITED ORGANIZATION:
REF.
DATE:
AUDIT CHECKLIST
RAISED BY:
PROCEDURE NO:
REQUIREMENT
AUDIT NO:
COMPLIANCE
YES
NO
PAGE OF
NOTES/COMMENTS
N/A
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APPENDIX 4: -
AUDIT REPORT SHEET.
CONOCO INTERNAL AUDIT REPORT

CONFIDENTIAL
AUDIT DATE:
P.O. NO.:
AUDITED ORGANIZATION:
QUALITY DEPARTMENT:
ENG. DEPARTMENT:
FACILITY:
TELEPHONE:
FACSIMILE:
TELEX:
CONTACT NAME:
AUDT NO:
PAGE OF
AUDIT SUBJECT:
AUDIT TYPE:
PREVIOUS AUDIT DATE:
PREVIOUS AUDIT REFERENCE:
AUDIT TEAM:
LEAD ASSESSOR:
ASSESSOR:
OBSERVERS:
CONTENTS
SECTION 1
SECTION 2
SECTION 3
SECTION 4
AUDIT OBJECTIVES
SUMMARY
AUDITEES
DETAILED REPORT
APPENDIX 1
APPENDIX 2
APPENDIX 3
APPENDIX 4
AUDIT NOTIFICATION
ATTENDANCE REGISTER
SUMMARY OF ACTIONS/RECOMMENDATIONS
DOCUMENTS SAMPLED DURING AUDIT
DISTRIBUTION
Q/A
AUDITEES
PREPARED BY:
ORIGINAL
READ AND RETURN
APPROVED BY:
(Signature)
(Signature)
(Date)
(Date)
84501-9200-9P-007
APPENDIX 5: -
AUDIT ATTENDANCE REGISTER.
LOCATION:
DATE(S)
AUDIT NO.:
AUDIT
ATTENDANCE
REGISTER
AUDITEES:
OF AUDIT:
ENTRANCE MEETING
LOCATION:
DATE:
NAME:
ORGANIZATION:
TITLE:
EXIT MEETING
LOCATION:
DATE:
NAME:
ORGANIZATION:
TITLE:
84501-9200-9P-007
APPENDIX 6: - AUDIT NOTIFICATION.
CONOCO INTERNAL AUDIT

NOTIFICATION
An Audit is scheduled on the subject(s) listed below at the date(s) and time(s) shown. Those persons
indicated as Auditees* are requested to confirm their availability to attend the Audit and opening meeting
by signing against their name below. The detailed timetable showing the required involvement of
individuals in the Audit will be presented and agreed at the meeting.
Timing of
Audit
The Audit meeting is scheduled to commence at _________Hrs and will be held in

___________.
It is anticipated that the Audit will then take approximately
________Hours/days.
The Audit subject is ______________________________________ and the

following procedures have formed the basis of the checklists prepared for the
Audit.
No.
Procedure Title
Rev.
No.
Procedure Title
Rev.
Audit Scope
Name
Confirming Signature
Name
Confirming Signature
Auditees*
Please ensure
that all relevant
personnel are
available on the
date(s) shown.
Audit Team
Lead Auditor-
Auditor(s)-
Note: The Lead Auditor is responsible for ensuring that signatures of Auditees are obtained above to
acknowledge their agreements and for leaving a copy of this notification with each Auditee.
Copies to:
Any person copied who wishes to attend the Audit or have

others attend please inform the Lead Auditor.
Audit No.:
Quality Manager:Signature:-
Date:
84501-9200-9P-007
APPENDIX 7: -
AUDIT QUERY FORM.
AUDIT QUERY
CLIENT:
DATE:
PROJECT:
CONTRACT NO:
AUDIT NO.:
PAGE ____ OF ____
AUDITEE:
AUDITOR:
CONTROL DOCUMENT, SECTION, PARAGRAPH, etc.
REQUIREMENTS:
QUERY:
RESPONSE:
ARRANGEMENTS CONFIRMED:
84501-9200-9P-007
APPENDIX 8: -
CAR STATUS LOG.
CAR STATUS LOG
AUDIT REPORT
No.
Date
BASIS OF AUDIT
TEAM LEADER
AUDITEE
NO. OF C.A.R.
Raised
Closed
NO. OF A.O.
Raised
Closed
REPORT
ISSUE
DATE
84501-9200-9P-007
APPENDIX 9: -
CAR FORM.
CORRECTIVE ACTION REQUEST

DATE:
AUDIT NO.
C.A.R. NO.:
DESCRIPTION OF NON-CONFORMANCE
( )
( )
( )
( )
A: Highly Critical
B: Critical
C: High Concern
D: Concern
DETAILS:
CONTROLLING DOCUMENTS, SECTION, PARAGRAPH.
QUALITY REQUIREMENTS:
QUALITY DEFICIENCY:
AUDITEE:
AUDITOR:
Sign:
Sign:
Date:
Date:
CORRECTIVE ACTION TO BE TAKEN
ACTION TO BE TAKEN BY:
AUDITEE:
FOLLOW-UP
Name:
Name:
Date:
Date:
Date:
FOLLOW-UP AND CLOSE OUT DETAILS
C.A.R. CLOSED-OUT

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REVISION CONTROL SHEET

Issued For Use

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CONOCO INDONESIA INC. LTD.

AUDIT PLANNING .................................................................................................6

AUDIT PREPARATION ..........................................................................................7

PERFORMING THE AUDIT....................................................................................8

AUDIT REPORT ................................................................................................... 11

FOLLOW-UP AND CLOSE OUT.......................................................................... 12

DOCUMENTATION AND RECORDS................................................................... 12

AUDITORS ROLES AND RESPONSIBILITIES .................................................. 15

AUDIT AND REVIEW SCHEDULE ............................................ 17

AUDIT REGISTER LOG............................................................. 18

AUDIT CHECKLIST ................................................................... 19

AUDIT REPORT SHEET ............................................................ 20

AUDIT ATTENDANCE REGISTER............................................ 21

AUDIT NOTIFICATION .............................................................. 22

AUDIT QUERY FORM ............................................................... 23

C.A.R. STATUS LOG................................................................. 24

C.A.R. FORM ............................................................................. 25

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CONOCO INDONESIA INC. LTD.

This procedure applies to all audit locations for:-

1.2.1 Determine the conformance or otherwise of the Management System Elements

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CONOCO INDONESIA INC. LTD.

The procedure outlined in Section 9.0 should be followed to:-

1.9.1 Identification of non-conformity.

Quality Audit (ISO 8402)

2.1.1 Internal Audit

a) To perform a quality audit, the auditor must be authorised for that

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CONOCO INDONESIA INC. LTD.

b) An auditor designated to manage a quality audit is called a Lead

Non-Conformity (ISO 8402)

Corrective Action Request (CAR)

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CONOCO INDONESIA INC. LTD.

In addition to audits of the Corporate System, Project specific audit schedules

Planning the Audit

Specific details of the Audit Plan should only be communicated to the

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CONOCO INDONESIA INC. LTD.

Timetable for the Audit Reference number.

The Audit scope and objectives.

The Audit baseline documents :-e.g. Contractual

The Audit program.

Identification of Audit Team Members.

The date, duration and location of the Audit.

The time and location of the entry meeting, and a request.

Any special office facilities, e.g. office space.

PERFORMING THE AUDIT

5.1.1 Introduce the Audit team.

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Evidence should be collected through interviews, examination of

Wherever possible, copies of relevant documents produced, as objective

Wherever possible, photographs of relevant acts witnessed, as objective

YES -Indicating complete acceptance.

NO - Indicating evidence is not available to conform compliance of the

N/A- Indicating the Audit enquiry is not applicable.

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