Document No.

: CNC-CIM-005-A

Effective Date

: 5/8/15

INTERNAL AUDIT REPORT

Audit Date(s): October 26, 2016

IAR No.

Process (refer to Section 04 of QEHS Manual):

Department (what department was the finding observed?)

: Human Resource and Security Department

Details of Non-Conformance
Area for Improvement
(for non-conformances, state the requirement-failureevidence):

Noted by:

Date:

Consider to provide guidelines for individual or

group visitors of CNC. It has been observed that
individual or group visitors are being inspected at
CNC main gate by security personnel prior to
proceeding to their agenda at CNC campsite
however guidelines for such activity is not found.

minor fll this out if classifcation is major or

AUDITOR
AUDITEE
AUDITO
R

Audited by: Joel B. Reyes / Vincent Q. Ong

Classification:
Major
Minor
Observation
ISO Clause and/or Document #
(fill this out if classification is
major or minor):
ISO 9001: 2008
ISO 14001:2004
OHSAS
18001:2007
Procedure/
Support
Document Code
#
Date: October 26, 2016

Correction immediate action to fix the existing problem:

Analysis of root causes (do the why-why analysis):

Corrective Action action to fix the root cause:

Target Completion Date:

Prepared by:

Date:

Approved by:

Date:

AUDITOR

AUDITEE

Preventive Action action to avoid occurrence (if major or minor, action to avoid occurrence in
other sites or departments):

Target Completion Date:

Record(s) to be generated as a result of the corrective/preventive action(s) be specific:

Prepared by:

Date:

Approved by:

Date:

Follow-up Conducted by:

Date:

(done after target completion dates of corrective/preventive

actions are due)
Remarks (state the evidences seen for you to say that the proposed corrective and preventive
actions have been implemented):
Affected Aspect and Hazard Rating Sheet updated?
Yes, the Aspect and Hazard Rating Sheet for ________________ (indicate process/ location)
was updated by _____________________________________
_________________________________________________ (indicate the names of the persons who
updated the sheet) on ____________________ (indicate date).
Reviewed and confirmed effective by:
(done during next internal audit or during management review)

CNC-CIM-005-A

Document No.

: CNC-CIM-005-A

Effective Date

: 5/8/15

INTERNAL AUDIT REPORT

Remarks (state the evidences seen for you to say that the non-conformance above have been
effectively addressed):
Close-Out Date:

Audit Date(s): October 26, 2016

IAR No.

Process (refer to Section 04 of QEHS Manual):

Department (what department was the finding observed?)

: Human Resource and Security Department

Details of Non-Conformance
Area for Improvement
(for non-conformances, state the requirement-failureevidence):

Noted by:

Date:

Consider to provide first aid kit at the security

office. It is noted that no first aid kit was available
at the area.

or minor fll this out if classifcation is major

AUDITOR
AUDITEE
AUDITO
R

Audited by: Joel B. Reyes / Vincent Q. Ong

Classification:
Major
Minor
Observation
ISO Clause and/or Document #
(fill this out if classification is
major or minor):
ISO 9001: 2008
ISO 14001:2004
OHSAS
18001:2007
Procedure/
Support
Document Code
#
Date: October 26, 2016

Correction immediate action to fix the existing problem:

Analysis of root causes (do the why-why analysis):

Corrective Action action to fix the root cause:

Target Completion Date:

Prepared by:

Date:

Approved by:

Date:

AUDITOR

AUDITEE

Preventive Action action to avoid occurrence (if major or minor, action to avoid occurrence in
other sites or departments):

Target Completion Date:

Record(s) to be generated as a result of the corrective/preventive action(s) be specific:

Prepared by:

Date:

Approved by:

Date:

Follow-up Conducted by:

Date:

(done after target completion dates of corrective/preventive

actions are due)
Remarks (state the evidences seen for you to say that the proposed corrective and preventive
actions have been implemented):

CNC-CIM-005-A

Document No.

: CNC-CIM-005-A

Effective Date

: 5/8/15

INTERNAL AUDIT REPORT

Affected Aspect and Hazard Rating Sheet updated?
Yes, the Aspect and Hazard Rating Sheet for ________________ (indicate process/ location)
was updated by _____________________________________
_________________________________________________ (indicate the names of the persons who
updated the sheet) on ____________________ (indicate date).
Reviewed and confirmed effective by:
(done during next internal audit or during management review)
Remarks (state the evidences seen for you to say that the non-conformance above have been
effectively addressed):
Close-Out Date:

Audit Date(s): October 26, 2016

IAR No.

Process (refer to Section 04 of QEHS Manual):

Department (what department was the finding observed?)

: Human Resource and Security Department

Details of Non-Conformance
Area for Improvement
(for non-conformances, state the requirement-failureevidence):

Noted by:

Date:

Consider to provide safe drinking water at security

office. It is noted that no safe drinking water was
provided to the security personnel.

or minor fll this out if classifcation is major

AUDITOR
AUDITEE
AUDITO
R

Audited by: Joel B. Reyes / Vincent Q. Ong

Classification:
Major
Minor
Observation
ISO Clause and/or Document #
(fill this out if classification is
major or minor):
ISO 9001: 2008
ISO 14001:2004
OHSAS
18001:2007
Procedure/
Support
Document Code
#
Date: October 26, 2016

Correction immediate action to fix the existing problem:

Analysis of root causes (do the why-why analysis):

Corrective Action action to fix the root cause:

Target Completion Date:

Prepared by:

Date:

Approved by:

Date:

AUDITEE

Preventive Action action to avoid occurrence (if major or minor, action to avoid occurrence in
other sites or departments):

Target Completion Date:

Record(s) to be generated as a result of the corrective/preventive action(s) be specific:

Prepared by:

Date:

Approved by:

Date:

CNC-CIM-005-A

Document No.

: CNC-CIM-005-A

Effective Date

: 5/8/15

INTERNAL AUDIT REPORT

Follow-up Conducted by:

Date:

(done after target completion dates of corrective/preventive

actions are due)
Remarks (state the evidences seen for you to say that the proposed corrective and preventive
actions have been implemented):

AUDITO
R

Affected Aspect and Hazard Rating Sheet updated?

Yes, the Aspect and Hazard Rating Sheet for ________________ (indicate process/ location)
was updated by _____________________________________
_________________________________________________ (indicate the names of the persons who
updated the sheet) on ____________________ (indicate date).
Reviewed and confirmed effective by:
(done during next internal audit or during management review)
Remarks (state the evidences seen for you to say that the non-conformance above have been
effectively addressed):
Close-Out Date:

Audit Date(s): October 26, 2016

IAR No.

Process (refer to Section 04 of QEHS Manual):

Department (what department was the finding observed?)

: Human Resource and Security Department

Details of Non-Conformance
Area for Improvement
(for non-conformances, state the requirement-failureevidence):

Noted by:

Date:

Consider to provide a list for security posts with

corresponding areas to be disseminated to all
concerned departments to easily identify locations
in case of emergencies. It was observed that only
the security personnel know the location of their
posts.

or minor fll this out if classifcation is major

AUDITOR
AUDITEE
AUDITEE

AUDITO
R

Audited by: Joel B. Reyes / Vincent Q. Ong

Classification:
Major
Minor
Observation
ISO Clause and/or Document #
(fill this out if classification is
major or minor):
ISO 9001: 2008
ISO 14001:2004
OHSAS
18001:2007
Procedure/
Support
Document Code
#
Date: October 26, 2016

Correction immediate action to fix the existing problem:

Analysis of root causes (do the why-why analysis):

Corrective Action action to fix the root cause:

Target Completion Date:

Prepared by:

Date:

Approved by:

Date:

Preventive Action action to avoid occurrence (if major or minor, action to avoid occurrence in
other sites or departments):

Target Completion Date:

CNC-CIM-005-A

Document No.

: CNC-CIM-005-A

Effective Date

: 5/8/15

INTERNAL AUDIT REPORT

Record(s) to be generated as a result of the corrective/preventive action(s) be specific:

Prepared by:

Date:

Approved by:

Date:

Follow-up Conducted by:

Date:

(done after target completion dates of corrective/preventive

actions are due)
Remarks (state the evidences seen for you to say that the proposed corrective and preventive
actions have been implemented):
AUDITOR

Affected Aspect and Hazard Rating Sheet updated?

Yes, the Aspect and Hazard Rating Sheet for ________________ (indicate process/ location)
was updated by _____________________________________
_________________________________________________ (indicate the names of the persons who
updated the sheet) on ____________________ (indicate date).
Reviewed and confirmed effective by:
(done during next internal audit or during management review)
Remarks (state the evidences seen for you to say that the non-conformance above have been
effectively addressed):
Close-Out Date:

Audit Date(s): October 26, 2016

IAR No.

Process (refer to Section 04 of QEHS Manual):

Department (what department was the finding observed?)

: Human Resource and Security Department

Details of Non-Conformance
Area for Improvement
(for non-conformances, state the requirement-failureevidence):

Noted by:

Date:

Consider to replace the missing signage posted at

the faucet located behind the security office. It is
noted that only the handle of the signage is
present.

or minor fll this out if classifcation is major

AUDITOR
AUDITEE
AUDITO
R

Audited by: Joel B. Reyes / Vincent Q. Ong

Classification:
Major
Minor
Observation
ISO Clause and/or Document #
(fill this out if classification is
major or minor):
ISO 9001: 2008
ISO 14001:2004
OHSAS
18001:2007
Procedure/
Support
Document Code
#
Date: October 26, 2016

Correction immediate action to fix the existing problem:

Analysis of root causes (do the why-why analysis):

Corrective Action action to fix the root cause:

Target Completion Date:

Prepared by:

Date:

Approved by:

Date:

CNC-CIM-005-A

Document No.

: CNC-CIM-005-A

Effective Date

: 5/8/15

INTERNAL AUDIT REPORT

AUDITEE

Preventive Action action to avoid occurrence (if major or minor, action to avoid occurrence in
other sites or departments):

Target Completion Date:

Record(s) to be generated as a result of the corrective/preventive action(s) be specific:

Prepared by:

Date:

Approved by:

Date:

Follow-up Conducted by:

Date:

AUDITOR

(done after target completion dates of corrective/preventive

actions are due)
Remarks (state the evidences seen for you to say that the proposed corrective and preventive
actions have been implemented):
Affected Aspect and Hazard Rating Sheet updated?
Yes, the Aspect and Hazard Rating Sheet for ________________ (indicate process/ location)
was updated by _____________________________________
_________________________________________________ (indicate the names of the persons who
updated the sheet) on ____________________ (indicate date).
Reviewed and confirmed effective by:
(done during next internal audit or during management review)
Remarks (state the evidences seen for you to say that the non-conformance above have been
effectively addressed):
Close-Out Date:

Audit Date(s): October 26, 2016

IAR No.

Process (refer to Section 04 of QEHS Manual):

Department (what department was the finding observed?)

: Human Resource and Security Department

AUDITEE

AUDITOR

Details of Non-Conformance
Area for Improvement
(for non-conformances, state the requirement-failureevidence):

Audited by: Joel B. Reyes / Vincent Q. Ong

Classification:
Major
Minor
Observation
ISO Clause and/or Document #
(fill this out if classification is
major or minor):
ISO 9001: 2008
ISO 14001:2004
OHSAS
18001:2007
Procedure/
Support
Document Code
#
Date: October 26, 2016

Noted by:

Date:

Consider to provide proper storage for spill kit. It is

noted that the spill kit was only placed at the
resting area of the security personnel without label.

Correction immediate action to fix the existing problem:

Analysis of root causes (do the why-why analysis):

Corrective Action action to fix the root cause:

Target Completion Date:

CNC-CIM-005-A

Document No.

: CNC-CIM-005-A

Effective Date

: 5/8/15

AUDITO
R

fll this out if classifcation is major or minor

INTERNAL AUDIT REPORT

Prepared by:

Date:

Approved by:

Date:

AUDITEE

Preventive Action action to avoid occurrence (if major or minor, action to avoid occurrence in
other sites or departments):

Target Completion Date:

Record(s) to be generated as a result of the corrective/preventive action(s) be specific:

Prepared by:

Date:

Approved by:

Date:

Follow-up Conducted by:

Date:

AUDITOR

(done after target completion dates of corrective/preventive

actions are due)
Remarks (state the evidences seen for you to say that the proposed corrective and preventive
actions have been implemented):
Affected Aspect and Hazard Rating Sheet updated?
Yes, the Aspect and Hazard Rating Sheet for ________________ (indicate process/ location)
was updated by _____________________________________
_________________________________________________ (indicate the names of the persons who
updated the sheet) on ____________________ (indicate date).
Reviewed and confirmed effective by:
(done during next internal audit or during management review)
Remarks (state the evidences seen for you to say that the non-conformance above have been
effectively addressed):
Close-Out Date:

Audit Date(s): October 26, 2016

AUDITOR

Process (refer to Section 04 of QEHS Manual):

Department (what department was the finding observed?)

IAR No.

: Human Resource and Security Department

Details of Non-Conformance
Area for Improvement
(for non-conformances, state the requirement-failureevidence):
Consider to include the hotline number of MDRRMC
(Municipal Disaster Risk Reduction and Management
Council) to the emergency hotline numbers. It was
observed that only the Carrascal Health Care
Facility, Rural Health Unit of Carrascal, BFP, PNP,
and CNC Main gate were in the list for emergency
numbers.

CNC-CIM-005-A

Classification:
Major
Minor
Observation
ISO Clause and/or Document #
(fill this out if classification is
major or minor):
ISO 9001: 2008
ISO 14001:2004
OHSAS
18001:2007

Document No.

: CNC-CIM-005-A

Effective Date

: 5/8/15

AUDITO
R

minor fll this out if classifcation is major or

AUDITEE

INTERNAL AUDIT REPORT

Audited by: Joel B. Reyes / Vincent Q. Ong

Procedure/
Support
Document Code
#
Date: October 26, 2016

Noted by:

Date:

Correction immediate action to fix the existing problem:

Analysis of root causes (do the why-why analysis):

Corrective Action action to fix the root cause:

Target Completion Date:

Prepared by:

Date:

Approved by:

Date:

AUDITEE

Preventive Action action to avoid occurrence (if major or minor, action to avoid occurrence in
other sites or departments):

Target Completion Date:

Record(s) to be generated as a result of the corrective/preventive action(s) be specific:

Prepared by:

Date:

Approved by:

Date:

Follow-up Conducted by:

Date:

AUDITOR

(done after target completion dates of corrective/preventive

actions are due)
Remarks (state the evidences seen for you to say that the proposed corrective and preventive
actions have been implemented):
Affected Aspect and Hazard Rating Sheet updated?
Yes, the Aspect and Hazard Rating Sheet for ________________ (indicate process/ location)
was updated by _____________________________________
_________________________________________________ (indicate the names of the persons who
updated the sheet) on ____________________ (indicate date).
Reviewed and confirmed effective by:
(done during next internal audit or during management review)
Remarks (state the evidences seen for you to say that the non-conformance above have been
effectively addressed):
Close-Out Date:

Audit Date(s): October 26, 2016

Process (refer to Section 04 of QEHS Manual):
Department (what department was the finding observed?)

IAR No.

: Human Resource and Security Department

Details of Non-Conformance
Area for Improvement
(for non-conformances, state the requirement-failureevidence):

CNC-CIM-005-A

Classification:
Major
Minor
Observation

Document No.

: CNC-CIM-005-A

Effective Date

: 5/8/15

INTERNAL AUDIT REPORT

AUDITO
R

minor fll this out if classifcation is major or

AUDITEE

AUDITOR

Consider to include handheld flash lights to be

provided for security personnel. It is noted that only
basic PPE (Hard hat, vest and combat boots) are
provided.

Audited by: Joel B. Reyes / Vincent Q. Ong

ISO Clause and/or Document #

(fill this out if classification is
major or minor):
ISO 9001: 2008
ISO 14001:2004
OHSAS
18001:2007
Procedure/
Support
Document Code
#
Date: October 26, 2016

Noted by:

Date:

Correction immediate action to fix the existing problem:

Analysis of root causes (do the why-why analysis):

Corrective Action action to fix the root cause:

Target Completion Date:

Prepared by:

Date:

Approved by:

Date:

AUDITEE

Preventive Action action to avoid occurrence (if major or minor, action to avoid occurrence in
other sites or departments):

Target Completion Date:

Record(s) to be generated as a result of the corrective/preventive action(s) be specific:

Prepared by:

Date:

Approved by:

Date:

Follow-up Conducted by:

Date:

AUDITOR

(done after target completion dates of corrective/preventive

actions are due)
Remarks (state the evidences seen for you to say that the proposed corrective and preventive
actions have been implemented):
Affected Aspect and Hazard Rating Sheet updated?
Yes, the Aspect and Hazard Rating Sheet for ________________ (indicate process/ location)
was updated by _____________________________________
_________________________________________________ (indicate the names of the persons who
updated the sheet) on ____________________ (indicate date).
Reviewed and confirmed effective by:
(done during next internal audit or during management review)
Remarks (state the evidences seen for you to say that the non-conformance above have been
effectively addressed):
Close-Out Date:

CNC-CIM-005-A