QACE PROCEDURE / Procedure No.: / QACE P-02
Version: / 23.0
Approved Date: / 2012-03-232013-01-29
Prep. by: / HFDG
Requirements to the ACB contracted Audit Process
1Introduction
The objective of this document is to state the requirements to be followed by theAccredited Certification Body (ACB) which is contracted by a Recognised Organisation (RO) for the auditing and certification of the RO’s Quality Management System (QMS) in compliance with the requirements in EU Regulation 391/2009, Art. 11of QACE.
These requirements are to be mandatory implemented for ROs being Members of QACE. recognised by the European Commission according to the EU Regulation 391/2009, Art. 3 and 4.
QACE is a company limited by guarantee registered in England and Wales. For the avoidance of doubt, relationships between QACE and any third parties (including but not limited to contractual relationships) are governed by English law, and the courts of England and Wales shall have jurisdiction in respect of any dispute that might arise between QACE and any such third parties.
2General
The Accredited Certification Body (ACB) shall conduct the audits in accordance with ISO 19011:2002 2011` to verify compliance with the ISO 9001 standard, and compliance with the IACS Quality System Certification Scheme (QSCS) Requirements, as modified and adopted by QACE.
The ACB shall issue/reconfirm validity of the ISO 9001 Certificate, as well as the QSCS Statement of Compliance as appropriate, upon positive outcome of its audit process.
3Audit Programme
The audit by the ACB shall cover, as a minimum, the scope of classification and statutory work defines as:
-Classification of ships and mobile offshore installations in respect of both new building and in service,
-Statutory work carried out on behalf of nominating Flag Administrations.
Audits shall include audits at:
-head office,
-controlling offices (if any),
-plan approval centres (as applicable),
-survey locations of the RO’s network selected by the ACB, and
-Vertical Contract Audit (VCA), defined as a contract/order specific audit of service delivery processes, including witnessing work during attendance at survey, audit or plan approval in progress and as applicable, including relevant sub-processes. VCAs are carried out at locations and/or sites to verify the correct application of relevant requirements in service realization for the specific work in that contract/order, and their interactions.
The ACB shall establish, in cooperation with the RO, an annual Audit Programme to provide the basis for agreement regarding the conduct and scheduling of audit activities, noting that;
(a)The head office and at least one controlling office (if any) shall be audited annually;
(b)One Plan Approval Centre shall be audited annually, ensuring coverage of a representative sample of its plan approval activities in each region, as applicable, in any three year period;
(c)The sampling number of additional locations shall be determined by ACB according to their accredited sampling requirements (ref. IAF Mandatory Document for the Certification of Multiple Sites Based on Sampling, IAF document MD1:2007, as may be amended).
(d)VCA’s are to be combined with other audits wherever possible. The minimum number of VCA’s which ROs are to undergo per year will be determined by the ACB on the basis of an empirically derived formula, published on IACS' website, based on the number and gross tonnage of the RO’s new build and existing fleet. The minimum number of VCAs to be completed annually shall in no case be less than six (6). The scope of VCA’s shall cover new buildings, ships-in-service, ISM certification, and material and equipment inspection.
If, because size of fleet and number of vessels under construction is too small to obtain the minimum number of VCA in any reasonable way, the RO may, on application to QACE, be exempted from the minimum number of 6 VCA. Number of VCA shall in no case be less than 2 and the difference of VCA performed and 6 shall be compensated by audits of survey files.
The audit time shall comply with IAF document MD5:2009 (as may be amended from time to time), (used to determine the duration of QMS and EMS audits) for determining the minimum number of audit days, with additional time added for sampling in order to accommodate the IACS QMSR. This is expected to be in the order of an increase of 20%.
When combining QMS and EMS audits (and possibly audits according to other similar standards), the audit time shall be planned such that all the individual features of each standard can be covered by the audit.
Vertical Contract Audits (VCAs) shall relate to selected service delivery processes where work is being carried out by an employee (surveyor or auditor) of the RO in the field (e.g. on board ships or at the manufacturers works, shipyards, workshops, etc.) under a contract between the RO and its customer. VCAs are to be carried in accordance with IACS REC 107[1] (available on IACS web site).
The annual Audit Programme shall be sent to QACE for information as soon as agreed between the ACB and the RO.
4Reporting
The ACB shall contribute to the possible adoption of individual and collective recommendations for the improvement of RO’s processes and internal control mechanisms and review of QACE adopted quality standard by directly providing QACE with any feedback on matters of interpretation or ambiguous system requirements.
The ACB shall not reveal in the audit reports any information that is sensitive, such as financial information, data containing specific prices or rates, names or performance related information of RO personnel.Ships’ and companies’ names are not to be specifically identified by IMO number or any information traceable to the vessel or company. Use of "XYZ" or other similar means is acceptable.
The ACB shall notify the RO and QACE without delay of any matter which may adversely affectthe certification, and particularly with regard to situations where safety might have been compromised.
Audit reports shall be in the English language.
The RO shall report all audit findings to QACE in an electronic readable format, and also report proposed corrective actions and the verification of completed actions. Procedures for this reporting will be issued[2].
5Participation of external observers in ACB audits
The ACB shall allow the participation of observers from QACE during the conduct of audits.
The RO shall provide assistance and facilitate any planned observer’s participation pursuant to above.
Observed audits are to be conducted, preferably, in English. Audits in the native language between an auditee and auditor are acceptable provided an independent simultaneous English translation is provided for the QACE observer. This translation could e.g.be provided by the use of an official translator contracted by the RO or by capeable employees ofr the RO..
Alternately, recognising that the audit team must have capability in English in accordance with the ACB Requirements, the ACB auditor could also explain, in English, every step of the elements of the audit, to the QACE observer.
QACE reserve the right to engage a translator of their own choice and charge expenses to the RO.
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[1]Reference to be amended when IACS Quality System Procedures (IACS Procedures Vol. 3) are published.
[2]Procedures for the reporting method, formats etc. to be issued.