QACE Quality Manualqace.co › documents › 2019 › 03 › quality-management-system-5.pdfQACE Manual 5.0 January 2019 CONTENT 1/ Context of the Organization 2/ Interested Parties

QACE - Entity for the Quality Assessment and Certification of Organisations Recognised by the European Union (CIC)

QACE Quality Manual

Information about this Manual

Manual version: 5.0 Approved Date: January 2019 Prepared: QACE Secretariat Approved: QACE Board of Directors

QACE Manual

5.0 January 2019

CONTENT

1/ Context of the Organization2/ Interested Parties expectations3/ Scope of Activities4/ References 5/ Legal Statement6/ Manual Administration7/ Glossary

01 POLICIES

01-01 Quality Policy & Objectives 01-02 OHS Policy01-03 Travel Policy01-04 Confidentiality Policy

02 MANAGEMENT PROCESSES

02-01 Roles & Responsibilities 02-02 QACE Membership

02-03 Qualification & Training02-04 Financial Roles & Responsibilities02-05 Board Meetings 02-06 Management Review 02-07 Customers02-08 Customer Feedback, Complaints & Appeals02-09 Internal Audits02-10 Nonconforming Product and Corrective Action02-11 Design and Development02-12 Document & Data Control 02-13 Purchasing02-14 Control of Records02-15 Control of Supplied Services

Regulation requires the ROs to the European Community to “set upby June 2011 and maintain an independent quality assessment andcertification entity in accordance with the applicable international quality standards …”.

QACE was incorporated on 30 November 2010 under the EnglishCompanies Act 2006 as a private company limited by guaranteethat is a community interest company and is not-for-profit. Thecompany has its office in London.

The EU Regulation states that the quality assessment andcertification entity shall carry out “frequent and regular assessmentof the quality management systems of recognised organisations, inaccordance with the ISO 9001 quality standard criteria” and“certification of the quality management systems of recognisedorganisations”. The Regulation also states that “The qualityassessment and certification entity will lay down its workingmethods and rules of procedure.”

The independent Board of Directors of QACE has decided thatQACE will exercise its mandate under the EU Regulation byconducting assessments during the audits carried out byindependent Accredited Certification Bodies (ACBs) contracted bythe ROs to the extent that it will verify and assess that therequirements of ISO 9001 and of the internationally recognisedquality standards for ROs (e.g. IACS Quality System CertificationScheme (QSCS) Requirements) are fulfilled, as set out in these QACEProcedures

2 / INTERESTED PARTIES

QACE defines its interested parties as its customers defined inprocess 02-07 Customers.

QACE monitors and reviews information about its interested partiesand their relevant requirements.

QACE – Entity for the Quality Assessment and Certification ofOrganisations Recognised by the European Union CIC” was founded24 November 2010 by the then 12 organisations recognised by theEuropean Commission as “Recognised Organisations” - “ROs” - tothe European Community Member States. The establishment wasthe result of the introduction of mandatory requirements in EURegulation (EC) No 391 / 2009 on “Common rules and standards forship inspection and survey organisations”. Article 11 in this

parties that might be relevant to a commercial organisations but,as a Community Interest Company (CIC), paying tax, does includeHMRC.

03 OPERATIONAL PROCESSES● Company Directors● Members and applicant Members ● European Commission DG Mobility & Transport ● Flag States● International Maritime Organisation (IMO)● The marine industry

03-01 Certificate of Compliance03-02 Assessments03-03 Annual Work Plan & Budget 03-04 Collective & Individual Recommendations 03-05 Annual Report 03-06 Working with IACS03-07 Working with the ACBs03-08 QACE Requirement Notices

●

●

●

The Accredited Certification Bodies (ACBs)Public at largeHMRC

1 / CONTEXT of the ORGANISATION As a regulatory organisation QACE does not include interested

QACE Manual

5.0 January 2019

3/ SCOPE OF ACTIVITIES

Assessment of the Quality Management Systems (QMS) of theEU Recognised Organisations (ROs) in accordance with the principals of ISO19011:2011 ‘Guidelines for auditingmanagement systems’, through the witnessed application ofthe ISO9001:2015 and IACS Quality System CertificationScheme (QSCS) requirements by ISO17021:2011 accreditedcertification bodies.

As QACE top management, the Chairman of the Board and Board of Directors shall demonstrate leadership and commitment to ensure the quality management proceduresconsistently deliver independent and assessment certificationof the EU Recognised Organisations and applicants, in line withQACE Articles of Association and the Companies Act to governproceedings at general meetings, Directors' meetings and management review. The Secretary-General shall demonstrateleadership in the delivery of QACE operations activity andadministration of QACE.

4 / REFERENCES

EXTERNAL:

• The European Union Regulation (EC) No 391/2009• ISO 9001:2015• ISO 19011:2011• IACS Quality System Certification Scheme (QSCS)• IACS Quality Management System Requirements (QMSR)

INTERNAL QACE:

• QACE Articles of Association (AoA)QACE does not have a process document related to QACEMembers as the requirements are detailed in the AoAParts 3: Members. 10. Membership11. Authorised Representatives12. Administrative powers reserved to the Members13. General meetings14. Voting at General Meetings15. Written Resolutions

• QACE Policies (01)• QACE Operational Processes (02)• QACE Management Processes (03)

ISO 9001:2015

QACE applies the “plan–do–check–act” philosophy, an explicitrequirement for risk-based thinking to support and improve the understanding and application of the process approach.

A risk-based philosophy is in boded in the QACE Risk andOpportunity Register, approach to Assessment planning and recommendations development.

Table of ISO 9001 2015 Clauses & related QACE processes

Description ISO 9001 2015Clause

QACEprocess

Context of the organisation 4.1 01- 01

Interested parties expectations

4.2 01- 02

Management System scope 4.3 01 -03

Quality management systemand its processes

4.4 01

DocumentedInformation 7.5 02-12

Leadership and commitment 5.1 02-06

Leadership and commitment 5.1.2 02-07

Policy 5.2 01-01

Quality objectives andplanning to achieve them

6.2 03-02

Organizational roles, responsibilitiesand authorities

5.3 02-0102-04

Managementreview 9.3 02-06

Resources 7.1 03-02

Competence 7.2 02-01

Infrastructure 7.1.3 01

Environment for theoperation of processes

7.1.4 01

Operational planning andcontrol

8.1 03-02

Requirements for productsand services

8.2 02-07

Design and development of products and services

8.3 02-11

Control of externally

providedprocesses, products and services

8.4 02-13

Production and serviceprovision

8.5 03-02

Monitoring and measuringresources

7.1.5 02-15

Monitoring, measurement, analysis and evaluation

9.1 03-02

Control of nonconforming outputs

8.7 02-10

Analysis and evaluation 9.1.3 03-04

NonconformityandCorrective Action

10.2 02-10

IACS Quality System Certification Scheme (QSCS).

QACE completed a Procedural Review Project (PRP) in December2014 in the development of the QMS. The PRP included theapplicability and any exceptions to the International ClassificationsSocieties (IACS) Quality System Certification Scheme (QSCS),including the Quality Management System Requirements (QMSR).

As a result, QACE formal adopts the IACS QSCS and QMSR requirements.

QACE provides annual QSCS feedback (usually in February) for the development of the Scheme.

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5.0 January 2019

4 / LEGAL ENTITY & STATEMENTS

The name of the company is:

QACE - ENTITY FOR THE QUALITY ASSESSMENT AND CERTIFICATION OF ORGANISATIONS RECOGNISED BY THE EUROPEAN UNION CIC

QACE is operated under its Articles of Association (AoA).

The company has its registered address at: 3 Shortlands London W6 8DA

Telephone: +44 (0)20 3178 2301 Website: www.qace.co The Company Number is 07455733.

QACE is registered as incorporated by The Registrar of Companies for England and Wales on the 30th November 2010 as a private company; that the company is limited; it is a Community Interest Company (CIC).

Not for profit: QACE assets are to be used to advance the Objects for the benefit of the community.

GOVERNING LAW AND JURISDICTION

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

5 / MANUAL ADMINISTRATION

The manual is amended as when necessary by the Secretariat. New revisions of the manual are approved by the QACE Board at the next appropriate Board meeting.

The current version is maintained in the QACE Management System electronic file and is published on the QACE website under the Publications page

Previous revisions are maintained. Revision amendments are recorded in the following table.

QACE Quality Manual Revision Record

Rev No.

Revised section

Revision detail Date

1.0 New QMS 22 Jan 15

1.1 01 Addition of Scope of activities and amendment to the Quality Policy. Inclusion of ISO 9001:2008 reference table

Feb 15

2.0 Manual & Minor changes in relation to the new May 16 processes Secretariat and Secretary General title.

02-01 Roles & Responsibilities. Addition of “ Directors Election Committee and

Financial Audit Committee

02-08 Customer Feedback, Complaints & “ Appeals. Amended title.

02-14 Control of Records. Inclusion of “ Certificates of Compliance.

02-01 Certificate of Compliance. Biennial “ validity.

03-03 Annual Work Plan & Budget. Addition “ of Financial Audit Committee

involvement.

03-04 Collective & Individual “ Recommendations. IR follow-up

requirements.

03-05 Annual Report. Inclusion of member’s “

review.

3.0 Manual & Complete revision including ISO Jan 17 processes 9001:2015 compliance.

01 Manual “ New clauses 1 and 2 - subsequent clause

renumbering

Management Processes “ 2-01 to minor amendments

02-09 Non-conforming Product and Corrective

02-10 Action (combined with 02-11)

02-11 Withdrawn

Operation Processes “ 03-06 Working with IACS (new process)

03-07 Working with the ACBs (new process)

4.0 Manual & Manual Jan 18 processes minor amendments

01

Management Processes “ 02-02 to minor amendments

02-03

02-04 Financial Roles & Responsibilities (new “ process)

02-12 to minor amendments

02-15

03-08 Operation Processes

QACE Requirement Notices (new

process)

5.0 Manual & Manual Jan 19 Processes minor amendments

01

02-04, 02-09 Management Processes minor amendments

“

02-11 Design and Development (new process) “

http://www.qace.co/

QACE Manual

6 / GLOSSARY

ABS American Bureau of ShippingACB Accredited Certification Body

PRS Polski Rejestr Statków S.A (PolishRegister of Shipping)

QMS Quality Management SystemBSI

BV

The British Standards Institution[Certification Body]Bureau Veritas

QOQSCS

Quality ObjectiveIACS Quality System CertificationScheme

CCJ Quality Certification Center[Certification Body]

CCS China Classification SocietyCIC Community Interest Company [Not

for Profit]

RINA RINA Services S.p.A. RO Recognised OrganisationRS Russian Maritime Register of ShippingSAI G SAI Global Limited [Certification Body]SGS SGS S.A. [Certification Body]

CO RO Controlling OfficeCR Collective Recommendations

SL RO Survey LocationTL Türk Loydu

CRS Croatian Register of Shipping UTM Ultrasonic thickness measurementDEKRA DEKRA Certification GmbH

[Certification Body]DNV GL AS Det Norske Veritas Germanischer

Lloyd AS

VCA Vertical Contract Audit

DEC DQS

Directors Election CommitteeDQS GmbH [Certification Body]

EC European CommissionEMS Environmental Management System EMSA European Maritime Safety Agency EUEUWFAC HOHSOIACS

IACS QC

European Union IACS ACB Auditor End User WorkshopFinancial Audit CommitteeRO Head OfficeHealth & Safety OfficerInternational Association of Classification SocietiesIACS Quality Committee

IACS PR IACS Procedural Requirements IACS UI IACS Unified InterpretationsIACS UR IACS Unified RequirementsIAF International Accreditation Forum,

Inc.IAF MD IAF Mandatory DocumentIMOIRSIR

International Maritime OrganizationIndian Register of ShippingIndividual Recommendation

ISM International Safety ManagementCode

ISO International Organization forStandardization

ISPS

KPI

International Ship and Port Security CodeKey Performance Indicator

KR Korean Register of ShippingLR Lloyd’s Register of ShippingNC

NGO

Audit finding graded as Non-Conformity IMO Non-Governmental Organisation

NK Nippon Kaiji KyokaiOBOHSPAPRP

Audit finding graded as ObservationOccupational Health & SafetyRO Plan Approval CentreProcedure Review Project

5.0 January 2019

PR 01-1 January 2019

PURPOSE

It is the purpose of this policy to manage and continuously improveQACE performance through the setting of Key PerformanceIndicators (KPIs) associated with the QACE Objects and Quality Objectives.

1. POLICY

QACE, as the organisation recognised by the European Union to assess and continually improve the quality management systems of the Recognised Organisations, will achieve its obligations through its commitment in complying with the ISO 9001:2015 and other applicable requirements.

Delivering, through an independent and effective Recognised Organisation oversight programme audit assessment and collective and individual recommendations, in order to confirm that quality systems can deliver and continually improve performance to the highest professional, technical, management and safety standards.

QACE has established regularly reviewed quality objectives as part of its management system which is communicated and understood within the organisation and is regularly reviewed for continuing suitability.

2. QACE OBJECTIVES

QACE Articles of Association

Section 6.

The objects of QACE ("the Objects") are:

to fulfil those purposes set out in Article 11 of the Regulation so as to promote safety at sea and the protection of the marine environment for the benefit of the community and in particular to undertake the following tasks:

6.1.1 frequent and regular assessment of the quality managementsystems of Recognised Organisations, in accordance with theISO 9001 quality standard criteria;

6.1.2 certification of the quality management systems of Recognised Organisations, including organisations for which recognition has been requested in accordance with Article 3 of the Regulation;

6.1.3 issue of interpretations of internationally recognised quality management standards in particular to take account of thespecific features of the nature and obligations of Recognised Organisations; and

adoption of individual and collective recommendations forthe improvement of Recognised Organisations' processesand internal control mechanisms,

which are stated in Article 11 of the Regulation;

to carry out any other activities consistent with QACE'sstatus as a community interest company as determined by the Directors from time to time and set out in the AnnualWork Plan approved in accordance with these Articles.

2. METHOD

2.1 The QACE Objects are laid down in the AoA Section 6. The Quality Objectives (QOs) are associated with each of the major QACE policies, operating and management processes.

2.2 Each QACE Objective has associated Key PerformanceIndicator(s) (KPIs). The KPIs are identified by the Secretariat.RISK- how to monitor the KPIs ensuring it’s on track, who isresponsible for it?

2.3 The annual KPIs are approved by the Board during theManagement Review agenda item of the January Boardmeeting.

2.4 The success of the preceding year’s objectives and KPIs areassessed during the following year’s January Board meeting.

2.5 Where KPIs have not been met the Board’s associatedcomments and actions are recorded in the Board meetingminutes.

3. RECORDS

- The January Board meeting minutes are the record of Objectives, KPI and process performance.

- January Board meeting Annex A - Objectives

QACE Manual

01-01 QACE QUALITY POLICY & OBJECTIVES


PURPOSE

It is the purpose of this policy to manage the OHS risks faced by the QACE employees and to positively influence the health safety

performance of the industry.

1. QACE OSH POLICY

QACE is committed to:

• Complying with the applicable health and safety legislation.

relevant local applicable health and safety and work site requirements.

2.4 Assessors will not be left unattended on-board, particularly during entry into confined spaces, Assessors shall not undertake transfers at sea or attend sea trials.

2.5 QACE will assess from time to time if specific training is required.

2.6 This OSH Policy will be reviewed by QACE Board regularly, usually during the annual Management Review, in order to ensure that it remains suitable and appropriate to the work of QACE and is continually improved.

2.7 Safety is continuous focus for QACE, from the assessment of its effectiveness as part of the RO’s QMS and the reporting of any incidents or trends that may be witnessed particularly during assessments.

2.8 Health & Safety issues may be associated with surveyor’s and Assessor’s personal health, safety on-board or in relation to the ship or in the yard or in relation to general industry safety concerns.

3. OFFICE

• Ensure employees and contractors are OHS aware.

• Providing adequate resources (e.g. Personal ProtectiveEquipment (PPE)) to allow the aspects of work that theyobserve to be undertaken safely.

• Requiring that adequate resources are provided by ROs andother worksite controllers to allow work to be undertakensafely.

• Giving their employees the right and responsibility to refuseto conduct work they consider to present an unacceptablerisk until it is safe to do so. This mainly applies to Assessorsattending a site visit.

• Recognising, adopting, developing and promoting best practices within the industry. The Secretariat is responsible for this process.

2. SHIP & SHIP YARD VISITS

2.1 QACE Assessors come from a RO background and have undertaken appropriate health and safety training during the course of their previous careers. It is part of the Assessor’s responsibilities to ensure that they are up-to-date with appropriate marine industry requirements. This is followed up during the Assessor’s meeting in January.

2.2 Assessors are to ensure that they have appropriate PPE during all relevant VCAs and yard visits.

2.3 It is the RO’s responsibility when Assessors are attending on- board and during works visits that they comply with the

General staff responsibilities, all staff must:

• Take reasonable care for their own health and safety andthat of others who may be affected by their acts oromissions;

• Co-operate with the Health and Safety Officer (HSO)(Administration Manager) to enable compliance withhealth and safety duties and requirements;

• Comply with these health and safety instructions andrules;

• Keep health and safety issues in the front of their mindsand take personal responsibility for the health and safetyimplications of their own acts and omissions;

• Keep the workplace tidy and hazard-free; • Report all health and safety concerns to the HSO,

including any potential risk, hazard or malfunction ofequipment, however minor or trivial it may seem; and,

• Co-operate in the QACE's investigation of any incident oraccident which either has led to injury or which couldhave led to injury, in the QACE's opinion.

Staff responsibilities relating to accidents and first aid, all staff must: • Report any accident at work involving personal injury, to

the HSO so that details can be recorded in the AccidentLog and cooperate in any associated investigation;

• Familiarise themselves with the details of first aidfacilities and trained first aiders, which are displayed onthe notice board.

• If an accident occurs, dial the reception and ask for the duty first aider, giving name, location and brief details of the problem.

QACE Manual

01-02 OCCUPATIONAL HEALTH & SAFETY (OHS) POLICY

QACE Manual


Staff responsibilities relating to emergency evacuation and fire, all staff must:

• Familiarise themselves with the instructions about what to do if there is a fire which are displayed on the notice board;

• Ensure they are aware of the location of fireextinguishers, fire exits and alternative ways of leaving the building in an emergency;

• Comply with the instructions of fire wardens if there is afire, suspected fire or fire alarm;

• Co-operate in fire drills and take them seriously (ensuringthat any visitors to the building do the same);

• Ensure that fire exits or fire notices or emergency exitsigns are not obstructed or hidden at any time;

• Notify the HSO immediately of any circumstances, which might hinder or delay evacuation in a fire.

On discovering a fire, all staff must: • Immediately trigger the nearest fire alarm and, if time

permits, call reception and notify the location of the fire;and

• Attempt to tackle the fire ONLY if they have been trained or otherwise feel competent to do so.

On hearing the fire alarm, all staff must:

• Remain calm and immediately evacuate the building,walking quickly without running, following any instructions of the fire wardens;

• Leave without stopping to collect personal belongings;• Stay out of the lifts; and• Remain out of the building until notified by a fire warden

that it is safe to re-enter.

Risk assessments, display screen equipment and manual handling

• Risk assessments are simply a careful examination of whatin the workplace could cause harm to people. QACE willcarry out general workplace risk assessments whenrequired or as reasonably requested by staff.

• Staff who use a computer for prolonged periods of timemay request a workstation assessment by contacting theHSO. Guidance on the use of display screen equipmentcan also be obtained from the HSO.

Any breach of health and safety rules or failure to comply with thispolicy will be taken very seriously and is likely to result indisciplinary action against the offender, up to and includingimmediate dismissal.

4. RECORDS

- Management Review Board Meeting minutes.- Incident Log- The Secretariat is responsible for the maintenance and reviewthe records.


1. PURPOSE

This policy will guide and ensure fair treatment of all eligible travels for QACE business. This policy takes account of health and safety aspects of travels.

2. APPLICATION

This policy applies to all travelers on business duty for QACE,including contractors, the Secretary General, and the Directors of

the Board. This policy does not apply to Members of QACE.

3. PRINCIPLES

This policy implements an appropriate travel accountability framework in keeping with modern travel practices. The principlesare based on trust, flexibility, and transparency for thereimbursement of fair and reasonable costs for travelers onbusiness.

Staff are encouraged to use the corporate travel company Greydawes for booking flights and accommodation.

4. DEFINITIONS

Accommodation: Commercial accommodation, lodging facilities such as hotels, motels, or corporate residences. Private Accommodation, private dwelling where the traveler does not normally reside.

Declaration: a written statement signed by the traveler attesting to and listing the expenses for payment without receipt.

Economy Class: the standard class of air travel, including discount fares for a ticket that is possible to redeem its value in case of cancellation and to change flights as necessary.

Incidental expense allowance: an allowance to cover the costs of items attributed to travel status for which no other reimbursement is provided in the policy.

Receipt: an original document or facsimile showing the date and amount of expenditure paid by the traveler.

Travel status: occurs when a traveler is on authorized QACE travel.

Traveler: a person who is authorized to travel on QACE business.

5. AUTHORIZATION

a. The Secretary General and Directors of the Board haveblanket authority to travel for QACE business.

b. Contractors will be authorized by the Secretary General totravel for QACE business.

6. TRAVEL FORMS AND RECEIPTS

6.1 The QACE Travel Expenses Form shall normally be used. If notfeasible a similar format may be used that provides all pertinent information in legible writing and the total travel expenses either in GBP (pounds sterling) or Euros.

6.2 In general all expenses will be reimbursed based on receipts.A personal declaration may replace the receipt where thetraveler indicates the receipt was lost, accidentally destroyed,or unobtainable.

6.3 The travel expenses form with receipts is to be submittedelectronically as a single scanned document.

7. INSURANCE

Employees and sub-contracted Assessors travelling on QACEbusiness, the traveler may be provided with protection, subject tothe terms and conditions of the QACE Personal Accident and Travel Insurance policy.

8. TRAVEL EXPENSES

8.1 Transportation

- The selection of transportation will be based on cost, duration, convenience, safety, and practicability.

- The standard for air travel is business class for flights of three (3)hours or more. For flights of less than three (3) hours, economyclass tickets (redeemable/changeable) should be used. If abusiness class ticket is comparable in price and no more than 20%above an economy class ticket (redeemable/changeable), then abusiness class ticket may be used.

- The standard when travelling by train or ship is first class, ifreasonable and practical in longer trips. For shorter trips, say,airport shuttle, economy class should be used.

- When necessary to reach a destination, taxi or rental carexpenses will be reimbursed based on receipts.

- Where safety is of concern, a taxi or car driver should be used.- Travelers using a private car will be reimbursed by mileageallowance in accordance with local national government, taxrules, or rates from an established institution.

8.2 Accommodation

The standard for accommodation is the regular business standardfor the area, considering safety, convenience of location, and to bereasonably comfortable. In outlying areas, hotels or residences withprice agreements with host companies or travel agencies should benormally used. The traveler will be reimbursed for each day inprivate accommodation while on QACE business.

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01-03 QACE TRAVEL POLICY

QACE Manual


8.3 Meals

The actual and reasonable meal expenses will be reimbursed basedon receipts. Individuals are responsible to pay for their for spousesor family attendance at dinners.

8.4 Additional business expenses

The traveler will be reimbursed for business expenses not otherwisecovered such as telephone calls, photocopies, faxes, internetconnections, visas, and changes to travel arrangements. The travelerwill be reimbursed for service charges/fees and reasonableexpenses such as: Automated Banking Machines use; credit/debitcard use; and, foreign currency exchange expenses/commission.

8.5 Incidental expense allowance

A traveler will be paid an allowance per day that covers miscellaneous expenses not otherwise provided by the policy.

Currency exchange: All travel expenses will be reimbursed in eitherGBP (pounds sterling) or Euros. The costs incurred to convertreasonable sums of money to foreign currency and/or reconvertwill be reimbursed based on receipts. When receipts are notavailable or when converting travel expenses to GBP, the averagebank rates for the corresponding dates are to be used.

9. Submission/Reimbursement of Expense Claims

All travelers will endeavor to submit travel Expense Forms to theSecretary General or Administration Manager within 30 workingdays of the end of the travel period. The Secretary General willendeavor to reimburse travelers within 14 working days of receivingthe correctly completed form.

10. Records

Electronic signed copies of the Travel Expense Forms with receiptenclosures.

QACE Manual


01-04 QACE CONFIDENTIALITY POLICY

PURPOSE

This policy describes the general and specific QACE confidentiality requirements.

APPLICATION

This policy applies to all QACE staff and QACE Members.

PRINCIPLES

This policy implements the QACE confidentiality requirements forQACE staff and QACE Members.

The European Union Regulation (EC) No 391/2009 requiresinformation to be reported which may affect ship safety.

Outside of confidential information QACE has a policy of transparency regarding its activities. As much as possibleinformation about QACE and the scope and results of QACEactivities is posted on the QACE website www.qace.co

REQUIREMENTS

1. QACE Staff

All QACE staff are required to maintain as confidential all information regarding QACE and the QACE Members except wherethe information is either required as described in the Principals orhas been discussed in advance with the Member concerned. All such information is to be advised in confidence to the QACE Boardvia the QACE Secretary General.

1.1 QACE Directors

QACE Non-executive Directors are required to sign a Confidentiality Statement included in the contract as Annex A.

1.2 QACE Assessors

As sub-contractors the QACE Assessors and other sub-contractorsare required to sign a Confidentiality Statement, which is includedin the contract as Annex B.

Attending audits the Assessor will restate the confidentialityrequirement at the opening meeting

1.3 QACE Members

QACE Members are required to maintain as private all confidentialinformation concerning QACE activities, outside of that which ispublished on the QACE website, or which has been discussed andagreed by QACE.

2. Individual Recommendations (IRs)

Refer to the QACE process 03-04 which describes theconfidentiality requirements with regard to IRs.

3. Board Meeting s - Confidential Report

Refer to the QACE process 02-05 which describes the BoardMeeting Confidential Reports.

4. Documents and Data Protection

All work-related data and documents are protected by securepassword protected access. Any hard copy documents are securedin locked cabinets and draws

RECORDS

- Sub-contractor contracts Annex B- Directors contracts Annex A- Board Meeting Confidential Reports

http://www.qace.co/



QACE Process 02-01: Roles & Responsibilities

Information about this Process

Procedure No.: 02-01

Version: 4.0

Approved Date: January 2018

Prepared: QACE Secretariat

Approved: QACE Board of Directors

1. QACE Directors

1.1 In conjunction with 16.5 and 16.6 of the Articles of Association:

• At least two Members of the Board are tobe domiciled in Asia and/or the Americas,

• At least two Members of the Board domicile inEurope, and at least two Members of the Board

represent flag or Port States and

• At least two Members of the Board represent the

international maritime industry Associations, andmarine insurers or P&I.

1.2 Directors are eligible and are elected according to Articlesof Association (AoA) Chapter 16 and Clause 14.5. The rulesof proceedings and administrative powers of Directors aregiven in the AoA Chapter 17 to 20.

1.3 The Board of Directors are responsible, with the Secretary General, for QACE quality and risk management.

1.4 Existing Board of Directors whose term is expiring at the endof the final year of a term and are eligible for reappointmentshall be queried, by the Secretariat during the final year oftheir term (no later than June) and, if willing to continue toserve, are automatically entered into the election process.

1.5 Before the election of new Directors a nomination shall be arranged. The nomination shall be conducted by the President. Nominations can be proposed by the Members. Interested Parties may propose nominations by invitation from the President. The Secretariat assists the President in the nomination process.

1.6 The Director’s Election Committee (DEC) chaired by thePresident and including one Member, is to ensurecontinuation of the Board, recognising that with a smallBoard and staggered terms of office, Directors need to beidentified in good time to ensure the Board maintains thehighest levels of competence and knowledge of QACEactivities at all times. The DEC and members areresponsible for the timely identification of candidateDirectors and their nominations.

1.7 All nomination shall include a complete CV for thenominee. The CV shall address the issues related to AoAClaus 16.2 and 16.3. The Secretariat shall review the CV forall nominees and deliver recommendations for eligiblenominees to the President. The Secretariat under this workmay request or seek supplementary information.

1.8 The Members will elect QACE Directors at the Annual General Meeting in closed session. The results of election of Directors are recorded in the AGM minutes.

1.9 The Secretariat will record changes of the QACE Directorswith Company House. The Secretariat will maintain records of:

− The Directors nominations and CV’s and associated correspondence.

− Directors contracts− A table of the QACE Directors Terms of Office− AGM minutes

QACE Roles & Responsibilities


2. Assembly President

2.1In conjunction with 13.6.8 of the AoA, the following guidelineshave been agreed for appointment of the President of theAssembly.

2.2 Generally, all Members Representatives shall have anopportunity to serve as President in a cycle. The sequence shallnormally follow the alphabetical listing of the Members. NewMembers will be added to the end of the rotation sequence asthey join the organization.

2.3 At the time a Member’s Representative is due for thePresidency that Member may elect to:

• Accept by Resolution their term for the Presidency,• Decline (skip in that cycle) their term for the

presidency,• Exchange that turn with another Society who has

not yet served in the cycle.

2.4 The Presidency elect shall declare his/her preference toserve one or two years, or consider a second year after aone-year term.

2.5 If a President cannot or is not willing to finish the term, thePresident shall advise the Members in writing and themembers shall proceed to consider the next eligible RO onthe list

3. The Secretary General

3.1 The Secretary General (SG) is appointed by the Directorsaccording to AoA Clause 18.1.2. The SG has the power andexecutes the duties as stated for the AoA.

3.2 The SG reports to the Board of Directors. The SG isappointed and acts as the organisation’s ManagementRepresentative as defined in ISO 9001 2015 clause 5.5.2.

3.3 The Secretary General’s responsibilities are listed in theGuidelines for the work of the Secretary General (SG).

4. QACE Secretariat and contracted assessors

4.1 Administrative staff and contracted Assessors are appointedby the Secretary General after consent by the Board. Theconsent shall be based on the Secretary General’srecommendation regarding need, budget allowance andcompetence.

4.2 The appointment is confirmed by an employment contractsigned by both parties, specifying work, work conditions andremuneration conditions.

4.3 Administrative staff and Assessors report to, and carry out work as directed by the Secretary General.

4.4 Contracted Assessors will in addition be directed by the QACE Quality Management System (QMS).

4.5 The Technical Expert is responsible for the training of theAssessors, and the QACE Audit Requirements Project.

5. Bank Account

5.1 Authority for the registration and authorisation of QACEpayments from the bank account are outlined in Table1. All expenditure over £3,000 must be authorised by another party.

5.2 The Financial Audit Committee (FAC), chaired by thePresident and made up of two Members and a Board nominatedQACE Director is responsible for processing any clarificationsregarding QACE accounting and the Income & Expenditureinformation that is provided after all Board Meetings

5.3 It is especially important that the draft annual Work Planand Budget and any associated recommendations are providedto the FAC by the Secretariat in advance of the AGM and in timefor any questions from the Members to be processed betweenthe FAC and QACE. This process is designed to ensure theMembers have all the necessary information at the AGM in orderto approve the Budget.

2



Table 1: QACE Access to Account

R: Registration

A: Authorisation

Payment type Accountant SecretaryGeneral

Board Chairman

Board Director

AdministrationManager

RemunerationSalary SG

R A A R

RemunerationDirectors

R A

Fees & expensesAssessors

R, A R, A

Travel expenses SG

R A A A

Travel expenses AM

A A A R

Travel expensesDirectors

R, A R, A

Office supplies R, A R, A

Equipment R, A R, A




Version: 4.0




PURPOSE

To describe the QACE Membership criteria and process.

1. REFERENCES

1.1 Members are EU Recognised Organisation’s (ROs) asdefined in the QACE Articles of Association (AoA) Part 3,Section 6 and are listed and published in the QACERegister of Members.

1.2 Members become Members and terminate membership byprocedures described in the AoA and in the QACE process03-01 Certificate of Compliance.

2. METHOD

2.1 Membership applicants are organisations not recognisedby the European Union (EU) but who have requestedrecognition.

2.2 As part of their preparations to be QACE Members theapplicant EU RO is to advise QACE of their request to theEU for recognition.

2.4 The organisation is to apply QACE process 03-01 ‘Certificateof Compliance’. When the applicants ACB has provided theannual audit plan QACE will select the audits it will attend forassessment.

2.5 Applicant Members are to be invited to attend General Assemblies but cannot vote on Member’s Resolutions.

3. FINANCE

3.1 Before initiating assessments agreement is to be obtainedfrom the RO for payment of assessment fees and expenses.

3.2 On confirmation of the EU’s recognition the new RO will be included in the next Members QACE subscription,which is invoiced in January and June of each year. Thesubscription is calculated on an equal division of theapproved budget between the Members.

3.3 All subscriptions must be paid within 30 days of the invoicedate. Failure to do so may result in interest of 0.5% perday the payment is late.

4. RECORDS

− List of Registered Members− Certificates of Compliance


QACE Process 02-02: Membership

2.3 QACE is required by the EU Regulation (EC) No. 391 2009 Article 11, 2 (b) to include requesting recognitionorganisations into the QACE assessment programme.


QACE Process 02-03: Qualification & Training



Version: 3.0




1. PURPOSE

Provide competent and trained staff to carry out assessments during the ACB audits of ROs, to assess the ROs and ACB’s performance, and draw conclusions regarding the RO’s quality management systems and support the QACE Secretariat’s activities.

Maintaining and improving the competence of staff through systematic updating and training.

2. APPLICATION

All QACE staff involved in Assessment activities.

3. METHOD

3.1 Competency

Background as one of the following:

- Marine engineer - Naval architect- Officer on-board seagoing ships- Flag Administration Inspector- RO Marine quality manager (see 3.3.2)

3.2 Experience (minimum 5 years):

Surveyor for new construction, ships in operation with an RO or flag Administration, having gained comprehensive knowledge and understanding of IACS and RO processes and objectives related to surveying inspection and plan approval, safety of life at sea, pollution prevention, ship security, required standards for seafarers and/or experience in system audits and/or experienced as a system auditor for ISO 9001 or ISM Code.

Cognitive skills: - Able to work independently or as a team- Comprehension of RO processes - Sound evaluation and judgment - Fluency in English language, verbal and written

Integrity: - Maintain strict confidentiality- Pragmatic and diplomatic

Ability to: - Draw up clear and objective reports- Conclude on the RO and ACB performance - Determine recommendations for improvements


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For all staff:

- Annual QACE meeting, experience exchange and informationon new requirements, at least a two day session annually.

- For Assessors regular participation in the QACE assessmentprogramme, assessing at least 4 audits annually.

- Continual self-study of new requirements, including, IMOnew and revised requirements, Subscription of News Lettersfrom selected ROs, IACS new and revised requirements, Flag Staterequirements as available on selected websites

- News from selected professional organizations in fields like:Naval architecture or marine engineering,

- New and revised Quality management and auditingrequirements

- New QACE Requirement Notice

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3.4.1 New Staff:

For new staff the Secretary General (SG) will review the applicant's CV and carry out an interview.

Practical tutored training during assessments with experienced QACE staff acting as trainers. Duration to be determined by the SG based on the new staff members previous experience and any feedback from the trainer regarding the trainees understanding of the QACE requirements and objectives.

Staff joining QACE after being IACS Observers do not require practical training. They are made aware of the QACE requirements and objectives, either during the QACE Assessor’s Meeting, or separately by the SG before taking up duties.

3.4.2 Staff that have not been qualified in the marine technical disciplines may not carry out assessments of Ships in Operation (SiO) and New Construction (NC) Vertical Contract Audits (VCAs).

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The SG carries out and records an Annual Performance Review of the Administration Manager (AM). The reviews are normally conducted in December of each year.

3.5.1 The AM’s reviews are based on:

− The SG’s review of the AM’s work during theyear.

− Any customer feedback.

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- CV curriculum vitae- Contracts- Records of attendance during Assessor Meetings - For new staff records of practical tutored training- Review of Assessment Reports





Version: 1.0




PURPOSEThis process describes and ensures management control of the financial processes.

APPLICATION This procedure applies to all financial controls not covered inthe Articles of Association, roles and responsibilities, and Travel Policy.

METHOD

1. All QACE monies are maintained in two accounts with thesame bank.The first account includes income and expenditure.

The second account includes the reserve fund (Reference AoA12.8).

The Board of Directors has to authorize in advance any withdrawal of money from the reserve fund: the Members areto be informed as soon as any need for a withdrawal arises together with the relevant reasons and amount.

At each meeting of the Board of Directors the withdrawals, if any,from the reserve fund and the balance of the reserve fundaccount are examined and reported in the meeting’s minutes asa part of the financial reporting

Replenishment of the reserve fund, if necessary, is to be includedin each year’s budget proposal.

No monies from the reserve fund will be reimbursed to Membersleaving QACE.

2. Banking System

The company uses QuickBooks banking system.

3. Bank Account Reconciliation

The Administration Manager (AM) is responsible for timely reconciliation between the cash entries made in theaccounting system, transactions made through the bank account,and explanation of any differences e.g. other transactions thathave not yet registered in either system.

The AM will verify that voided cheques, if returned, are appropriately defaced and filed.The AM will investigate any cheques that are outstanding overthree months.


QACE Process 02-04: Financial Roles & Responsbilites



The AM will attach the completed bank reconciliation to theapplicable bank statement, along with all documentation.

The reconciliation report will be reviewed, approved, dated, and initialed by the Secretary General.

4. Credit Card Policy and Charges

All staff members who are authorised to carry a QACE creditcard will be held personally responsible in the event that any charge is deemed personal or unauthorised. Unauthorised useof the credit card includes personal expenditures of any kind;expenditures which have not been properly authorised; meals,entertainment, gifts, or other expenditures which areprohibited by budgets, laws, and regulations, and the entities fromwhich QACE receives funds.

Full receipts for all credit card charges (not just credit card slips)will be given to the AM within three weeks of the purchase alongwith proper documentation. The AM will verify all credit cardcharges (apart from their own) with the monthly statements. TheSecretary General will approve the AM credit card charges. Arecord of all charges will be given to the Bookkeeper withapplicable allocation information for posting. A copy of all receiptswill be attached to the monthly credit card statement.Differences will be investigated and if necessary, reimbursed bythe credit card holder.

5. Division of Responsibilities

The following is a list of personnel who have fiscal and accounting

responsibilities:

As a general role, the beneficiary cannot authorize their ownexpenses or remuneration.

Board of Directors

1. Reviews the annual budget.

2. Reviews annual and periodic financial information.

3. Reviews Secretary General’s performance annually and establishes the salary.

4. The Director who is part of the Financial AuditCommittee is also authorised person on the QACEbank account

5. Two members of the board, one being the Chairmanand other the FAC representative, will be responsiblefor the contingency account.

Chairman

1. Reviews the annual budget.

2. An authorised person on the QACE bank account and contingency account.

3. Reviews and approves salaries for theSecretariat.

4. Reviews annual and periodic financial information.

5. Reviews and approves expenses made by theSecretary General over £3,000.

Secretary General

1. Reviews and approves all financial reports including

cash flow projections.

2. Sees that an appropriate budget is developedannually.

3. Reviews and signs all issued cheques and/orapproves cheques signing procedures.

4. Reviews and approves all expenditure including expense claims over (£3000).

5. Reviews monthly bank statements & credit cardreceipts, reviews for any irregularities, and reviewscompleted monthly bank reconciliations.

6. Oversees the adherence to all internal controls.

Administration Manager

1. Monitors assessment budgets.

2. Processes all inter-account bank transfers.

3. Assists Secretary General with the development of annual and program budgets.

4. Reviews all incoming and outgoing invoices.

5. Receives and opens all incoming bank statements.

6. Monitors and manages all expenses to ensure most effective use of assets.



Payment type Accountant SecretaryGeneral

Board Chairman

Board Director

Administration Manager

RemunerationSalary SG

R A A R

RemunerationDirectors

R A

Fees & expenses Assessors

R, A R, A

Travel expenses SG

R A A A

Travel expensesAM

A A A R

Travel expensesDirectors

R, A R, A

Office supplies R, A R, A

Equipment R, A R, A

R: Registration A: Authorisation

Table 1: QACE Access to Account

7. Oversees expense allocations.

8. Reviews revises and maintains internal accountingcontrols and procedures

9. Reviews all financial reports.

10. Overall responsibility for data entry into accountingsystem and integrity of accounting system data.

11. Processes reviews all payrolls and is responsible for all personnel files.

12. Reviews and manages cash flow.

13. Reviews and approves all expenses reimbursements under £3000.

14. Maintains general ledger.

15. Prepares monthly and year-end inancial reports.

16. Reconciles all bank accounts.

17. Manages Accounts Receivable.

18. Reviews and approves all reimbursements and fundrequests.

19. The AM will use the approver’s checklist of key itemsto be checked on both expense and assessment feeclaims.

20. Assessors will also be required to submit evidence ofthe exchange rate used in the expense claim (e.g., rateon a credit card statement).


Information about this ProcessProcedure No.: 02-05

Version: 3.0




PURPOSE

The process describes the management and results of

Board Meetings.

METHOD

1. PLANNING

The Board of Directors plan the dates and venues for futureBoard meetings at least one year in advance of the subject

meeting.

The Secretary General (SG) agrees the proposed agenda for the next Board Meeting with the Chairman of the Board and

calls for the meeting at least two weeks prior to the meeting

with the proposed agenda.

Under the QACE Articles of Association at least three Board

Meetings are required annually. Board Meetings are, however, generally held four times a year, but are not required or limited to that number or periodicity.

2. AGENDA

Each Board Meeting’s agenda includes:

- Approval of the agenda,- Approval of the previous Board Meeting’s minutes,- Conflict of Interest- Financial: Income and Expenditure (I&E) Report, year-on-

year budget and major cost centre comparison graphs- Confidential Report - closed session. The results of

Assessment visits and delivered Individual

Recommendation (IR) visits since the last Board Meeting

- Review of the Action Log- Director’s Terms of Office

January meeting:

Regular agenda items:

- Discussion and actions from the previous year’sAssessment Programme,

- Approve the year’s annual Assessment Plan,- Annual Management Review (including Objectives and

KPIs),- Feedback from the annual Assessor’s Meeting,- Initiation of the Annual Report.

May/June meeting:

- Half year Assessment programme and approval of theFinancial Audit.

September/October meeting:

- Preparation for the Annual General Assembly (AGM),- Preparation for the Accredited Bodies(ACB’s) End-

- User Workshop (EUW)


QACE Process 02-05: Board Meetings


02-05 Board Meetings

November meeting:

The meeting is in two parts, before the AGM and immediately

after the AGM:

- Preparation for and actions from the AGM,- Welcoming any new Board member and

Assembly President.

3. MEETINGS

3.1 A quorum for the meeting is three Directors. ThePresident attends and contributes representing theMembers but does not have a vote.

3.2 The minutes the meeting, recording actions,responsibilities and timings on the Action Log.

4. FOLLOW-UP

4.1 A draft of the Board Meeting minutes is reviewed bythe Chairman and President and distributed to theBoard within one month of the meeting.

4.2 The Board agree the minutes within one month ofreceipt from the Secretariat. The QACE Presidentdistributes with the I&E Report to the Members within

one week of the Board’s approval.

4.3 The minutes are posted to the document store onthe QACE website www.qace.co

5. RECORDS

- Board Meeting call for agenda and proposed agenda- Board Meeting Minutes- Directors Terms of Office- Associated documents as described in the minutes

(but including agenda, previous meetings minutes,financial report)

- Closed session: Confidential Report- Action Log

http://www.qace.co/

− Customer feedback,

− Status of preventive and corrective actions,

− Changes that could affect the quality management system,

- Process, Quality Objectives and KPI performance,

- Risk assessment,

PURPOSE

This procedure describes the process of the QACE Board of Director’s annual review of the QACE Quality Management

System(QMS).

1. PROCESS

The Directors of QACE shall conduct a review of the QACE QMS annually in a meeting to be held normally in January

each year, but not later than March.

The Secretariat shall prepare the input to the ManagementReview. The input to management review shall include, but not be limited to, information on:

− Follow-up actions from previous management reviews,

− Results of internal and external audits,

- Recommendations for improvement

including recommendations for revisedQuality Policy

- QACE Assessment results

Conformity to procedures and standards,

The output from the Management Review shall include any decisions and actions related to:

- Customer focus,- Identification of risk and risk mitigation,- Identification of opportunities and associated actions,- Improvement of the effectiveness of the QMS and itsprocesses,

- Improvement of procedures related to changes ininternational or industry standards, statutory and regulatory requirements, or identified needs for changing requirements, and- Resource needs.

RECORDSAssociated Board of Directors (Management Review) meeting minutes.


Information about this ProcessProcedure No.: 02-06Version: 3.0


Prepared: QACE Secretariat Approved: QACE Board of Directors


QACE Process 02-06: Management Review



QACE Process 02-07: Customers



Version: 3.0




PURPOSE

This process defines the QACE customer groups, theirrelationship with QACE and how QACE ascertains customerperception of the standard of the services and products itprovides.

For the purposes of the QACE QMS, interested parties as definedunder clause 2 ISO9001:2015 are considered QACE customers.

1. CUSTOMERGROUPS

• Members and applicant members

• European Commission DG Mobility & Transport

• Flag States

• International Maritime Organisation (IMO)

• The marine industry

• Accredited Certification Bodies (ACBs)

• Public at large

1.3 As such both parties the QACE Members (ROs), ApplicantMembers and the European Commission DG Mobility &Transport are QACE’s main direct customers.

1.4 The Commission and the Members/ Applicant Membersexpectations for QACE is in achieving compliance withRegulation No. (EC) 391 2009 and QACE has this as itsmain objective.

1.5 In QACE’s oversight, assessment and certification of theRO’s Quality Management Systems it is well placed withorganisations like the world’s Flag States, the International Maritime Organisation, the marine insurance and P&Icompanies and the companies that work with or have aninterest in RO performance and how they are audited.

1.6 To that end the effectiveness of the assessment programmereported in the QACE Annual Report and including the QACECollective Recommendations is important and its success isanother major QACE objective.

1.7 QACE reviews customer focus, risks and opportunities during the annual Management Review.

1.8 Customer complaints, appeals and compliments aremanaged in accordance with process 02-08.

2. CUSTOMER SATISFACTION

2.1 QACE distributes its Annual Report widely. QACE will survey the recipients of the Annual Report at two yearly intervals.

2.2 Compliments and positive feedback shall be recorded inthe ‘Customer Feedback’ email folder.

QACE as a Community Interest Company (CIC) is a not forprofit organization set up by the international organisationsrecognised by the European Union to undertake marineinspection services on behalf of the Member Flag States.

The ultimate goal for the customer group is for QACE, through the assessment and continuous improvement of the Member’s management systems, to promote safeships and clean seas.



QACE Process 02-08: Customer Feedback, Complaints & Appeals



Version: 3.0



PURPOSE

This procedure describes the process related to customer feedback, complaints and appeals.

1. APPLICATION

Feedback is information about reactions to a product, a person's

performance of a task, etc. which is used as a basis forimprovement.

Complaints are statements of dissatisfaction with the work orproducts of QACE. Complaints can be written or oral. They

may be delivered directly by post, email or message to QACEoffice or to QACE employees, subcontractors while on work

for QACE or to Directors of QACE. Complaints may also be

delivered indirectly by statements in the press, in web---basedsocial media, blogs etc.

Appeals are formal requests to change a decision taken by theSecretariat or the Board.

2. METHOD

2.1 Complaints shall, without unnecessary delay, be

conveyed to the QACE Secretary General (SG) togetherwith information on the complainer, relevantcircumstances for the complaint and possiblebackground information.

2.2 The SG shall, without undue delay clarify the factualcircumstances to determine the causes of the complaint.If there is a reasonable cause for the complaint, the SGshall initiate corrective and preventive actions.

2.3 If the complaint is directly on the behaviour or work of the SG, the complaint shall be dealt with by a Committee

appointed by the Board (AoA Clause 18.1.3).

2.4 The complaint is investigated including a root---cause

analysis.

2.5 The complainer shall be informed that the complaint has

been received, the main result of the investigation and a

summary of resulting actions taken.

2.6 Appeals shall be dealt with by a Committee appointed bythe Board. There shall not be more than two Directors asmembers in the Committee. The SG attends themeetings of the Committee.

2.7 The Committee shall clarify the factual circumstances forthe appealed decision and consider the arguments forthe appeal.

2.8 The Committee shall then make a full report to the Boardwith their recommendation.

2.9 The Board decides on the appeal by ordinary resolution.


02-08 Customer Feedback, Complaints& Appeals

3. FEEDBACK

3.1 Feedback can be the result of customer surveys orgeneral feedback which is received verbally or in writing.

3.2 A customer survey will be held biennially to raise

awareness of QACE activities and to determinestakeholder perception of the effectiveness of QACEactivities and the quality of QACE products.

4. RECORDS

Electronic ‘Customer Feedback, Complaints & Appeals’ emailfile containing:

− Record of complaint/appeal− Records of investigations/clarification of

factual circumstances/root cause analysis− Records of decisions of corrective and possible

preventive actions− Record of information sent to the complainer− Customer survey and feedback


1.2 Internal audits will be held by a competent person, eitherthe Administration Manager (AM), Secretary General (SG) orone of the subcontractors. All audits will include focus areas assigned by the SG based on risk and opportunities consideration. The focus areas and scope of the audit willbe included in the audit report.

1.3 The audit will normally be carried out over one or twodays but at least annually and, depending on the processes to be audited and the availability of the records, willnormally be during a visit to the QACE office, but can be

held remotely.



Version: 3.0




PURPOSE

Internal audits shall be conducted at least annually to:

- To confirm that the QMS and its processes comply

with the ISO 9001:2015 requirements.- That the organization complies with its own

requirements. - That any corrective and preventive actions have

been effectively implemented.- To identify opportunities for improvement.

METHOD

1. PLANNING

1.1 The Secretariat shall audit during each calendar year.

2. AUDIT EXECUTION

2.1 The auditor shall consider the time allocation, scope of the audit indicating processes to be audited and thetypes of documents and records to be reviewed.

2.2 The auditor shall record details of the sample taken relate

to the QACE activities and processes under audit.

2.3 The auditor shall at the end of the audit give a verbalsummary of results and findings, including non- compliances and observations in relation to therequirements.

Major: a serious breach which may result in a customercomplaint

Minor: a lapse of discipline but will not result in acustomer complaint

OFI: based on the auditor’s experience a potentialproblem may exist but there is no objective evidence.For guidance only

2.4 The auditor shall provide a written Audit Report within10 working days after the audit. Template Annex 1

3. AUDIT FOLLOW-UP

3.1 The Secretariat is responsible for the findings root causeanalysis and assigning responsibilities and timings for thecorrective actions.


QACE Process 02-09: Internal Audits


02-09 Internal Audit

3.2 The auditor is responsible for reviewing and accepting thecorrective action evidence and for closing the Non- compliances.

3.3 The Secretariat is responsible for reporting the results of

internal audit to the Management Review.

4. CHECK

Subsequent internal audits will review the effectiveness

of finding corrective actions.

RECORDS

− The Internal Audit Plan− Internal Audit Reports and findings− Management Review

2

02-09 January 2019

Internal AuditReportQACE --- Entity for the Quality Assessment and Certification ofOrganisations Recognised by the European Union, CIC (QACE)

Audit Scope Location(s) Type here

Auditor(s) : Type here

Date(s): Type here

Audit days (nearest half day): Type here

Internal Audit Report

2PR 02-09 Annex 1 06 February 2015

1 / Executive Summary Severity of findings • Areas of Strength or Weakness

Type here to enter your comments

2 / Findings

Finding no: NC major/minor/OBSProcess:ISO 9001: 2008 or QACE QMS non compliant paragraph:Findingdescription:

Correction:

Correction date:Root cause analysis:

Analysis date: Corrective/Preventive Action (CPA) plan:

CPA planned implementation date:Accepted Internal Auditor: Date:CPA Effectiveness verified:

Finding closed by Internal Auditor: Date:

Internal Audit Report

3PR 02-09 Annex 1 06 February 2015

3 / Narrative Type here to enter your comments

Auditor(s) sign: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Date:

Note / QACE --- Entity for the Quality Assessment and Certification of Organisations Recognised by the European Union, CIC

(QACE) is a community interest and not---for---profit company. Its objective is to fulfil the requirements of its articles with

reference to the quality assessment and certification of recognised organisations. Therefore, QACE accepts no liability for any

loss, damage or expense as a result of any QACE error, omission, act of negligence or breach of duty.




Version: 3.0



PURPOSE

The procedure defines the controls and responsibilities

established to ensure that products, which do not conform to

requirements, are identified and controlled to prevent

unintended use or delivery. The procedure describes actions

to be taken to eliminate the causes of detectednonconformities to prevent recurrence and to eliminate

causes for potential nonconformities.

RESPONSIBILITY

The Secretariat is responsible for QACE deliverables andproduct and for actions to eliminate non-conforming results and to act to correct or replace the deliverable; finally toensure corrective actions and controls are in place to ensurecompliance

METHOD

1. PRODUCT

The main QACE products are:

− Annual Reports and Collective Recommendations,

− Individual Recommendations,

− Assessment Reports

− Certificates of Compliance

2. IDENTIFICATION

Products of QACE shall be identified by date of issue, and as

relevant with identification number. Version number is usedif the product (e.g. document etc.) is regularly revised.

3. NON-CONFORMING PRODUCT ACTIONS

3.1 If a product, an assessment or recommendation proves erroneous; the Secretariat shall without delay take actions to withdraw the reports or the erroneous assessment or recommendation statements to eliminate the defect. Any direct recipient shall be notified about the withdrawal. Web-posted products shall be removed andinformation posted to inform that the product iswithdrawn.

3.2 The report or the subject assessment or recommendations shall be corrected and the corrected version, properly identified, shall be distributed to the recipients without undue delay and with accompanying statement explaining the correction. Web-posted products shall be accompanied with a statement that the new product replaces the former.

3.3 The Secretariat can detect non-conforming product

through the product checking processes, monitoring of

assessment reports before deliver, internal and external audit and complaint activity.


QACE Process 02-10: Nonconforming Product & Corrective Action


02-10 Non-Conforming Product.Corrective & Preventive Action

4. CORRECTIVE MEASURES

4.1 If and when a defect is detected or reported, the mattershall be reviewed and analysed by the Secretariat inorder to determine the causes of the defect.

4.2 Based on the result of the analysis, an evaluation of theneed for actions to ensure that defects ornonconformities do not recur shall be made. Actions

shall be appropriate to the effects of the defect,complaint or nonconformity encountered.

4.3 Actions deemed needed shall be implemented without

undue delay.

4.4 The effectiveness of the corrective actions taken shall be

reviewed at least annually.

5. PREVENTATIVEMEASURES

5.1 When planning a new product an evaluation shall be

made to determine potential nonconformities and theircauses. The evaluation shall take into consideration theresults of any previous evaluation of nonconformities,

including complaints, their corrective actions, and theeffectiveness of actions taken.

5.2 Based on the result of the analysis, an evaluation of theneed for actions to prevent occurrence of

nonconformities shall be made. Actions shall be

appropriate to the effects of the potential problemsdetermined.

5.3 Actions deemed needed shall be implemented without

undue delay.

5.4 The effectiveness of the preventative actions takenshall be reviewed at least annually as part of theManagement Review process.

6. RECORDS

6.1 Erroneous products shall be clearly marked as such toprevent future use and maintained with the associatedcorrespondence concerning the subsequent actiontaken.

6.2 A record of the non-conforming product andassociated correspondence shall be retained in the‘Non-conforming Product’ email folder for discussionduring Management Review.


QACE Process 02-11: Design and Development

Purpose

This process describes methods by which the design and development aspects of the procedure undertaken by QACE are controlled and recorded.

Scope

This procedure applies to new products as well as changes and improvements of existing products.

Responsibilities

Responsibility for implementation of the procedure rests with the Secretariat.

Definitions

Design: Design is that element of the overall process undertaken in order to translate the specified requirements into a sequence of operations that will result in the development of a process for an output of which meets that requirement.



Procedure No.: 02-11 Version: 0 Approved Date: January 2019 Prepared: QACE Secretary General Approved: QACE Board of Directors

Validation: Validation of the design is conducted to ensure that the design deliverable is capable of meeting the specified requirements in all respects. In this respect validation may include review meetings.

Verification: Verification is that element of the design and development process by which it is demonstrated that the design outputs have met the specified input requirements.

Process

The Secretary General is responsible for initiating a process which meets the general requirements set out in this procedure.

Requirements for design and development

All design and development tasks must include the following:

Plan

• The functional and performance criteria are clearly specified.

• Specify the stages of the design and development process.

• Specify the requirements to review, verify and validate anyappropriate aspects of the design.

• Identify the responsibilities and authorities for design and development.

Input and output clarity

Clear and unambiguous input and output clarity from design and development tasks.

Input:

To design and development tasks must include provision for determining that it includes:

02-11 Design and Development


The input data must be reviewed and the results of the review must be recorded. Any flaws and or omissions must be identified and formal request for clarification/rectification made using the corrective action procedure.

Output

• Meet the specified inputs of the design requirements.

• Identify any elements of the output to which any specificoperational, or safety, requirements apply and reference anydocuments from which applicable information may beobtained

• Identify any intermediate ‘hold points’ for any required inprocess inspection, or verification, purposes.

• Clearly, and unambiguously, specify information for theprovision of services by others including the Assessors andTechnical Expert.

• Contain or make reference to acceptance criteria.

Review of design and development

Records of the results from all reviews, including any actions specified, will be made, circulated and retained in the on record.

Control of design and development change

All changes, in any element, of design and development must be recorded and be processed in accordance with 02-14 Control of Records.

Application

- Certificate of Compliance- QACE Audit Requirements- Annual Report

• The functional and performance criteria are clearly specified.

• The specification of applicable statutory, regulatory, andspecific requirements, and that access to the documentationis available.

• Information (lessons learned) derived from previous, orsimilar, designs or processes is available.




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Purpose

This process describes the control of business critical supplied

services.

Process

Business critical supplied services shall be undertaken by reputable companies assessed by the Secretariat and advised tothe Board.

The Financial Auditors are selected by the Secretariat and

proposed to the Members for election at the General Meeting.

The Secretariat shall, as far as possible, make investigations ofpossible providers and request tenders from at least two eligibleproviders.

After the Board’s decision the contract is signed by the Secretary General, and/or the Chairman of the Board and other Directors if required.

The continued use of a vendor shall be re-evaluated at intervals,at least each 5th year, or as the Board decides.

• Financial Auditor (appointed by Members, ref. AoA clause13.6.7)

• Legal Advisor

• Insurance Broker

• Bank

• Accounting

• Office Housing and services

• ISO: 9001-2015 certification

• IT web and email services

Records

- The List of Supplied Services companies- The supplied services contract- The review of supplied services providers


QACE Process 02-12: Data Control




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PURPOSE

This process describes the QACE record controls.

METHOD

1. General Records

1.1 QACE maintains a paperless office using Google Apps sincethe beginning of 2015. Previous hard copy documentation

has been scanned and is maintained on the QACE GoogleDrive file structure.

1.2 QACE legal obligations for retaining original and signeddocuments are maintained by the QACE law firm

Farrer&Co.

2. Specific Records

2.1 QACE has specific record requirements outlined in theArticles of Association (AoA) that are outlined in thisprocess.

2.2 Further specific record requirements are outlined in theassociated process document.

3. Members, Membership and General Meetings

3.1 Records related to Membership and General Meetingsshall provide evidence of requirements stated in the AoACh. 10 and 11, and in Companies Act.

3.2 Records of membership application, its execution by theorganisation and the approval by the Directors shall beretained. Signatures of the applicants to become Membershall be retained.

3.3 Records of Membership termination and the reasons fortermination shall be retained.

3.4 Records of appointment of authorised representativesshall be retained.

3.5 The most recent and valid register of Members shall beretained.

3.6 Records related to Membership and Membershipauthorisation shall be retained for the lifetime of theorganisation.

3.7 Minutes of any General Meeting (AGM or EGM), including any Resolution decided by the Members shall be retained in themeetings electronic email folder. Records of General Meetingsetc. shall be retained for the lifetime of the organisation. TheSecretariat is responsible for reviewing and maintaining therecords.


QACE Process 02-14: Control of Records


QACE Control of Records

4. Board of Director Meetings and decisions

4.1 Minutes of any Board of Directors’ meeting, of any Resolution decided by the Directors and of any proceedingsin accordance with AoA Ch. 17, shall be retained for 20 years.

4.2 Reports of any committee established by the Directors shallbe retained for 10 years.

5. Employees and subcontracted personnel

5.1 Records of applications for positions or engagements shallbe retained for 2 years.

5.2 Records related to each employee or subcontracted personshall be retained.

5.3 Personnel records are retained for 10 years aftertermination date.

6. QACE assessments

6.1 Working notes etc. from assessments of audits will bediscarded after 2 years. Assessment Reports are retained inperpetuity.

6.2 Annual assessment reports, including reports on general recommendations, are retained in perpetuity.

6.3 Individual recommendations and RO replies and associatedcorrespondence are retained in perpetuity.

8. Vendors and service providers

8.1 Contracts, agreements etc. and correspondence related tosuch with vendors or service providers are filed persupplier.

8.2 A list of vendors and service supplier shall be maintained.

8.3 Records of periodical evaluation of suppliers shall be kept. Periodicity will depend on volume and value of service.

9. Accounting

9.1 Incoming invoices shall be filed per vendor. Travel expenseclaims shall be made on designated form and supported withevidences of expenses attached. All claims must include theactual bill/ receipt and not just the credit card receipt.Proper authorisation of travel expense claims shall beretained.

9.2 Salary or fees payment records shall be filed per receiver.Authorisation of salary or fees payment shall be retained.

9.3 Records related to accounting shall be retained for 10 years.

10. Backup

10.1 The Secretariat shall ensure automatic back up is maintainedas part of the Google application.6.4 The Administration Manger is responsible for the

maintenance for all Assessment reports and relateddocuments as stated above.

7. Compliance Certificates

7.1 The member’s two-yearly Certificate of Compliance areretained in perpetuity.




Version: 4.0




Purpose

This process describes the control of business critical supplied

services.

Process

Business critical supplied services shall be undertaken byreputable companies assessed by the Secretariat and advised tothe Board.

The Financial Auditors are selected by the Secretariat and

proposed to the Members for election at the General Meeting.

The Secretariat shall, as far as possible, make investigations ofpossible providers and request tenders from at least two eligibleproviders.

After the Board’s decision the contract is signed by the Secretary General, and/or the Chairman of the Board and other Directorsif required.

The continued use of a vendor shall be re-evaluated at intervals, at least each 5th year, or as the Board decides.

Application

The following business critical services are subject to thisprocedure:

• Financial Auditor (appointed by Members, ref. AoA clause 13.6.7)

• Legal Advisor

• Insurance Broker

• Bank

• Accounting

• Office Housing and services

• ISO: 9001-2015 certification

• IT web and email services

Records

- The List of Supplied Services companies- The supplied services contract- The review of supplied services providers


QACE Process 02-15: Control of Supplied Services


PROCESS



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PURPOSE

This Process describes the circumstances in which QACE willissue, suspend, withdraw or reinstate the QACE Recognised

Organisation’s (RO’s) or organisations requesting EU

Recognition Certificates of Compliance.

REFERENCES

− The QACE Articles of Association

− The QACE Tripartite Agreement

− The QACE Feedback, Complaints and Appeals Process (03-06)

1. QACE CERTIFICATE OF COMPLIANCE

On completion of the QACE Secretary General’s (SG’s) positive

assessment and recommendation of the RO’s or organisationsrequesting EU Recognition compliance and, after the Board’s approval, the Secretariat shall issue a Certificate of Compliance

(CoC), stating compliance against:

“Assessment of the Quality Management Systems (QMS) of the

EU Recognised Organisations (ROs) in accordance with the

principals of ISO 19011:2011 ‘Guidelines for auditing

management systems’, through the witnessed application of

the ISO 9001:2015 and IACS Quality System Certification

Scheme (QSCS) requirements by ISO 17021:2011 accredited

certification bodies”.

1.2 QACE Certificates of Compliance shall be valid for twoyears to the end of the calendar year), generally issued in

conjunction with the RO’s or organisations requesting EURecognition Individual Recommendation visit. Thecertificates are signed by the QCE Chairman of the Boardof Directors and QACE Secretary General

1.3 The RO’s Certificates of Compliance are published on thewebsite and are stated in the Annual Report.

1.4 Where issued, QACE Certificates of Compliance shall remain valid or until suspended under section 4 of thisprocess. Continued compliance shall be formally

assessed during the Individual Recommendationsprocess.

2. COMPLIANCE ISSUES AND REMEDIAL PLAN

2.1 If the QACE Secretariat’s assessment concludes that theRO’s QMS and /or the audits carried out by the ACBas basis for their certification;

2.1.2 Are not in compliance with the standards or theQACE requirements or;


QACE Process 03-01: Certificate of Compliance


03-01 Certificate of Compliance

2.1.2 If the RO has not responded satisfactorily tofindings or recommendations, or

2.1.3 If a serious defect in the RO’s QMS are revealedduring the year,

2.2 The QACE SG shall advise the QACE Board of Directors,

with the reasons and recommendations.

2.3 The QACE Secretariat shall notify the RO and ACB in

writing of the perceived deficiencies and possiblesuspension of certification; and

2.4 QACE's recommendations and timetable for a plan of

action to remedy such deficiencies and corrective

actions (the Remedial Plan), which may include a

suitable period to allow the RO and ACB to take

remedial steps which may include the performance of additional audits.

2.5 The RO and ACB shall then implement the Remedial Plan.

3. CORRECTIVEACTIONS

3.1 During the improvement period the RO shall reportprogress.

3.2 The RO and ACB shall provide the necessary

documentary evidence and facilitate QACE assessment

as agreed in the Remedial Plan.

3.3 On satisfactory completion of the Remedial Plan theQACE SG shall inform the QACE Board of the results.

3.4 The Secretariat shall advise the RO and ACB of theresults. QACE may require that the effectiveness of thecorrective actions is monitored and assessed over time.

4. SUSPENSION

4.1 If the Remedial Plan is not satisfactorily completed andthe corrective actions evidenced as required, the SGshall advise the QACE Board of Directors and shall suspend the Certificate of Compliance.

4.2 The RO and ACB shall be advised accordingly.

4.3 A corresponding statement shall be published on theQACE web---site, and the Board shall inform Flag States

and interested parties, including the EU Commission, of

its decision.

5. REINSTATEMENT

The RO may request reinstatement of the Certificate of

Compliance. The request to be based on a detailed (TheReinstatement Plan) designed to evidence the RO’s meetingand maintaining the general compliance requirements andthe specific deficiencies identified under the suspensionnotification. The Reinstatement Plan is to specify how the ROwill evidence the effectiveness of the corrective actions overtime.

6. COMPLAINTS AND APPEALS

Any complaints or appeals with regard to this process shall be

dealt with in accordance with the QACE Feedback, Complaints and Appeals Process 02-08.


METHOD



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PURPOSE

This process describes the QACE assessment cycle based on

Plan, Do, Check, Act (PDCA) principles.

The process describes in detail the Assessor’s role and scope of activities for assessment visits and the inter---relationships withthe ACB and RO.

APPLICATION

The process is applicable to all QACE Assessors and staff, to

the Recognised Organisations (ROs), the AccreditedCertification Bodies (ACBs) and stakeholders interested in theassessment of ROs.

1. PLANNING

1.1 The annual required numbers of audits, based on each

organisation’s fleet size, is provided by IACS Operations

Centre. The ACB’s shall provide their annual AuditPlans by the end of the preceding year.

− The plans shall include:

− The office audit locations, dates and auditors,

− The New Build VCA locations, dates and auditors,

− The planned Ships in Service VCA locations, dates andauditors.

1.2 Unavoidable changes to the plan with the reason shall be

advised as soon as they are known.

1.3 QACE Lead Assessors (LA) take responsibility as a maincontact for a number of RO’s.

1.4 Assessor’s Meeting. The LAs attend a minimum two--dayAssessor’s Meeting in January or February of each year. The QACE team reviews each ACB RO’s audits using a risk- based approach in the selection of the audits to beattended.

1.5 The LAs advise the ACB and RO of the audits that QACEwill attend during the calendar year by February of thatyear.

1.6 Individual ACB Audit Plans shall be provided to QACESecretariat at least two weeks before the audit. QACEwill review and approve the plan within a week.

1.7 Where QACE is to attend an audit the QACE Assessorshall liaise with the auditor before the audit with any

QACE requirements. For office audits with an ACB auditteam, the QACE Assessor shall be involved with theplanning, by correspondence, phone or physicalmeetings.


QACE Process 03-02: Assessments

03-02 Assessments

2. ASSESSMENT VISITS

Opening Meeting

2.1 During the assessment, at the Opening Meeting, theQACE Assessor will introduce themselves and thedefined QACE role, objectives and scope of activityduring the assessment.

Audit Sessions

2.2 The Assessor shall select and attend the ACB’s auditsessions. The Assessor shall feedback to the RO and ACBafter each session with any additional QACE questions

and requirements. The RO shall ensure that a separatesession can be organised if required. Any potential QACE questions or findings shall be identified as such.

2.3 At the audit Close---Out meeting the QACE Assessor willconfirm any RO outstanding issues or findings.

3. REPORTING

ACB

3.1 The ACB shall provide QACE with an Audit Report withinthree weeks of all audits. The ACB shall provide auditreports for all the audits undertaken.

QACE

3.2 Assessors shall provide QACE Secretariat with an AuditFeedback Report, which includes the notes, referencesand Assessor comments from the audit.

3.3 Assessors shall provide a draft QACE AssessmentReport to the Secretariat within one week of the audit.The Secretary General (SG) will review and request

changes or approve the report.

3.4 Once approved the Secretariat shall provide theAssessment Report to the RO and ACB within three

weeks of the last day of the audit. The QACE Assessment

Report (template Annex 1) contains sections regarding

assessment of the RO and ACB performance. The reportwill contain any outstanding issues or findings.

Follow-up & Close Out

3.5 Where QACE findings have been identified they will bethe subject of separate correspondence from QACESecretariat.

3.6 QACE findings are maintained and controlled to

completion by QACE Secretariat.

3.7 Findings are likely to be included in the RO’s Individual Recommendations.

4. CONTINUAL IMPROVEMENT THROUGH ASSESSMENTS

4.1 The Secretariat maintains a Confidential AnnualAssessment Report with a summary of the assessment

visits held during the year. The report includes:

− Possible Collective Recommendations (CRs),

− Possible Individual Recommendations (IRs),

− Possible QSCS feedback,

− Best Practices (BPs),

− QACE outstanding issues and findings.

4.2 Confidential Assessment Reports are presented at theJanuary, June and October QACE Board of Director’smeetings.

4.3 Any Board decisions or actions are recorded in the finalreport and actions are included on the Boarding Meeting

Action Log.

4.4 IACS holds an annual November End---User Workshopfor the ACBs, ROs and the associated stakeholders in the

scheme. A QACE presentation highlights the results of

the QACE assessment year, comments on the schemesstrengths and weaknesses, critical issues, improvementsnoted during the year, necessary future improvementsand best practices.

4.5 In February of each year the SG submits a QACE QSCSReport to the IACS Quality Committee. The reportcontains QSCS feedback from the year’s QACEassessment programme:

- Possible changes to the requirements,

- Coming relevant QACE requirements that may be considered for inclusion,


03-02 Assessments

− Comments on the IACS planned changes to the scheme.

4.6 The results of the assessments are included in the QACEAnnual Report (03-05). The annual Collective

Recommendations for improvement are reported in

Annex C of the QACE Annual Report. The ROs arerequired to comment on their implementation of therecommendations each year and QACE monitorseffective implementation through the ROs Individual Recommendations.

RECORDS

- Tripartite Agreements- QACE Annual Assessment Plans- Annual QSCS QSCS Feedback- Assessment Reports (retained in perpetuity)- Audit Feedback Reports (retained for two years)- EUW PowerPoint presentations- QACE Annual Reports

CONFIDENTIAL

- BOD Confidential Annual Assessment Reports- Individual Recommendations



METHOD

1. GENERAL

1.1 The QACE annual Work Plan covers the calendar year 1stJanuary until 31st December.

1.2 QACE’s annual Budget covers the period from 1st

January until 31st December.



Version: 3.0




PURPOSE

This process describes the planning and delivery of the QACEannual Work Plan and Budget.

APPLICATION

The Members review the Work Plan. The Board of Directors(BoD) are responsible for approval of the Work Plan. The BoDare responsible for the review of the Budget. The Membersare responsible for the Budget’s approval.

The Secretary General (SG) is responsible for the preparation of

both the Work Plan and the Budget.

REFERENCE

Articles of Association Section 19. Work Plan.

2. PLANNING THE WORK PLAN

2.1 The SG will prepare the next year’s draft Work Plan to bepresented to the Board in their September or Octobermeeting. The Work Plan shall be based on the experience

from delivery the preceding year’s work plans and on any

planned changes and recommendations.

2.2 The SG, with the Board’s approval, may make changes but

will submit an approved Work Plan to the Members as

soon as possible after the third quarter Board meeting.

2.3 The Directors may agree to propose additional changes tothe Work Plan at their Board meeting preceding the AGM.These changes will be presented to the Members at theAGM under the agenda item.

2.4 The Board and the SG will consider any comments fromthe Members during the AGM.

2.5 In accordance with AoA Articles 18.1.9 and 19 the Boardwill approve the Work Plan during the AGM or at theBoard meeting, normally immediately after the AGM.

3. PLANNING THE BUDGET

3.1 The SG will prepare a draft Budget to be presented to the

Board in their September or October meeting. The draft Budget shall be based on the account for present and thepreceding year, prognosis for expenditures for the rest of

the accounting year, and on any changes the SG foresees or plans in the Work Plan or expenditure.

3.2 Based on the Directors proceedings in the meeting and

afterwards, a revised Budget is prepared and advised to

the


QACE Process 03-03: Annual Work Plan & Budget


03-03 Annual Work Plan & Budget

Members through the Financial Audit Committee (FAC)

as soon as possible after the September or Octobermeeting.

3.3 The FAC and members will review the proposed budget

and process any clarifications with the Secretariat beforethe AGM Resolution for approval.

3.3 The Directors may agree to propose additional changes

to the Budget at their Board meeting preceding theAGM. These changes will be presented to the Membersat the AGM when dealing with the Budget.

3.4 The Members will approve the Budget for the

forthcoming financial year in accordance with AoA

Articles 13.6.3 and 19 if thought fit.

3.5 The Directors will consider the approved Budget in theirmeeting(s) subsequent to the AGM (normally immediateafter the AGM and/or in January) to confirm that theBudget is consistent with the decided Work Plan.

3.6 If, in the opinion of the Directors, it will not be possible to

complete the decided Work Plan within the approvedBudget and available QACE funds, the Directors shall consider and eventually call for an EGM to seek approval for a revised Budget.

RECORDS

- Board Meeting minutes- Annual General Meeting minutes- Annual Work Plans- Annual Budgets




Version: 3.0



PURPOSE

To describe the QACE Collective and IndividualRecommendations processes.

REFERENCES

European Union Regulation (EC) No. 391/2009 Article 11 2 (d)

‘adoption of collective and individual recommendations forthe improvement of recognized organisations’ processes and

internal control mechanisms’

METHOD

1. COLLECTIVE RECOMMENDATIONS (CRs)

1.1 The Secretary General (SG) makes an analysis of theassessment reports and audit findings for a confidential report at each Board of Directors Meeting.

1.2 A draft sketch of preliminary conclusions for the year arepresented to and discussed at the October BoardMeeting. Based on the outcome of Board’s discussion,

and further audit assessments carried out, a

presentation is prepared for the annual End UserWorkshop (EUW). The preliminary report of assessmentscarried out and proposed Collective Recommendations

(CR) are presented.

1.3 Based on any feedback from the EUW, the remainingaudit assessments, a full analysis of findings and on any

other relevant information, including the responses fromthe previous year’s CRs the first draft of the AnnualReport is prepared and discussed at the January BoardMeeting.

1.4 The annual Collective Recommendations are finalised

and published as Annex C of the Annual Report no laterthan April of each year.

1.5 In September of each year the SG communicates with theMembers requesting their full and detailed commentswith regards to their organisations consideration and

handling of the issues associated with therecommendations. A reply is requested by the end ofOctober.

1.6 The responses are analysed and make up part of theconsideration for future Collective Recommendations.

2. INDIVIDUAL RECOMMENDATIONS (IRs).

2.1 IRs are developed by the Secretary General from theresults of assessments, trend analysis of audit findings,

responses from Collective Recommendations, Port State

Control detention statistics and other publicly availableinformation. The IRs identifies RO and organisations

requesting recognition strengths and weaknesses, any

potential needs for corrective actions and improvement

opportunities.


QACE Process 03-04: Collective & Individual Recomendations


03-04 Collective & IndividualRecommendations

2.2 IRs are presented to each of the RO every other year.The recommendations are provided to the Member atleast two weeks prior to the organised meeting.

2.3 The drafted IRs are discussed with the RO’s Lead

Assessor for any additional feedback.

2.4 The draft or delivered IRs are discussed at the firstappropriate Board Meeting during a Closed Session, not

attended by the QACE President.

2.5 The meeting is attended by the Members MarineManaging Director, members of the marinemanagement team as appropriate, the Quality

Representative and the QACE Chairman of the Boardand Secretary General.

2.6 The IRs and the meeting are confidential to QACE and

the Member, or organisation requesting recognition, although the Member, or organisation requesting

recognition, are encouraged to involve their ACB.

2.7 During the meeting each of the points are discussed in

detail. QACE requests a formal reply within three

months of the meeting.

2.8 The Member’s response is reviewed by the Secretary

General.

2.9 The RO’s and applicant RO performance and theeffectiveness of any actions in relation to the IRs arefollowed up at Head Office assessments which areorganised for the following year and from theassessment reports and audit findings over the period.

RECORDS

Collective Recommendations:

- QACE Annual Reports Annex C

- QACE request for Member’s comments andthe responses

Individual Recommendations:

- Individual Recommendations- Member’s responses- Applicant Member’s responses


METHOD



Version: 3.0



PURPOSE

This process describes the preparation and issue of the QACEAnnual Report.

APPLICATION

This procedure applies to the Secretariat and to the Board.

REFERENCES

EU Regulation (EC) No 391/2009 Article 11. 5. “The quality assessmentand certification entity shall provide the interested parties, including the flag States and the Commission, with full information on its annual work plan as well as on its findings and recommendations, particularly with regard to situations where safety might have been compromised”.

1. BASIS FOR REPORT

1.1 The Annual Report has as a minimum sections covering:

− Assessment Activities

− Main Findings

− Recommendations

− Relations with other Organisations

− Concluding Remarks

− Annex A -Elected Non-Executive Directors of the Board forQACE

− Annex B -Members of QACE-EU Recognised Organisations

− Annex C -(year) Collective Recommendations

1.2 The Annual Report is based on:

− Assessments of the ROs during accredited bodies (ACB)audits,

− Audit findings as issued, and their handling (proposedactions, evidence of actions and closing),

− Analysis of findings for each RO, across ROs for each ACB,across ACBs and across all findings,

− Assessed RO performance,

− Analysis of trends related to focus issues,

− Analysis of trends related to previously issuedrecommendations,

− Additional publicly available information, for example PortState Control (PSC) detention information.


QACE Process 03-05: Annual Reports


03-05 Annual Report

2. PLANNING AND ISSUE OF THE ANNUAL REPORT

2.1 Based on analysis of the above information compiled

until August/September of each year the Secretariat willmake a preliminary analysis and draw up potential mainfindings.

2.2 The information is presented and discussed at the BoardMeeting (normally) in October.

2.3 A presentation is made to the ACB End User Workshop.

In November which includes the preliminary MainFindings and possible Collective Recommendations.

2.4 Based on any feedback from the EUW and any furtherfeedback from the remaining year assessments and

audit findings a first draft of the Annual Report is prepared for discussion at the Board Meeting (normally)

in January.

2.5 The members are provided with a copy of the resulting

draft for a review of factual accuracy.

2.6 No later than April of each year final refinement of thereport and approval is dealt with by the Directors and

the Secretariat by correspondence.

2.7 On approval the report is formatted and distributed asrequired to the Flag Administrations and the EUCommission and to the European Maritime Safety

Agency (EMSA) and to other interest parties.

2.8 A limited number of printed reports are produced forfiling and special distribution. The report is made

publically available through a news feed and link to theQACE website www.qace.co.

RECORDS

- QACE Annual Reports.- Associated Board Meeting minutes- Associated correspondence

http://www.qace.co/


METHOD

QACE independence is ensured under the Articles of

Association. With the conditions of independence and formalrelationship established, a strong working relationshipbetween QACE and IACS benefits the community.

QACE adopts, in full, the IACS Quality Management SystemRequirements (QMSR) and the IACS Quality System CertificationScheme (QSCS).



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PURPOSE

To describe the QACE IACS working relationship andresponsibilities for the RO audit scheme.

REFERENCES

• EU Regulation (EC) No.391 2009• QACE Articles of Association• ISO: 9001 2008• IACS Quality System Certification Scheme (QSCS)• IACS Quality Management System

Requirements (QMSR)

QACE and IACS have agreed the following:

1. Two meetings a year in the spring and autumn.

2. Wherever possible provide joint annual Audit FocusIssues, to provide clear guidance to the ACB teamsand avoid duplication.

3. QACE’s involvement with annual January

mandatory auditor training course, through a

dedicated QACE trainer.

4. QACE annual February QSCS Feedback Report tothe IACS Quality Committee (QC) and IACSresponse by December of each year.

5. To share assessment and observation programmes

to, wherever possible, avoid VCA observationduplication.

6. QACE QSCS feedback presentation at the IACS

End-User Workshop.

RECORDS

− QACE & IACS Meeting minutes− QACE auditor training presentations− QACE Annual QSCS Feedback Reports and IACS responses− QACE Annual Reports


QACE Process 03-06: Working with IACS



METHOD

Tripartite Agreement: This Agreement has been entered into toclarify the relationship between QACE, ACB and RO in relation to

the assessment and certification of RO's quality management standards to provide QACE with the required degree of controlover the assessment and certification process. QACE maintains a

list of QACE approved ACBs, maintaining at all times control ofthe assessment and certification process. QACE cannot influence

the ACB’s impartiality and confidentiality in accordance with theISO 17021 requirements for bodies providing audit andcertification of management systems and 19011 guidelines forauditing management systems.

ACBOBLIGATIONS:


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1. ACB Programme Managers have direct contact to theQACE Secretariat.

2. ACB Audit Leader and a QACE Assessor, in accordance

with the terms of Clause 4 below;

3. The ACB’s submit the Annual Audit Plan in advance by

31 December each year for QACE review and possible

input, including all Head Office (HO), Control OfficePURPOSE (CO), Plan Approval (PA) and Survey Location (SL)

offices and New Build (NB) Vertical Contract Audits This process describes th e relation between QACE the (VCAs) (audit dates and locations) and planned ShipsAccredited Certification Bodies. in Service VCAs (locations and dates), (all as defined in

the IACS Quality Management System RequirementsAPPLICATION (QMSR) Scheme). QACE will review and possibly input

This procedure applies to the Secretariat and to the Board.

REFERENCES

EU Regulation (EC) No 391/2009 Article 11.4, “The quality assessment and certification entity may request assistance fromother external quality assessment bodies.”

to the Annual Audit Plan.

4. Provide each individual office Audit Plan for audit ofRO to QACE at least two (2) weeks prior to thescheduled date of the audit with subsequent updates as necessary, for the purposes of QACE review andcomment. QACE will review and provide any comments in accordance with the terms of Clause 3.2.3 below;

5. Make such amendments to any Annual Audit Planand/or individual Audit Plan as QACE reasonably


QACE Process 03-07: Working with the ACBs


03-07 Working with the ACBs

requests pursuant to QACE's review under Clause1.1.3 and/or 1.1.4 above, as applicable;

6. Allow and facilitate the participation of a QACEAssessor during each observed audit; the role of theQACE Assessor and terms of the QACE Assessor’sparticipation to be as set out in Clause 4 below;

7. Allow and facilitate the participation of the QACEAssessor in any planning meetings before the auditwhere more than one auditor is attending (but only

for (HO), (CO) and (PA) offices). For other smallersurvey offices, no such planning time is required as

long as the QACE Assessor is included in

communication between the auditors relating to

planning;

8. Include the specified Audit Focus Issues in allrelevant audits;

9. Provide QACE with a copy of any audit reports or audit summaries associated with the scheme,

10. Ensure that after each audit the IACS ACB database

is updated with the audit findings within two weeksof the last date of the audit;

11. Ensure the attendance of all ACB auditors (includingthose working on a sub---contracted or freelance

basis) at an annual Auditor Training Course.

QACE OBLIGATIONS:

1. QACE shall, by the end of February in each year,provide ACB and RO with a list of the audits, whichwill be attended by the QACE Assessor during thatyear. Where an audit is to be attended before theend of February will be the subject of earliercommunication.

a. Ensure that the QACE Assessor complies with theprovisions of this Agreement, including Clause 4(QACE Assessor) and Clause 10 (Confidentiality)below;

b. In each year, review the Annual Audit Plansubmitted by ACB under Clause 1.1.3 and

provide any comments to ACB within 4 weeks of receipt of the Annual Audit Plan;

c. Review the individual Audit Plan(s)

submitted by ACB under Clause 1.1.4 and

provide any comments to ACB within oneweek [of receipt]; and

d. Provide an Assessment Report to the ACBand RO within 3 weeks of the end of theobserved audit.

2. Where, having reviewed the ACB's Annual Statement of Compliance (where issued) and

supplementary Audit Report(s) and where theQACE requirements have been met, including

the Obligations of this Agreement QACE will retain the ACB on its list of approved ACBs.

3. Where QACE has: (i) indicated that it is satisfied

with ACB's audit(s) under Clause 3.3; and (ii) determined through its assessment of the auditprocess scopes and content that the RO has met

the (a) IACS QMSR requirements (as adopted byQACE), (b) the ISO:9001 requirements and (c)

the QACE requirements, QACE will issue the ROwith a QACE Certificate of Compliance.

4. Where QACE adjudges that either 3.3 or 3.4have not been met, QACE will implement theQACE Certificate of Compliance process 03-01

Section 2 Compliance Issues and Remedial Plan.

Individual annual meetings between each QACE and theACB to highlight trends during the Assessment Programme

year, general and individual good practices and areas for

improvement.

RECORDS

− QACE Annual Reports− Tripartite Agreements − Associated correspondence

− Meeting minutes− Annual audit plans− Individual audit plans and reports

2



Procedure No.: 03 08Version: 1




PURPOSE

This process describes the preparation, approval and issue

of QACE Requirement Notices (QRN).

APPLICATION

For application within the Accredited Certification Bodies(ACB) audits.

REFERENCES

EU Regulation (EC) No. 391/2009 Article 11:

The quality assessment and certification entity shall carry

out the following tasks:

2.(C) issue of interpretations of internationally recognised

quality management standards, in particular to

take account of the specific features of the nature

and obligations of recognised organisations.

3. The quality assessment and certification entity shall

have the necessary governance and competences to

act independently of the recognised organisations

and shall have the necessary means to carry out its

duties effectively and to the highest professional

standards, safeguarding the independence of the

persons performing them. The quality assessment

and certification entity will lay down its working

methods and rules of procedure.

METHOD

During the course of its assessment activity the QACESecretariat may identify potential new requirements. Thepotential requirements are discussed as necessary with theQACE Assessors and brought to the next convenient QACEBoard meeting for approval.

1.1 QACE takes every opportunity to incorporate newrequirements into the IACS QSCS, by their inclusion inthe Annual QACE QSCS Feedback Report to the IACSQuality Committee.

1.2 QACE has different objectives from IACS and is duty bound

to maintain its independence from the ROs and RO’s

associations. On occasion, separate QACE requirementsmay need to be implemented.

1.3 New requirements are likely to be the subject of audit ofthe RO’s by the ACBs and, while still retaining itsindependence,


QACE Process 03-08: QACE Requirement Notices


QACE Requirement Notices

and to ensure all points are considered, QACE may seeka consultation period before issue and implementation of

the requirement.

1.4 Once approved by the Board and the requirement isdeveloped into a QACE Requirements Notice (Appendix A).

1.5 QRNs are issued under an email notification to the ACBsand RO’s and are posted on the QACE website qace.counder the Documents page QACE Requirements Notices.

1.6 QACE makes every effort to co-ordinate the annual auditfocus areas with IACS, but will issue its own audit focusissues under a QRN when considered necessary.

1.7 If IACS include the requirement into QSCS the QACEQRN may be withdrawn.

RECORDS

- Relevant Board meeting minutes- QACE Requirements Notices- qace.co- Documents- Quarterly Notice Requirements