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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: 1.1 Approved Date: 6th February 2015 Prepared: QACE Executive Secretary Approved: QACE Board of Directors

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CONTENT

1/ Scope of Activities 2/ References 3/ Legal Statement 4/ Manual Administration 5/ Glossary

01 POLICIES

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

02 MANAGEMENT PROCESSES

02-‐01 Roles & Responsibilities 02-‐02 QACE Membership 02-‐03 Qualification & Training 02-‐04 (blank) 02-‐05 Board Meetings 02-‐06 Management Review 02-‐07 Customers 02-‐08 Complaints & Appeals 02-‐09 Internal Audits 02-‐10 Nonconforming Product 02-‐11 Corrective & Preventive Action 02-‐12 Document & Data Control 02-‐13 Purchasing 02-‐14 Control of Records 02-‐15 Control of Supplied Services

03 OPERATIONAL PROCESSES

03-‐01 Certificate of Compliance 03-‐02 Assessments 03-‐03 Annual Work Plan & Budget 03-‐04 Collective & Individual Recommendations 03-‐05 Annual Report

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1 / SCOPE OF ACTIVITIES

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 9001:2008 and IACS Quality System Certification Scheme (QSCS) requirements by ISO 17021:2011 accredited certification bodies.

2 / REFERENCES

EXTERNAL:

• The European Union Regulation (EC) No 391/2009• ISO 9001:2008• ISO 19011:2011• IACS Quality System Certification Scheme (QSCS)• IACS Quality Management System Requirements (QMSR)

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 9001:2008

Table of ISO 9001:2008 Clauses & related QACE processes

ISO 9001 2008 Clause

QACE process

4.1 01

4.2 02-‐12

5.1 02-‐06

5.2 02-‐07

5.3 01-‐01

5.4 03-‐02

5.5 02-‐01

5.6 02-‐06

6.1 03-‐02

6.2 02-‐01 6.3 01

6.4 01

7.1 03-‐02

7.2 02-‐07

7.3 n/a

7.4 02-‐13

7.5 03-‐02

7.6 n/a

8.2 03-‐02

8.3 02-‐10

8.4 03-‐04

8.5 02-‐11

IACS Quality System Certification Scheme (QSCS).

QACE has completed a Procedural Review Project (PRP) in December 2014 in the development of the QMS. The PRP included the applicability and any exceptions to the International Classifications Societies (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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3 / 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:

1, Lyric Square, Hammersmith London W6 0NB Telephone: +44 (0)20 3178 2301 Website: www.qace.co The Company Number is 7455733.

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

4 / MANUAL ADMINISTRATION The manual is amended as when necessary by the Executive Secretary. 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

06 Feb15

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4/ GLOSSARY

ABS American Bureau of Shipping ACB Accredited Certification Body BSI BV

The British Standards Institution [Certification Body] Bureau Veritas

CCS China Classification Society CIC Community Interest Company [Not for

Profit] CO CR CRS

RO Controlling Office Collective Recommendations Croatian Register of Shipping

DEKRA DEKRA Certification GmbH [Certification Body]

DNV GL AS Det Norske Veritas Germanischer Lloyd AS

DQS DQS GmbH [Certification Body] EC European Commission EMS Environmental Management System EMSA European Maritime Safety Agency EU EUW

European Union IACS ACB Auditor End User Workshop

HO HSO

RO Head Office Health & Safety Officer

IACS International Association of Classification Societies

IACS PR IACS Procedural Requirements IACS UI IACS Unified Interpretations IACS UR IACS Unified Requirements IAF International Accreditation Forum, Inc. IAF MD IAF Mandatory Document IMO IRS IR

International Maritime Organization Indian Register of Shipping Individual Recommendation

ISM International Safety Management Code ISO International Organization for

Standardization ISPS KPI

International Ship and Port Security Code Key Performance Indicator

KR Korean Register of Shipping LR Lloyd’s Register of Shipping NC NGO

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

NK Nippon Kaiji Kyokai OB OHS

Audit finding graded as Observation Occupational Health & Safety

PA PRP PRS

RO Plan Approval Centre Procedure Review Project Polski Rejestr Statków S.A (Polish Register of Shipping)

QMS Quality Management System QO QSCS

Quality Objective IACS Quality System Certification Scheme

RINA RINA Services S.p.A. RO Recognised Organisation

RS

Russian Maritime Register of Shipping

SAI G.

SAI Global Limited [Certification Body]

SGS SGS S.A. [Certification Body] SL TL

RO Survey Location Türk Loydu

UTM Ultrasonic thickness measurement VCA ZSJZ

Vertical Contract Audit Zakład Systemów Jakości i Zarządzania [Certification Body]

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01-‐01 QACE QUALITY POLICY & OBJECTIVES

PURPOSE

It is the purpose of this policy to manage and continuously improve QACE performance through the setting of Key Performance Indicators (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 9001:2008 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 management

systems of Recognised Organisations, in accordance with the ISO 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 the specific features of the nature and obligations of Recognised Organisations; and

adoption of individual and collective recommendations for the improvement of Recognised Organisations' processes and internal control mechanisms,

which are stated in Article 11 of the Regulation;

to carry out any other activities consistent with QACE's status as a community interest company as determined by the Directors from time to time and set out in the Annual Work 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 Performance Indicator(s) (KPIs).

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

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

2.5 Where KPIs have not been met the Board’s associated comments and actions are recorded in the Board meeting minutes.

3. RECORDS

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

-‐ January Board meeting Annex A -‐ Objectives

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01-‐02 OCCUPATIONAL HEALTH & SAFETY (OHS) POLICY

1. 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.

2. QACE OSH POLICY

QACE is committed to:

• Complying with the applicable health and safety legislation.

• Ensure employees are OHS aware.

• Providing adequate resources (e.g. Personal Protective Equipment (PPE)) to allow the aspects of work that they observe to be undertaken safely.

• Requiring that adequate resources are provided by ROs and other worksite controllers to allow work to be undertaken safely.

• Giving their employees the right and responsibility to refuse to conduct work they consider to present an unacceptable risk until it is safe to do so.

• Recognising, adopting, developing and promoting best practices within the industry.

3. SHIP & SHIP YARD VISITS

3.1 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.

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

3.3 It is the RO’s responsibility when Assessors are attending on-‐board and during works visits that they comply with the relevant local applicable health and safety and work site requirements.

3.4 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.

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

3.6 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.

3.7 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.

3.8 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.

3.9 Safety issues are required by Regulation (EC) No.391 2009 Article 11, 5 to be reported, particularly where findings and recommendations include situations where safety may have been compromised

4. OFFICE

General staff responsibilities, all staff must: v Take reasonable care for their own health and safety

and that of others who may be affected by their acts or omissions;

v Co-‐operate with the Health and Safety Officer (HSO) (Alima Kamara) to enable compliance with health and safety duties and requirements;

v Comply with these health and safety instructions and rules;

v Keep health and safety issues in the front of their minds and take personal responsibility for the health and safety implications of their own acts and omissions;

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

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

v Co-‐operate in the QACE's investigation of any incident or accident which either has led to injury or which could have led to injury, in the QACE's opinion.

Staff responsibilities relating to accidents and first aid, all

staff must: v Report any accident at work involving personal injury, to

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

v Familiarise themselves with the details of first aid facilities and trained first aiders, which are displayed on

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the notice board. v If an accident occurs, dial the reception and ask for the

duty first aider, giving name, location and brief details of the problem.

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

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

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

v Comply with the instructions of fire wardens if there is a fire, suspected fire or fire alarm;

v Co-‐operate in fire drills and take them seriously (ensuring that any visitors to the building do the same);

v Ensure that fire exits or fire notices or emergency exit signs are not obstructed or hidden at any time;

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

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

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

v 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: v Remain calm and immediately evacuate the building,

walking quickly without running, following any instructions of the fire wardens;

v Leave without stopping to collect personal belongings; v Stay out of the lifts; and v 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

v Risk assessments are simply a careful examination of what in the workplace could cause harm to people. QACE will carry out general workplace risk assessments when required or as reasonably requested by staff.

v Staff who use a computer for prolonged periods of time may request a workstation assessment by contacting the HSO. Guidance on the use of display screen equipment can also be obtained from the HSO.

Any breach of health and safety rules or failure to comply with this policy will be taken very seriously and is likely to result in disciplinary action against the offender, up to and including immediate dismissal.

5. RECORDS

-‐ Management Review Board Meeting minutes. -‐ Incident Log

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01-‐03 QACE TRAVEL POLICY

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 Executive Secretary, 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 principles are based on trust, flexibility, and transparency for the reimbursement of fair and reasonable costs for travelers on business.

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 Executive Secretary and Directors of the Board haveblanket authority to travel for QACE business.

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

6. TRAVEL FORMS AND RECEIPTS

6.1 The QACE Travel Expenses Form shall normally be used. If not feasible 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 the traveler indicates the receipt was lost, accidentally destroyed, or unobtainable.

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

7. INSURANCE

Employees and sub-‐contracted Assessors travelling on QACE business, the traveler may be provided with protection, subject to the 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, economy class tickets (redeemable/changeable) should be used. If a business class ticket is comparable in price and no more than 20% above an economy class ticket (redeemable/changeable), then a business class ticket may be used.

-‐ The standard when travelling by train or ship is first class, if reasonable 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 car expenses 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 mileage allowance in accordance with local national government, tax rules, or rates from an established institution.

8.2 Accommodation

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

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8.3 Meals

The actual and reasonable meal expenses will be reimbursed based on receipts.

8.4 Additional business expenses

The traveler will be reimbursed for business expenses not otherwise covered such as telephone calls, photocopies, faxes, internet connections, visas, and changes to travel arrangements. The traveler will be reimbursed for service charges/fees and reasonable expenses such as: Automated Banking Machines use; credit/debit card 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 either GBP (pounds sterling) or Euros. The costs incurred to convert reasonable sums of money to foreign currency and/or reconvert will be reimbursed based on receipts. When receipts are not available or when converting travel expenses to GBP, the average bank 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 the Executive Secretary within 30 working days of the end of the travel period. The Executive Secretary will endeavor to reimburse travelers within 14 working days of receiving the correctly completed form.

9. Records

Electronic signed copies of the Travel Expense Forms with receipt enclosures.

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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 for QACE staff and QACE Members.

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

Outside of confidential information QACE has a policy of transparency regarding its activities. As much as possible information about QACE and the scope and results of QACE activities 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 where the information is either required as described in the Principals or has been discussed in advance with the Member concerned. All such information is to be advised in confidence to the QACE Board via the QACE Executive Secretary.

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-‐contractors are required to sign a Confidentiality Statement which is included in the contract as Annex B.

Attending audits the Assessor will restate the confidentiality requirement at the opening meeting

1.3 QACE Members

QACE Members are required to maintain as private all confidential information concerning QACE activities, outside of that which is published on the QACE website, or which has been discussed and agreed by QACE.

2. Individual Recommendations (IRs)

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

3. Board Meeting s -‐ Confidential Report

Refer to the QACE process 02-‐05 which describes the Board Meeting Confidential Reports.

4. Document and Data Protection

All work related data and documents are protected by secure password protected access. Any hard copy documents are secured in locked cabinets and draws

RECORDS

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


QACE Process 02-‐01: Roles & Responsibilities

Information about this Process Procedure No.: 02-‐01 Version: 1.0 Approved Date: 31 Jan 2015 Prepared: QACE Executive Secretary 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 to be domicile in Asia and/or the Americas,

• at least two Members of the Board domicile in Europe, 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, and marine insurers or P&I

1.2 Directors are eligible and are elected according to Articles

of Association (AoA) Chapter 16 and Clause 14.5. The rules of proceedings and administrative powers of Directors are given in the AoA Chapter 17 to 20.

1.3 Existing Board of Directors whose term is expiring at the

end of the final year of a term and are eligible for reappointment shall be queried during the final year of their term (no later than June) and, if willing to continue to serve, are automatically entered into the election process.

1.4 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 Executive Secretary assists the President in the nomination process.

1.5 All nomination shall include a complete CV for the

nominee. The CV shall in particular address the issues related to AoA Clause 16.2 and 16.3. The Executive Secretary shall review the CV for all nominees and deliver his recommendation for eligible nominees to the President. The Executive Secretary may under this work request or seek supplementary information.

1.6 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.

1.7 The Executive Secretary will record changes of the QACE

Directors with Company House. The Executive Secretary will maintain records of:

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

• Director’s contracts • A table of the QACE Directors Terms of Office • AGM minutes

1.8 Chairman of the Board of Directors

The Chairman of the Board of Directors is elected by the QACE Board of Directors in accordance with Articles of Association 18.1.1.

2. Assembly President 2.1 In conjunction with 13.6.8 of the AoA, the following

guidelines have been agreed for appointment of the President of the Assembly.

2.2 Generally, all Members Representatives shall have an

opportunity to serve as President in a cycle. The sequence shall normally follow the alphabetical listing of the Members. New Members will be added to the end of the rotation sequence as they join the organization.

QACE Roles & Responsibilities

PR 02-‐01 31 Jan 2015 2

2.3 At the time a Member’s Representative is due for the

Presidency that Member may elect to:

• accept by Resolution their term for the Presidency, • decline (skip in that cycle) their term for the residency, • exchange that turn with another Society who has not yet

served in the cycle. 2.4 The Presidency elect shall declare his/her preference to

serve one or two years, or consider a second year after a one year term.

2.5 If a President cannot or is not willing to finish the term, the

President shall advise the Members in writing and the members shall proceed to consider the next eligible RO on the list.

3. The Executive Secretary 3.1 The Executive Secretary is appointed by the Directors

according to AoA Clause 18.1.2. The Executive Secretary has the power and executes the duties as stated for the Secretary in the AoA.

3.2 The Executive Secretary reports to the Board of

Directors.The Executive Secretary is appointed and acts as the organisation’s Management Representative as defined in ISO 9001 2008 clause 5.5.2.

3.3 The Executive Secretary’s responsibilities are listed in the Guidelines for the work of the Executive Secretary (ES)

4. QACE Administration staff and contracted Assessors

4.1 Administrative staff and contracted Assessors are appointed by the Executive Secretary after consent by the Board. The consent shall be based on the Executive Secretary’s recommendation regarding need, budget allowance and competence.

4.2 The appointment is confirmed by an employment contract signed by both parties, specifying work, work conditions and remuneration conditions.

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

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

5. Bank Account QACE Access to Account Payment type accountant Executive

Secretary Board Chairman

Remuneration ES R A Remuneration Directors R A Fees & expenses Assessors

R, A

Travel expenses ES R A Travel expenses Directors

R, A

Office supplies R, A Equipment R, A

ES: Executive Secretary R: Registration A: Authorisation


QACE Process 02-‐02: QACE Membership


PURPOSE

To describe the QACE Membership criteria and process.

1. REFERENCES

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

1.2 Members become Members and terminate membership by procedures described in the AoA and in the QACE process 03-‐01 Certificate of Compliance.

2. METHOD

2.1 Membership applicants are organisations not recognised by the European Union (EU) but who have requested recognition.

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

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

2.4 The organisation is to apply QACE process 03-‐01 ‘Certificate of Compliance’. When the applicants ACB has provided the annual audit plan QACE will select the audits it will attend for assessment.

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 obtained from 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 April and October of each year. The subscription is calculated on an equal division of the approved budget between the Members

4. RECORDS

• List of Registered Members • Certificates of Compliance


QACE Process 02-‐03: Qualification & Training


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 activities QACE Executive Secretary. 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 onboard 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

3.3 Training For all staff: -‐ Annual QACE meeting, experience exchange and information on new requirements, at least a two day session annually.

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

-‐ Continual self-‐study of new requirements, including, IMO new and revised requirements, Subscription of News Letters from selected ROs, IACS new and revised requirements, Flag State requirements as available on selected websites

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

-‐ New and revised Quality management and auditing requirements

QACE Qualification & Training

PR 02-‐03 31 Jan 2015 2

3.4 Qualification: 3.4.1 New Staff:

For new staff the Executive Secretary will review the applicants CV and carry out an interview. Practical tutored training during assessments with experienced QACE staff acting as trainers. Duration to be determined by the ES 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 Assessors Meeting, or separately by the ES 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 Service (SiS) and New Build (NB) Vertical Contract Audits (VCAs).

3.5 Assessment The ES carries out and records an Annual Performance

Review of the sub-‐contracted Assessors and Administration Officer (AO). The reviews are normally conducted in January or February of each year around the Assessor’s Meeting

3.5.1 The Assessor’s reviews are based on:

• The ES’s review of the Assessment Reports during the year.

• The independent review of a sample of Assessment Reports by the QACE trainer,

• any customer feedback. 4. RECORDS

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


QACE Process 02-‐05: Board Meetings


PURPOSE

The process describes the management and results of Board Meetings.

METHOD

1. Planning

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

The Executive Secretary 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.

Board Meetings are 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 center 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

January meeting:

Regular agenda items:

-‐ Discussion and actions from the previous year’s Assessment Programme,

-‐ Approve the year’s annual Assessment Plan, -‐ Annual Management Review (including objectives and KPIs), -‐ The annual Assessor’s Meeting, -‐ Initiation of the Annual Report. June/July meeting:

-‐ Half year assessment programme and financial results

September/October meeting:

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

Workshop (EUW)

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 members and Assembly

Presidents

3. Meetings

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

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

QACE Board Meetings

PR 02-‐01 31 Jan 2015 2

4. Follow-‐up

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

4.2 The Board agree the minutes within one month of receipt from the Executive Secretary. The QACE President distributes to the Members within one week of the Board’s approval.

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

5. RECORDS

-‐ Board Meeting call for agenda and proposed agenda -‐ Board Meeting Minutes -‐ Associated documents as described in the minutes (but including agenda, previous meetings minutes, financial report,

-‐ Closed session: Confidential Report -‐ Action Log


QACE Process 02-‐06: Management Review


PURPOSE

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

PROCESS

The Directors of QACE shall conduct a review of the QACE Quality Management System annually in a meeting to be held normally in January each year, but not later than March.

The Executive Secretary shall prepare the input to the Management Review. 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,

• Conformity to procedures and standards,

• Customer feedback,

• Status of preventive and corrective actions,

• Changes that could affect the quality management system,

• Process, Quality Objectives and KPI performance,

• Risk assessment,

• Recommendations for improvement, including recommendations for revised Quality Policy

• QACE Assessment results

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

• Improvement of the effectiveness of the quality management system and its processes,

• Improvement of procedures related to changes in international or industry standards, statutory and regulatory requirements, or identified needs for changing requirements, and

• Resource needs.

RECORDS

Board of Directors Meeting minutes


QACE Process 02-‐07: Customers


PURPOSE

This process defines the QACE customer groups, their relationship with QACE and how QACE ascertains customer perception of the standard of the services and products it provides.

1. Customer Groups

• 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

1.1 QACE as a Community Interest Company (CIC) is a not for

profit organization set up by the international organisations recognised by the European Union to undertake marine inspection services on behalf of the Member flag States.

1.2 The ultimate goal for the customer group is for QACE,

through the assessment and continuous improvement of the Member’s management systems, to promote safe ships and clean seas.

1.3 As such both parties the QACE Members (ROs) and the

European Commission DG Mobility & Transport are QACE’s main direct customers

1.4 The Commission and the Members expectations for QACE

is in achieving compliance with Regulation 391 2009 and QACE has this as its main objective.

1.5 In QACE’s oversight, assessment and certification of the

RO’s Quality Management Systems it is well placed with organisations like the world’s Flag States, the International Maritime Organisation, the marine insurance and P&I companies and the companies that work with or have an interest in RO performance and how they are audited.

1.6 To that end the effectiveness of the assessment

programme reported in the QACE Annual Report and including the QACE Collective Recommendations is important and its success is another major QACE objective.

2. Customer satisfaction 2.1 QACE distributes its Annual Report widely. QACE will

survey the recipients of the Annual Report in 2016 and at two yearly intervals

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


QACE Process 02-‐08: Complaints & Appeals


1. PURPOSE

This procedure describes the process related to complaints and appeals.

2. APPLICATION

Complaints are statements of dissatisfaction with the work or products of QACE. Complaints can be written or oral. They may be delivered directly by post, email or message to QACE office 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-‐based social media, blogs etc.

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

3. METHOD

3.1 Complaints shall without unnecessary delay be conveyed to the QACE Executive Secretary together with information on the complainer, relevant circumstances for the complaint and possible background information.

3.2 The Executive Secretary shall without undue delay clarify the factual circumstances in order to determine the causes of the complaint. If there is a reasonable cause for the complaint, the Executive Secretary shall initiate corrective and preventive actions.

3.3 If the complaint is directly on the behaviour or work of the Executive Secretary, the complaint shall be dealt with by a Committee appointed by the Board (AoA Clause 18.1.3).

3.4 The complaint is investigated including a root-‐cause analysis.

3.5 The complainer shall be informed that the complaint have been received, the main result of the investigation and a summary of resulting actions taken.

3.6 Appeals shall be dealt with by a Committee appointed by the Board. There shall not be more than two Directors as members in the Committee. The Executive Secretary attends the meetings of the Committee.

3.7 The Committee shall clarify the factual circumstances for the appealed decision and consider the arguments for the appeal.

3.8 The Committee shall then make a full report to the Board with their recommendation.

3.9 The Board decides on the appeal by ordinary resolution.

4. RECORDS

Electronic ‘Customer Feedback’ email file 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


QACE Process 02-‐09: Internal Audit

Information about this Process

Procedure No.: 02-‐09 Version: 1.0

Approved Date: 6 Feb 2015 Prepared: QACE Executive Secretary Approved: QACE Board of Directors

PURPOSE

Internal audits shall be planned over three years and conducted at least annually in order to: • To confirm that the QMS and its processes comply with

the ISO 9001:2008 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 Executive Secretary (ES) shall run a three year Internal Audit Plan, the regularity of the auditing of the processes to be based on risk and importance.

1.2 Internal audits will be held by a competent person, either the Administration Officer (AO) or one of the subcontractors. All audits will include focus areas assigned by the ES.

1.2 The audit will normally be carried out over one or two days but at least annually and, depending on the processes to be audited and the availability of the records, will normally be during a visit to the QACE office, but can be held remotely.

2. Audit Execution

2.1 The auditor shall make an Audit Plan with time allocation, scope of the audit indicating processes to be audited and the types of documents and records to be reviewed.

2.2 The auditor shall at the end of the audit give a verbal summary of results and findings, including non-‐compliances and observations in relation to the requirements.

Major: a serious breach which may result in a customer complaint

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

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

2.3 The auditor shall provide a written Audit Report within 10 working days after the audit. Template Annex 1

3. Audit Follow-‐up

3.1 The ES is responsible for the findings root cause analysis and assigning responsibilities and timings for the corrective actions.

3.2 The findings are added to an Internal Audit Findings Control spreadsheet.

3.3 The auditor is responsible for reviewing and accepting the corrective action evidence and for closing the Non-‐compliances.

3.4 The ES is responsible for reporting the results of internal audit to the Management Review.

4. Check

The next internal audit will review the effectiveness of corrective actions.

RECORDS

• The Internal Audit Plan • Internal Audit Reports • Internal Audit Findings Control Spreadsheet • Management Review

Internal Audit Report QACE -‐ Entity for the Quality Assessment and Certification of Organisations 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

2 PR 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/OBS Process: ISO 9001: 2008 or QACE QMS non compliant paragraph: Finding description:

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

3 PR 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.


QACE Process 02-‐10: Nonconforming Product


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.

RESPONSIBILITY

The Executive Secretary is responsible for any deliverables from QACE. The Executive Secretary is also responsible for any action to eliminate nonconforming results and to take action to correct or replace the deliverable.

METHOD

1 Product

The main QACE products are:

• The results of the Assessment Programme and the Collective Recommendations CRs) as outlined in the Annual Reports,

• The Individual Recommendations (IRs) delivered to each RO,

• The Assessment Reports

2. Identification

Products of QACE shall be identified by date of issue, and as relevant with identification number. Version number is used if the product (e.g. document etc.) is regularly revised.

3. Actions

3.1 If a product, an assessment or recommendation proves erroneous, the Executive secretary shall without delay take actions to withdraw the reports or the erroneous assessment or recommendation statements in order to eliminate the defect. Any direct recipient shall be notified about the withdrawal. Web-‐posted products shall be removed and information posted to inform that the product is withdrawn.

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.

4. Records

4.1 Erroneous products shall be clearly marked as such to prevent future use and maintained with the associated correspondence concerning the subsequent action taken.

4.2 A record of the non-‐conforming product and associated correspondence shall be retained in the ‘Non-‐conforming Product’ email folder for discussion during Management Review


QACE Process 02-‐11: Corrective & Preventive Actions

xInformation about this Process Procedure No.: 02-‐11 Version: 1.0 Approved Date: 31 Jan 2015 Prepared: QACE Executive Secretary Approved: QACE Board of Directors

PURPOSE

The procedure describes actions to be taken to eliminate the causes of detected nonconformities to prevent recurrence and to eliminate causes for potential nonconformities.

RESPONSIBILITIES

The Executive Secretary is responsible monitoring and reporting the effectiveness of this process.

Responsibility for actions related to corrective actions or to eliminate potential nonconformities are identified.

METHOD

1. Actions for Corrective Measures

1.1 If and when a defect, a complaint or nonconformity is detected or reported, the matter shall be reviewed and analysed by the Executive Secretary in order to determine the causes of the defect, complaint or nonconformity.

1.2 Based on the result of the analysis, an evaluation of the need for actions to ensure that defects or nonconformities do not recur shall be made. Actions shall be appropriate to the effects of the defect, complaint or nonconformity encountered.

1.3 Actions deemed needed shall be implemented without undue delay.

1.4 Records of the evaluation and of actions taken shall be retained.

1.5 The effectiveness of the corrective actions taken shall be reviewed at least annually.

2. Actions for Preventative Measures

2.1 When planning a new product an evaluation shall be made to determine potential nonconformities and their causes. The evaluation shall take into consideration the results of any previous evaluation of nonconformities, including complaints, their corrective actions, and the effectiveness of actions taken.

2.2 Based on the result of the analysis, an evaluation of the need for actions to prevent occurrence of nonconformities shall be made. Actions shall be appropriate to the effects of the potential problems determined.

2.3 Actions deemed needed shall be implemented without undue delay.

2.4 Records of the evaluation and of actions taken shall be retained.

2.5 The effectiveness of the preventative actions taken shall be reviewed at least annually as part of the Management Review process.


QACE Process 02-‐12: Document & Data Control


PURPOSE

This procedure shall ensure that documents and data used for the management of QACE are approved, controlled and updated.

METHOD

1. Articles of Association

1.1 Changes to the Articles of Association (AoA) and the approval of such changes follow the procedures stated in the AoA itself and as regulated by Company Law.

1.2 Changes to the AoA are made through Resolutions to be adopted by the Members. The AoA and Resolutions are drafted, maintained and published to Companies House by the QACE law firm. QACE maintains originals and it is published on the QACE website

2. QACE Quality Management System

2.1 The QACE Quality Manual, policies and processes are prepared by the Executive Secretary and approved by the Board of Directors.

2.2 Version control of the Quality Manual is defined under section of the manual ‘Manual Administration’.

2.3 Version control of the QACE policies and processes is maintained by a template numbering and date system

documented in the Content first page of the Quality Manual.

2.4 Guidance documents are adopted by the QACE Executive Secretary.

2.5 Information on new or changed policies, processes and guidance are advised to relevant parties and are posted on the website.

2.6 Printed versions of all such documents are considered uncontrolled.

2.7 Documents that are of long term use and may be updated for example Assessment Reports, Individual Recommendations, AGM and Board Meeting minutes are subject to version control.

3. Correspondence

3.1 Work related incoming and outgoing email correspondence is maintained electronically on the email server in email folders.

3.2 Outgoing email requiring a reply is moved to the email Inbox and flagged.

3.3 Hard copy correspondence is scanned and maintained in the relevant electronic file.

4. External documents

External primary documents are obtained as required. Hard copies are considered uncontrolled.

5. Confidentiality

5.1 Member’s Individual Recommendation documents are strictly confidential between QACE and the Member

5.2 Assessment Reports are strictly confidential between QACE, the Member and the ACB

QACE Document & Data Control

PR 02-‐12 31 Jan 2015 2

5.3 QMS manuals or similar documents belonging to Members or ACBs used to assess or observe the audit or certification process of Members are confidential.

6. Data

Electronic data is not produced or distributed by QACE.

External data used for analysis purposes is limited to:

• Data from the IACS database of audit findings. IACS is responsible for the control of the software,

• Publically available data produced by the Paris and Tokyo MoUs and USCG,

• And ad hoc data provided by the Members.


QACE Process 02-‐13: Purchasing


PURPOSE

This process describes and ensures management control of the purchasing process.

APPLICATION

This procedure applies to all purchasing not covered by the Travel policy

METHOD

General

The Executive Secretary has the authority to purchase and to approve purchases within the framework outlined in the accounting system cost centres and the annual budget.

In the absence of the Executive Secretary the Chairman of the Board can approve purchases within framework outlined in the accounting system cost centres and the annual budget

Purchases of equipment or similar beyond the framework of the annual budget shall be approved by the Directors.

Suppliers

Suppliers shall be selected based on their ability to supply products in accordance with QACE's needs and requirements.

Agreements available through office vendor or partners shall be used when feasible.

As a general rule, purchases shall be paid by QACE’s debit card or bank payment.

Equipment shall normally be entered with their full cost in the account.

Control of measuring equipment

Any equipment used for measurements purchased in the future, such as gas meters used for PPE, shall be serviced and calibrated at intervals as recommended by the supplier.

Re-‐evaluation of suppliers

The Executive Secretary shall regularly, not exceeding two years, evaluate suppliers for continued purchases.

RECORDS

• List of suppliers with record of re-‐evaluation. • Invoices and receipts, kept as vouchers to account. • Not applicable at this time, for measuring equipment: record of service and calibrations.


QACE Process 02-‐14: Control of Records


PURPOSE

This process describes the QACE record controls.

METHOD

1. General Records

1.1 QACE records are maintained in the hard copy filing system (normally pre 2013), electronic document files or the electronic email files.

1.2 QACE legal obligations for retaining original and signed documents are maintained by the QACE law firm Farrer&Co

Note: In February 2015 QACE is moving document, data and records control to Google Apps in order to maintain business standard control of those processes.

2. Specific Records

2.1 QACE has specific record requirements outlined in the Articles of Association (AoA) that are outlined in this process.

2.2 Further specific record requirements are outlined in the associated process document.

3. Members, Membership and General Meetings

3.1 Records related to Membership and General Meetings shall provide evidence of requirements stated in the AoA Ch. 10 and 11, and in Companies Act.

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

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

3.4 Records of appointment of authorised representatives shall be retained.

3.5 The most recent and valid register of Members shall be retained.

3.6 Records related to Membership and Membership authorisation shall be retained for the lifetime of the organisation.

3.7 Minutes of any General Meeting (AGM or EGM), including any Resolution decided by the Members shall be retained in the meetings electronic email folder. Records of General Meetings etc. shall be retained for the lifetime of the organisation.

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 proceedings in accordance with AoA Ch. 17, shall be retained for 20 years.

QACE Control of Records

PR 02-‐14 31 Jan 2015 2

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

5. Employees and subcontracted personnel

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

5.2 Records related to each employee or subcontracted person shall be retained.

5.3 Personnel records are retained for 10 years after termination date.

6. QACE assessments

6.1 Working notes etc. from assessments of audits will be discarded after 2 years. Assessment Reports are retained in perpetuity.

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

6.3 Individual recommendations and RO replies and associated correspondence are retained in perpetuity.

7. Vendors and service providers

7.1 Contracts, agreements etc. and correspondence related to such with vendors or service providers are filed per supplier.

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

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

8. Accounting

8.1 Incoming invoices shall be filed per vendor. Travel expense claims shall be made on designated form and supported with evidences of expenses attached. Proper authorisation of travel expense claims shall be retained.

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

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

9. Backup 9.1 The Executive Secretary shall ensure that back-‐up is taken

of the QACE records weekly. Back-‐up media shall be kept separate from the server.


QACE Process 02-‐15: Control of Supplied Services


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 Executive Secretary and advised to the Board.

The Financial Auditors are selected by the Executive Secretary and proposed to the Members for election at the General Meeting.

The Executive Secretary shall, as far as possible, make investigations of possible providers and request tenders from at least two eligible providers.

After the Board’s decision the contract is signed by the Executive Secretary, 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.

APPLICATION

The following business critical services are subject to this procedure:

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

• Legal Advisor

• Insurance Broker

• Bank

• Accounting

• Office Housing and services

• ISO:9001-‐2008 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 03:01: Certificate of Compliance DRAFT

Information about this Process Procedure No.: 03:01 Version: 1.0 Approved Date: 31 January 2015 Prepared: QACE Executive Secretary Approved: QACE Board of Directors

Purpose This Process describes the circumstances in which QACE will issue, suspend, withdraw or reinstate the QACE Recognised Organisation’s Certificates of Compliance.

References

• The QACE Articles of Association

• The QACE Tripartite Agreement

• The QACE Complaints and Appeals Process (03-‐06)

Process

1 / AN RO’S QACE CERTIFICATE OF COMPLIANCE

1.1 On completion of the QACE Administration’s positive review of the Recognised Organisation’s compliance the QACE Executive Secretary shall issue a Certificate of Compliance (CoC), stating that the Quality Management System of the Recognised Organisation has been assessed and found compliant with the ISO:9001 2008, IACS Quality Management System Requirements (QMSR) and the QACE requirements.

1.2 QACE Certificates of Compliance shall be valid for two years and generally issued in conjunction with Individual Recommendation visits.

1.3 The issue of the QACE Certificate of Compliance shall be posted on the QACE website and be stated in the QACE Annual Report.

1.4 Where issued, QACE Certificates of Compliance shall remain valid or until suspended under section 4 of this process.

1.5 Continued compliance shall be assessed formally at the end of each year but is an ongoing process particularly during audit observations and from responses to the Collective and Individual Recommendations.

2 / COMPLIANCE ISSUES AND REMEDIAL PLAN

2.1 If QACE Administration concludes at the year-‐end review that the RO’s QMS and /or the audits carried out by the ACB as basis for their certification;

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

2.1.2 If the RO has not responded satisfactorily to findings or recommendations, or

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

2.2 The QACE Executive Secretary shall advise the QACE Board of Directors, with the reasons and recommendations.

2.3 The QACE Executive Secretary shall notify the RO and ACB in writing of the perceived deficiencies and possible suspension 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.

QACE Certificate of Compliance

PR 02-‐01 31 Jan 2015 DRAFT 2

3 / CORRECTIVE ACTIONS

3.1 During the improvement period the RO shall report progress.

3.2 The RO and ACB shall provide the necessary documentary evidence and facilitate QACE observations as agreed in the Remedial Plan.

3.3 On satisfactory completion of the Remedial Plan the QACE Executive Secretary shall inform the QACE Board of the results.

3.4 The Executive Secretary shall advise the RO and ACB of the results. QACE may require that the effectiveness of the corrective actions is monitored and assessed over time.

4 / SUSPENSION

4.1 If the Remedial Plan is not satisfactorily completed and the corrective actions evidenced as required, the Executive Secretary shall 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 the QACE web-‐site, and the Board shall inform Flag States and interested parties, including the EU Commission, on its decision.

5 / REINSTATEMENT

The RO may request reinstatement of the Certificate of Compliance. The request to be based on a detailed (The Reinstatement Plan) designed to evidence the RO’s meeting and maintaining the general compliance requirements and the specific deficiencies identified under the suspension notification. The Reinstatement Plan is to specify how the RO will evidence the effectiveness of the corrective actions over time.

6 / COMPLAINTS AND APPEALS

Any complaints or appeals with regard to this process shall be dealt with in accordance with the QACE Complaints and Appeals Process 02-‐08.


QACE Process 03-‐02: Assessments

Information about this Process Procedure No.: 03-‐02 Version: 1.0 Approved Date: 06 Feb 2015 Prepared: QACE Executive Secretary Approved: QACE Board of Directors

PURPOSE

This process describes the QACE assessment cycle based on Plan, Do, Check, Act (PDCA) principals.

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

APPLICATION

The process is applicable to all QACE Assessors and staff, to the Recognised Organisations (ROs), the Accredited Certification Bodies (ACBs) and stakeholders interested in the assessment of ROs.

METHOD

1. PLANNING

1.1 The required numbers of audits, based on each organisations fleet size, is provided by IACS Operations Centre. The ACB’s shall provide their annual Audit Plans by the end of the preceding year.

1.2 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 and auditors.

1.3 Unavoidable changes to the plan with the reason shall be advised as soon as they are known.

1.4 Each QACE Assessor takes Lead Assessor (LA) responsibility for a number of RO’s.

1.5 Assessor’s Meeting. The LAs attend a two day Assessor’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 be attended.

1.6 The LAs advise the ACB and RO of the audits that QACE will attend during the calendar year by February of that year.

1.7 Individual ACB Audit Plans shall be provided to QACE Administration at least three weeks before the audit. QACE will review and approve the plan within a week.

1.8 Where QACE is to attend an audit the QACE Assessor shall liaise with the auditor before the audit with any QACE requirements. For office audits with an ACB audit team, the QACE Assessor shall be involved with the planning, by correspondence, phone or physical meetings.

2. ASSESSMENT VISITS

Opening Meeting

2.1 During the assessment, at the Opening Meeting, the QACE Assessor will introduce themselves and the defined QACE role, objectives and scope of activity during the assessment.

Audit Sessions

2.2 The Assessor shall select and attend the ACB’s audit sessions. The Assessor shall feedback to the RO and ACB after each session with any additional QACE questions and requirements. The RO shall ensure that a separate session 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 will confirm any RO outstanding issues or findings.

QACE Assessments

PR 03-‐02 6 Feb 2015 2

3. REPORTING

ACB

3.1 The ACB shall provide QACE with an Audit Report within three weeks of all audits. The ACB shall provide audit reports for all the audits undertaken.

QACE

3.2 Assessors shall provide QACE Administration with an Audit Feedback Report which includes the notes, references and Assessor comments from the audit.

3.3 Assessors shall provide a draft QACE Assessment Report to the ES within one week of the audit. The ES will review and request changes or approve the report.

3.4 Once approved the LA shall provide the Assessment 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 report will contain any outstanding issues or findings.

Follow-‐up & Close Out

3.5 Where QACE findings have been identified they will be the subject of separate correspondence from QACE Administration.

3.6 QACE findings are maintained and controlled to completion by QACE Administration through the QACE Findings Control Spreadsheet.

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

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4. CONTINUAL IMPROVEMENT THROUGH ASSESSMENTS

4.1 The Executive Secretary (ES) maintains a Confidential Annual Assessment 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 the January, June and October QACE Board of Director’s meetings.

4.3 Any Board decisions or actions are recorded in the final report and actions are included on the Boarding Meeting Action Log.

4.4 IACS holds an annual November End-‐User Workshop for the ACBs, ROs and the associated stakeholders in the scheme. A QACE presentation highlights the results of the QACE assessment year, comments on the schemes strengths and weaknesses, critical issues, improvements noted during the year, necessary future improvements and best practices.

4.5 In February of each year the ES submits a QACE QSCS Report to the IACS Quality Committee. The report contains QSCS feedback from the year’s QACE assessment programme:

• Possible changes to the requirements, • Coming relevant QACE requirements that may be

considered for inclusion, • Comments on the IACS planned changes to the

scheme.

4.6 The results of the assessments are included in the QACE Annual Report (03-‐05). The annual Collective Recommendations for improvement are reported in Annex C of the QACE Annual Report. The ROs are required to comment on their implementation of the recommendations each year and QACE monitors effective implementation through the ROs Individual Recommendations.

RECORDS

-‐ QACE Annual Assessment Plans -‐ Assessment Reports (retained in perpetuity) -‐ Audit Feedback Reports (retained for two years) -‐ Findings Control Sheet -‐ EUW PowerPoint presentations -‐ QACE Annual Reports Confidential: -‐ BOD Confidential Annual Assessment Reports -‐ Individual Recommendations

1

Assessment Report QACE -‐ Entity for the Quality Assessment & Certification of Organisations Recognised by the European Union, CIC (QACE)

General information

RO: Type here ACB: Type here Location(s): Type here Date(s): Type here Audit type: (HO, SL, PA, CO, VCA): Type here Audit days (nearest half day): Type here ID of VCA object: Type here ACB Auditor(s): Type here QACE Assessor(s): Type here Other Observer(s): Type here

Assessment Report

2 PR 03-‐02 Annex 1 06 Feb 2015

RO

1 / RO General Performance

• Areas of Strength or Weakness Type here to enter your comments

2 / Repeat Issues • Any major findings, trends, repeat issues or ineffective corrective actions Type here to enter your comments

3 / 2015 Focus Issues • HO audits: Assessment of the effectiveness of the RO’s casualty/incident investigation processes and root cause analysis (exclude cases under investigation)

• Where applicable any evidence of the backdating of shipbuilding contracts to evade compliance with rules and regulations

• IACS / QACE Focus Issues Type here to enter your comments

4 / QACE • Any instances where QACE questions or findings have been raised and where a response is required from the RO

• For findings reference the requirement Type here to enter your comments

ACB

1 / ACB General Performance • Areas of Strengths or Weakness Type here to enter your comments

2 / Audit robustness • Independent, fair and ethical • Adequate knowledge and experience • Risk based sampling. Audit trails identified and concluded Type here to enter your comments

Assessment Report

3 PR 03-‐02 Annex 1 06 Feb 2015

3 / Audit Planning • Sufficient notice and communication. • Sufficient time allowed and audit duration requirements complied with Type here to enter your comments

4 / Requirements correctly considered

• Any “missed opportunities” for raising findings, significant audit trails not followed

Type here to enter your comments

5 / Findings • A brief summary of the NCs and Observations & their subject matter • Any issues that should have been raised or where an NC would be more

appropriate than an Observation. Type here to enter your comments

6 / VCA additional matters

• Most suitable VCA selection and timing correct for a meaningful audit • Up or down stream issues considered (e.g. plan approval to site). • H&S aspects adhered to Type here to enter your comments

SUMMARY

• Main conclusions and recommendations. • Possible improvements to the Scheme or End-‐User Workshop feedback • Any particular concerns for improvements in general and/or in specific areas Type here to enter your comments

Assessment Report

4 PR 03-‐02 Annex 1 06 Feb 2015

Assessor(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.

1

03-‐02 Annex 2 -‐ QACE Assessment Notes

General information

RO:: ACB: Location(s): Date(s): Audit type: (HO, SL, PA, CO, VCA): Audit days (nearest half day): ID of VCA object: ACB Auditor(s): QACE Assessor(s): Other Observer(s):

1 / Open Meeting • QACE declaration of role and scope of activities • Comments on ACB’s opening meeting Type here to enter your comments

Assessment Notes (continuation sheet)

Include notes from the audit including the sessions attended, generall notes, samples taken. Take particular care in recording QACE seperate sessions, questions and any requests for responses and potential findings.

2 PR 03-‐02 Annex 2 06 Feb 2015


Assessment Notes (continuation sheet)

Include notes from the audit including the sessions attended, generall notes, samples taken. Take particular care in recording QACE seperate sessions, questions and any requests for responses and potential findings.

3 PR 03-‐02 Annex 2 06 Feb 2015

3 / QACE Separate Sessions, Questions & Findings


4 / Closing Meeting • Notes on the ACB’s Closing meeting and responses • Notes on the QACE comments and any formal requests for responses /

potential findings. Type here to enter your comments

Assessor(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.


QACE Process 03-‐03: Annual Work Plan & Budget


PURPOSE

This process describes the planning the annual 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 BoD are responsible for the review of the Budget. The Members are responsible for the Budget’s approval.

The Executive Secretary (ES) is responsible for the preparation of both the Work Plan and the Budget

REFERENCE

Articles of Association Section 19. Work Plan

METHOD

1. General

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

1.2 QACE’s annual Budget covers the period from 1st April to and including 31st March the next year (the QACE accounting period).

2. Planning the Work Plan

2.1 The ES will prepare the next year’s draft Work Plan to be presented to the Board in their (normally) October meeting. The Work Plan shall be based on the experience from delivery the preceding year’s work plans and on planned changes.

2.2 The ES, with the Board’s approval, may make changes but will submit an approved Work Plan to the Members at least a week ahead of the AGM (normally in November).

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

2.4 The Board and the ES will consider any comments from the Members during the AGM.

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

3. Planning the Budget

3.1 The ES will prepare a draft Budget to be presented to the Board in their (normally) October meeting. The draft Budget shall be based on the account for present and the preceding year, prognosis for expenditures for the rest of the accounting year, and on any changes the ES 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 subsequently sent to the Members at least a week ahead of their AGM (normally in November).

3.3 The Directors may agree to propose additional changes to the Budget at their Board meeting preceding the AGM. These changes will be presented to the Members at 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.

QACE Work Plan & Budget

PR 02-‐01 31 Jan 2015 2

3.5 The Directors will consider the approved Budget in their meeting(s) subsequent to the AGM (normally immediate after the AGM and/or in January) to confirm that the Budget 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 approved Budget and available QACE funds, the Directors shall consider and eventually call for an EGM to seek approval for a revised Budget. In case, the EGM shall be held before the new financial year starts (before 31st March).

4. RECORDS

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


QACE Process 03-‐04: Collective & Individual Recommendations


PURPOSE To describe the QACE Collective and Individual Recommendations processes. REFERENCES European Union Regulation (EC) No. 391/2009 Article 11 2 (d) ‘adoption of collective and individual recommendations for the improvement of recognized organisations’ processes and internal control mechanisms’

METHOD

1. Collective Recommendations (CRs)

1.1 The Executive Secretary makes an analysis of the assessment 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 are presented to and discussed at the October Board Meeting. Based on the outcome of Board’s discussion, and further audit assessments carried out, a presentation is prepared for the annual End User Workshop (EUW). The preliminary report of assessments carried out and proposed Collective Recommendations are presented.

1.3 Based on any feedback from the EUW, the remaining audit assessments , a full analysis of findings and on any other relevant information, including the responses from the previous year’s Collective Recommendations the first draft

of the Annual Report is prepared and discussed at the Board meeting January Board Meeting.

1.4 The annual Collective Recommendations are finalised and published as Annex C of the Annual Report no later than April of each year

1.5 In September of each year the Executive Secretary communicates with the Members requesting their full and detailed comments with regards to their organisations consideration and handling of the issues associated with the recommendations. A reply is requested by the end of October.

1.6 The responses are analysed and make up part of the consideration for future Collective Recommendations, possible

2. Individual Recommendations (IRs).

2.1 IRs are developed by the Executive Secretary from the results of assessments, trend analysis of audit findings, responses from collective recommendations and PSC detention statistics. The IRs identify potential strengths, any potential needs for corrective actions and improvement opportunities.

2.2 IRs are presented to each of the Members every other year, normally at the same time as a Head Office audit assessment. The recommendations are provided to the Member at least 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 first appropriate Board Meeting during a Closed Session, not attended by the QACE President.

2.5 The meeting is attended by the Members Marine Managing Director and Quality Representative and the QACE Chairman of the Board and Executive Secretary.

2.6 The IRs and the meeting are confidential to QACE and the Member, although the Member may involve their ACB at their discretion.

QACE Collective & Individual Recommendations

PR 03-‐04 31 Jan 2015 2

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 Members response is reviewed by the Executive Secretary.

2.9 Member’s performance and the effectiveness of any corrective actions are monitored during the two years primarily from assessment reports, audit findings.

RECORDS

Collective Recommendations:

-‐ QACE Annual Reports Annex C -‐ QACE request for Member’s comments and the responses

Individual Recommendations:

-‐ Individual Recommendations -‐ Member’s responses


QACE Process 03-‐05: Annual Report


PURPOSE

This process describes the preparation and issue of the QACE Annual Report.

APPLICATION

This procedure applies to the Executive Secretary and to the Board.

REFERENCES

EU Regulation (EC) No 391/2009 Article 11. 5. “The quality assessment and 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”.

METHOD

1. Basis for report

1.1 The Annual Report has as a minimum sections covering:

• Observation Activities

• Main Findings

• Recommendations

• Relations with other Organisations

• Concluding Remarks

• Annex A -‐ Elected Non-‐Executive Directors of the Board for QACE

• Annex B -‐ Members of QACE-‐ EU Recognised Organisations

• Annex C -‐ (year) Collective Recommendations

1.2 The Annual Report is based on:

• Observations of the accredited bodies (ACB) audits of ROs,

• Audit findings as issued, and their handling (proposed actions, evidence of actions and closing),

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

• Observed RO performance,

• Analysis of trends related to focus issues,

• Analysis of trends related to previous issued recommendations,

• Additional publically available information, for example Port State Control (PSC) detention information.

2. Planning and issue of the Annual report.

2.1 Based on analysis of the above information compiled until August/September the Executive Secretary will make a preliminary analysis and draw up potential main findings.

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

2.3 A presentation is made to the ACB End User Workshop. In November which includes the preliminary Main Findings and possible Collective Recommendations

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

QACE Annual Report

PR 03-‐05 31 Jan 2015 2

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

2.4 No later than April of each year final refinement of the report and approval is dealt with by the Directors and the Executive Secretary by correspondence.

2.5 On approval the report is formatted and distributed as required to the Flag Administrations and the EU Commission and to the European Maritime Safety Agency (EMSA) and to other interest parties.

2.6 A limited number of printed reports are produced for filing and special distribution. The report is made publically available through a news feed and link to the QACE website www.qace.co.

RECORDS

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