Requirements For Authorised Qualifying Bodies (AQB)gvcsndt.org/Wp-content/Uploads/2018/10/Requirements-for-AQB.pdfNote: All level 3 certificated and authorised examiners are permitted

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GLOBAL VERITAS CERTIFICATION SERVICES

Requirements For Authorised Qualifying Bodies (AQB)

Document: PD 09

Approved: 13-11-2017 Issue: 01

Revision: C


SCOPE

This document prescribes the requirements which aspirant and existing Authorised Qualifying Bodies are to satisfy in order to gain and maintain authorisation to conduct qualification examinations leading to the award of NDT& Inspection personnel certification. Requirements are detailed in respect of facilities, resources, quality systems, staff and records. Information contained in other documents is not necessarily repeated herein. Prospective AQBs should seek advice through the Certification Body.

ANNEXES

Annex A Application for approval as an Authorised Qualifying Body

Annex B Minimum equipment holdings for Authorised Qualifying Bodies

Annex C Minimum specimen holdings for Authorised Qualifying Bodies

Annex D Code of Practice for AQBs

Annex E AQB Audit Checklist

ASSOCIATED DOCUMENTS

PD10 Procedure for the conduct of management systems assessments

PD22 Grading NDT&I personnel Practical Examinations

FP30 Log or pre-certification experience

PD35 Charges for certification services

FP44 Vision requirements (for candidates and certificate holders)

FP06 Exam results sheet (blank for AQB use)

FP57 Standard application form(s)

GR01 General Requirements for Personnel Certification in NDT

CONTENTS

1. INTRODUCTION 4

2. DEFINITIONS OF TERMS 4

3. EXAMINATION RESOURCES REQUIRED 6

3.1 Human resources 6

3.2. Premises 7

3.3. Examination questions 8

3.4. Examination Specimens 9


3.5. Test equipment 10

3.6. Consumables 10

3.7. Security 10

4. QUALITY MANAGEMENT SYSTEM 11

4.1. Non conformity and corrective actions 11

4.2. Risk Analysis 11

4.3. Quality records 11

4.4. Internal audits 12

5. PRODUCTION AND SERVICE PROVISION 12

5.1. Conduct of qualification examinations 13

5.2. Consistency of qualification examinations 15

5.3. Grading of qualification examinations 16


1. INTRODUCTION

1.1. GVCS (hereinafter referred to as the CB) implements its NDT&I Personnel Certification Scheme (the Scheme) in conformance with the provisions of relevant international standards.

1.2. The Scheme is administered by a Scheme Committee constituted by the CB in document referenced C_ToR-01.

1.3. The Scheme Committee is responsible for setting, maintaining and reviewing competency standards at applicant and approved Authorised Qualifying Bodies (AQB) and will justify allowing any particular AQB to conduct qualification examinations.

1.4. Aspirant AQB will apply for assessment and authorisation using the application form at Annex A. This completed application, together with a subsequently issued certificate of authorisation, represents the contract between the AQB and the CB. Once authorised, AQB will re-apply for authorisation at two yearly intervals using the form at Annex A, thus re-affirming their commitment to comply with the terms of authorisation specified herein.

1.5. The CB requires assurance at all times that AQBs are conducting examinations correctly and consistently, and this document sets out the conditions of initial and continued approval of organisations conducting examinations within the Scheme.

1.6. The CB requires the AQBs to sign a code of practice at two yearly intervals using the form at Annex D.

2. DEFINITIONS OF TERMS

2.1. Authorised Qualifying Body (AQB): An organisation approved by the CB following a successful formal audit to conduct and administer qualification examinations strictly in accordance with published requirements.

2.2. Authorised Examination Centre (AEC): A location where qualification examinations will be carried out strictly in accordance with published requirements under the supervision of an authorised examiner, and which is approved by the CB.

2.3. Closely Supervise: to be in-charge of a person or group of people and to check that they are working competently.

2.4. Co-ordinator: A person appointed by an approved AQB and authorised by to control and administer qualification examination(s) conducted under the auspices of the AQB. A Co-ordinator need not possess current valid certification, but should have a level of knowledge or experience in NDT&I acceptable to the CB.

2.5. Chief Examiner: The AQB shall appoint a Level 3 certificated and technically competent individual

acceptable to GVCS who shall be responsible for the provision of all facilities for examination, and for the

preparation, conduct and standards of examination and who shall be designated Chief Examiner on the AQB's

certificate of authorization. The Chief Examiner is also an Examiner, and shall follow the terms of reference of an Examiner. In addition: authorize all examination specimen master reports by signature, and be responsible

for the content and review of such master reports. Prepare and authorize by signature the marking schedules

for all narrative answer questions, ensuring that they include key points and marks for answers. Prepare and authorize by signature the marking schedules for all practical examinations, ensuring that grading of practical


examinations is in accordance with PD-22. Ensure that all examination marking is carried out using red ink; be

responsible for ensuring that invigilators have received appropriate training in the points to be observed and recorded during practical examinations.

2.6. Examiner: An individual certified to level 3 and having proved practical competence in the method and sector for which he or she is to conduct, supervise and grade qualification examinations, and who is authorised so to do by the CB on the basis of having received documentary evidence of appropriate training by the AQB.

Note: All level 3 certificated and authorised examiners are permitted to mark and grade any NDT&I personnel level 3 Basic Examination, irrespective of whether they hold the certification for the sector/method concerned, since the content of the Basic Examination is common, regardless of the scope of the intended Main Method examination.

2.7. Invigilator: An individual trained by the AQB in the process of examination invigilation, shall be competent particularly with respect to the points to be observed during a practical examination. Invigilators, who will be named as such within the AQB quality documentation and on the CB issued certificate of authorisation, are authorised by the AQB Co-ordinator and supervised by an examiner.

Note: The term supervised, in this context, means that invigilation is effectively controlled by an authorised examiner who is available and contactable by the appointed invigilator at all times when qualification examinations are being conducted.

2.8. Approved Training Organisation (ATO): An organisation assessed and approved to provide specified training courses for personnel seeking to be a candidate in a qualification examination.

2.9. Trainer: An individual assessed and authorised by an ATO to lecture in a training course. Such individuals shall hold relevant certification at the same or higher level to the level of training which they are authorised to provide.

2.10. Qualification Examination: The evaluation, by written and/or practical tests, of the competence of an individual to apply a defined test or inspection process.

2.11. Appropriately Qualified person: An individual, supervising candidates for certification, holding relevant certification issued by a recognised certification body meeting the requirements of ISO/IEC 17024. The certification concerned must include supervisory competence and have a similar technical scope as that certification which is the subject of surveillance.

Note: Where there are insufficient appropriately qualified persons in a country to satisfy the requirement, supervision of candidates may be carried out by persons holding relevant qualification acceptable to the CB. AQBs should obtain the prior approval of the CB before accepting qualification or certification awarded by an employer.

2.12. CB Logo: That mark described in PD31

2.13. Accreditation Mark: The mark described in PD31

2.14. Moderation: A method of checking examination consistency and examiner competence by the reviewing and verifying the original examiner's marking.


2.15. Double Scrutiny: A method of checking examination consistency and examiner competence by the conducting independent secondary marking of an examination and comparing the second examiner's marks to those awarded by the initial examiner.

3. EXAMINATION RESOURCES REQUIRED

3.1 Human resources

3.1.1 General

3.1.1.1 All AQB staff involved in any aspect of the administration or conduct of qualification examinations shall be impartial with respect to candidates, and shall be appropriately trained and qualified for their functions within the organisation. Records of training and qualifications shall be made available to appointed assessors at initial and surveillance audits.

3.1.2 Management

3.1.2.1 The AQB shall nominate for NDT&I personnel approval an employee of the AQB who shall be known as the AQB Co-ordinator and who shall be responsible for the control and administration of the quality system and be the primary contact between the AQB and CB. Being the Co-ordinator does not preclude the individual from holding another appointment within the organisation.

3.1.2.2. The primary function of the Co-ordinator is to ensure that the AQB at all times complies with the CB requirements for AQB and that the AQB evolves and implements appropriate systems and procedures so as to ensure the consistency of examination standards.

3.1.2.3. The Co-ordinator shall inform the CB of any reduction in AQB resource that may affect the ability of the AQB to comply with the requirements of this specification. All instances of non-compliance with requirements shall be recorded and brought to the attention of the CB without delay.

3.1.3. Examination Personnel

3.1.3.1. Qualification examinations shall be conducted only by those personnel named in the AQB quality system and on the AQB authorisation as examiners. Existing examiners are required to maintain their curriculum vitae, and to provide the CB with an updated copy.

3.1.3.2. AQBs shall not directly involve in qualification examinations sub-contract examiners or invigilators, or any other sub-contract personnel, where such personnel have access to examination material, if their other employment is such as to threaten the impartiality of the examination process or to significantly threaten the security of qualification examination material.

3.1.3.3. AQBs may not conduct examinations for candidates employed by the same organisation that owns the AQB, or who are employed by an organisation having a commercial interest in the AQB unless measures acceptable to the CB are in place to ensure impartiality.

3.1.3.4. The AQB shall appoint a Level 3 certificated and technically competent individual acceptable who shall be responsible for the provision of all qualification examination facilities, and for the


preparation, conduct and standards of qualification examinations. This person shall be designated Chief Examiner on the AQB's certificate of authorisation.

3.1.3.5. The AQB shall permit only those personnel named in the AQB quality management system and on the AQB authorisation as examiners or invigilators to supervise the conduct of qualification examinations. Invigilators of practical examinations shall hold relevant certification recognised by the CB, otherwise, the AQB shall demonstrate to the satisfaction of the CB that the invigilator has received appropriate training in the points to be observed and recorded during practical examinations.

3.1.3.6. The AQB shall review the competency of the Invigilator periodically and where required shall impart training by the AQB and confirm on his/her competency.

3.1.3.7. Examination staffs are required to declare any interest in any candidate in whose examination they are involved in any capacity. An examiner or invigilator is prohibited from direct involvement in any examination of a candidate in whom they may have an interest by virtue of having a common employer, having provided training to that candidate in the preceding 2 years for the examination concerned, or any reason that may actually or potentially threaten impartiality.

3.1.3.8. Administrative and examination staff shall be designated as such in the quality management system, and shall be provided with terms of reference and/or a job description. They shall be able to demonstrate familiarity with all requirements, rules and regulations relevant to their tasks, and the AQB quality management system shall define how they are trained in those tasks and the system for recording such training.

3.1.3.9. The AQB quality management system shall detail the measures, such as delegation of responsibilities for management and administration, or refraining from conducting qualification examinations in the absence of key staff.

3.2. Premises and Infrastructure

3.2.1. The AQB shall provide quiet examination rooms supplied with all necessary services (heat, power, lighting & separation of candidates etc), and all facilities provided shall comply with all relevant statutory health and safety legislation requirements applicable in the country of operations. There shall be a gap of not less than 1.5 metres between candidates (to the front, rear and side) during written and practical qualification examinations.

3.2.2. Examination invigilators must ascertain that the examination conditions are to the satisfaction of all candidates prior to the commencement of qualification examinations. This includes provisions for acceptable levels of comfort (lighting greater than 500 Lux, temperature preferably between the range of 24 to 34℃ etc.). This may be achieved verbally or by the prominent positioning of a notice in the examination room which states that it is the candidate's responsibility to inform the examination invigilator if they feel that the prevailing conditions are such that they may adversely affect the examination result.


3.2.3. In the event that, following commencement of an examination, conditions deteriorate to a level below that required, the examination must be terminated or suspended and not restarted until such time as the conditions are restored to a standard conducive to maintaining the candidate's comfort and concentration during the conduct of qualification examinations.

3.2.4. Where premises are shared between training and examination, there shall be no joint usage of the facilities, i.e. examinations shall not take place whilst the facilities are being used for training or vice versa.

3.2.5. Where the AQB offers qualification examinations at one or more remote AECs on a permanent or frequent basis, there shall be a documented procedure covering the conduct of examinations at each such centre. This procedure will address all of the requirements contained within this document and will be subject to audit on site at the discretion of the CB, which shall approve all centres established for the conduct of qualification examinations.

3.2.6. The CB monitors AQB control of its AECs through fully documented and planned oversight of the AEC compliance audits carried out by the responsible AQB, which is required to provide the CB with dates and details of AEC audits planned for each calendar year. The CB shall select, without prior notification, those AEC audits which it will witness on site in order to determine the competence of the audits carried out, and will plan to witness AQB audits of all of its approved AECs during a three year cycle. The cost of the CB oversight will be borne by the responsible AQB. Should the planned AEC audit not be carried out as notified in the AQB audit plan, the CB will still charge the expenses incurred in conducting the planned oversight.

3.2.7. Any ‘ad hoc’ remote examinations (at a location that is used for less than 6 sessions within a 12 month period) must be notified to the CB in advance of the examination(s).

3.3. Examination questions

3.3.1. The CB maintains a validated multi-choice examination questions papers in line with the syllabus ISO/TR25107 requirements and its coverage and all AQBs are required from time to time to contribute additional questions, which shall subsequently be validated and added to the question papers for use by all AQBs under the Certification Scheme.

3.3.2. The AQB is required to hold a minimum of two examination question paper for any examination part which it is authorised to conduct.

3.3.3. Any introduction of new questions, once approved by the CB, examination material shall be used for no purpose other than qualification examinations. No questions which have been used for training purposes during the preceding twelve months shall be utilised within qualification examinations.

3.3.4. The CB shall distribute the validated and approved question papers for each method, sector & levels to the respective approved AQBs by the CB to the Chief Examiner. After the approval, the question papers shall be distributed to each AQB with unique identification system Eg. EX-AA-BB-CC-DD. Where in EX- Represents Examination, AA- Represents AQB code no, BB – Represents NDT method, CC-Type of Exam (General / Specific etc), and DD – Represent the specimen no of examination paper.


3.3.5. There shall be a documented AQB procedure for a system by which candidate's replies to examination questions are periodically reviewed in order to detect those questions which consistently elicit incorrect answers from candidates. This procedure will require the CB to be notified of any such examination questions.

3.3.6. The CB issues compiled examination question papers in the English language. All the examinations will be conducted only in English language.

3.4. Examination Specimens

3.4.1. The minimum number of practical specimens to be available for each permanently established AEC operated by an AQB that will enable the conduct of examinations for a stated maximum number of candidates at any examination sitting is specified in Annex C to this document. Examination specimens shall meet the relevant specification (where one exists) before use in qualification examinations.

3.4.2. Where a specification does not yet exist for a particular category of examination specimens, the AQB shall provide for CB approval a list of specimens proposed for use, including a master report for each, and shall not conduct examinations in the category concerned until authorisation has been issued.

3.4.3. Once approved for qualification examinations, examination specimens shall be used for no purpose other than qualification examinations. No specimens which have been used for training purposes during the preceding twelve months shall be utilised within qualification examinations.

3.4.4. A list of examination specimens and their disposition shall be submitted to the CB during initial authorisation. This list shall be maintained, updated and controlled by the AQB. During assessment and surveillance visits, CB assessors will select specimens at random and audit the specimen and associated master report for compliance with PD09 Annex C specifications.

3.4.5. Each practical specimen shall be uniquely identified by an appropriate permanent marking to ensure that it is completely traceable. Such marking shall not interfere with the practical testing or inspection of the specimen and shall, wherever practicable, be concealed from the candidate whilst the specimen is being used for examination.

3.4.6. The AQB quality management system shall document procedures for the procurement, production, maintenance, rotation, disposal and introduction of new examination specimens. The CB may at any time require AQBs to remove from service a particular specimen, or to obtain or procure and introduce additional specimens with specific natural or artificial flaws.

3.4.7. There shall be a documented procedure for the production of master reports of flaws in each specimen. The master report shall be based only on the inspection or test method and the particular technique to be applied to the specimen by examination candidates.

3.4.8. All examination specimens, in order to gain CB approval, must be evaluated independently by two personnel holding relevant level 2 certification. Where there is significant disagreement between the two evaluations concerning defect content, location and/or characterisation, the exercise shall be repeated until there is agreement in the result. From these separate


evaluations, a master report will be generated and this will be signed by the AQB Chief Examiner initially and at each periodic review. Records of such evaluations will be maintained for a minimum of ten years beyond the date when the specimen ceases to be used for qualification examinations.

3.4.9. The AQB shall have in place a procedure whereby examination specimen master reports are reviewed by an examiner, initially after between 5 and 10 usages, and thereafter at least every five years, against actual reports produced by examination candidates. If more than 50% of candidates fail to correctly report and characterise all mandatory reportable defects in the specimen, it is to be re-evaluated for suitability as a practical examination specimen.

3.5. Test equipment

3.5.1. The AQB shall hold sufficient relevant test and/or inspection equipment to enable the conduct of qualification examinations for a stated number of candidates at any one practical examination sitting. Minimum equipment holdings for AQBs are detailed at Annex B. Details of designated examination equipment must be submitted to the CB.

3.5.2. Existing AQBs are to record any changes in equipment holdings. If a significant reduction in equipment holdings is planned, this may result in a change in the scope of AQB authorisation and must be notified to the CB beforehand.

3.5.3. The AQB shall document instructions for maintenance and calibration acceptable to the CB for all inspection, test and measuring equipment used in qualification examinations. Such procedures shall include details of equipment type, identification, location, frequency of checks, method of check, allocation of responsibility and actions to be taken when results are unsatisfactory.

3.6. Consumables

3.6.1. The AQB shall ensure an adequate supply of all consumable materials necessary for qualification examination requirements. A documented procedure is required to ensure that consumables are properly disposed of strictly in accordance with applicable regulations.

3.6.2. Maintenance of capability for processes involving consumable materials is to be covered by a process control procedure.

3.7. Security

3.7.1. Examination materials, including questions and practical specimens, and information on candidates, require handling with a high degree of security, confidentiality, integrity and impartiality. If data at AQBs are computerised, a documented procedure shall cover, as a minimum, general security, authorisation for access, and measures to prevent loss of hard copy and/or computerised data.

3.7.2. Validated Examination Question Papers are provided to the approved AQB’s through soft copy with the password protection issued to the Chief Examiner. The Chief Examiner shall acknowledge the examination question paper transmittal through FP-83.


3.7.3. Secure lockable storage facilities shall be provided for all examination material including questions, answers, specimens and techniques. These must be located in an area to which candidates do not have unsupervised access. A secure facility for the retention of candidates' records and results shall also be provided.

3.7.4. Only authorised personnel from the AQB and CB representatives authorised in writing by the CB shall have access to examination material and records.

3.7.5. Where examination material is stored at a location not under the constant supervision of AQB staff, e.g., at a site remote from any permanently established and staffed examination centre, the AQB shall notify the CB of the location concerned, and the measures in place to safeguard the security and confidentiality of examination material. The CB reserves the right to audit such storage facilities and to direct that specific additional measures be implemented to safeguard security and confidentiality.

4. QUALITY MANAGEMENT SYSTEM

4.1. General

4.1.1. The AQB shall provide the CB with a documented Quality Management System (QMS)in electronic form (controlling and maintaining the provided files up-to-date). The QMS shall be shown to comply fully with these requirements and be adequate to maintain a consistent standard of qualification examination. The QMS shall include a statement of the AQB's safety policy and shall also include job descriptions and/or terms of reference for all staff.

4.1.2. The QMS shall be certified as conforming to ISO 9001/AS 9100, and this certification shall be issued by a body holding ISO 17021 approval granted by a National Accreditation Body affiliated with International Accreditation Forum (IAF).

4.1.3. The QMS shall include documented information covering all aspects of the organisation, its processes and control of qualification examinations. The intent of the quality management system shall be to ensure the effective control of, and consistency within, the qualification examinations conducted on behalf of the CB.

4.2. Non conformity and corrective actions

All instances of non-conformity with requirements are to be reported by the AQB to the CB, together with intended corrective actions and the latest date for implementation.

4.3. Risk Analysis

In the event that the AQB discovers the potential for non-conformity, the Co-ordinator is to advise and propose appropriate preventive action.

4.4. Quality records

4.4.1. The AQB is required to maintain for at least seven years comprehensive records as evidence of compliance with these requirements. Such records shall include, but not be limited to, results of:

4.4.1.1. continuous monitoring and internal audit;


4.4.1.2. staff re-appraisal;

4.4.1.3. equipment maintenance reviews and recalibration;

4.4.1.4. periodic reviews of marking schemes, procedures and documentation.

4.4.2. The AQB is also required to maintain comprehensive examination records (including precise details of which questions each candidate was set for each initial examination and re-examination) in secure lockable storage. Examination records shall normally be retained for a period of 11 years but, in any case, shall not be disposed of without prior consultation with Scheme Manager.

4.4.3. All records shall be available for scrutiny by authorised representatives of the CB.

4.4.4. In the event that an AQB ceases trading, or where authority to conduct qualification examinations is relinquished or withdrawn, all examination records will become the property of the CB and shall be conveyed promptly and securely to a location specified by the CB at the expense of the AQB concerned.

4.4.5. Records shall be stored on electronic media.

4.5. Internal audits

4.5.1. The AQB is required to devise and implement a system of continuous monitoring and periodic internal audit of all aspects of its AQB operations.

4.5.2. The QMS shall include a documented schedule for internal audit which will cover the whole of the quality and examination processes at least once in each calendar year. Internal auditors shall have been trained for that activity and possess sufficient technical knowledge and experience to determine that examination processes are in compliance with CB specifications.

5. PRODUCTION AND SERVICE PROVISION

5.1. Registering Candidates

5.1.1. The AQB will have a documented procedure for ensuring that candidates satisfy all requirements, particularly in terms of examination eligibility and identification, which includes a minimum of 10% verification of experience and supervision information provided by the candidate. The procedure will detail, but not be limited to, the following points:

5.1.1.1. correctly completed examination application forms (FP57 & FP30);

5.1.1.2. evidence of satisfactory completion of a course of training conducted by an ATO to the relevant syllabus;

NOTE: Where additional on-the-job training supplements the approved training, AQBs may accept a signed declaration from the applicant, endorsed by his employer, that this has been carried out, but should implement a system of random checks to verify such statements.

5.1.1.3. Pre-certification experience (form FP30 shall be used for recording experience), including supervision by an appropriately qualified person.

5.1.1.4. annual vision test (see form FP44) where appropriate;


5.1.1.5. identification of the candidate;

NOTE: For those candidates already in possession of a CB issued wallet card, AQBs must request sight of this to confirm the candidate's bonafides. If a candidate cannot produce a wallet card or photographs, then the AQB must either be in a position to offer a passport photograph service, or refuse examination until such photographs are supplied and can be attached to a new wallet card, signed by the candidate, for transmission to the CB with the examination result notice. In the latter case, the AQB must be in a position to witness that the supplied photographs are of the individual attending for examination, and must witness the individual signing the reverse of the photographs or must ascertain (using form FP33) that the signature on the reverse of the photographs is the same individual attending for examination.

5.1.1.6 Where education and training are used as pre-requisites for being eligible for certification, the AQB shall inform to the candidate no statements or implications that certification would be simpler, easier or less expensive if any specified education/training services are used.

5.1.1.7 AQB shall not give the impression that the use of both services would provide any advantage to the applicant?

5.2. Conduct of qualification examinations

5.2.1. The AQB shall have in place an operating procedure which ensures that candidates are, at all times during examination, closely supervised by a suitably qualified and authorised examiner or invigilator who will ensure that no candidate is permitted an unfair advantage or to collude with other candidates. During the written examinations an Invigilator or Examiner must be present at all times, and must closely supervise candidates during the practical assessment.

5.2.2. Instructions for invigilation included in the AQB’s QMS shall define appropriate training in invigilation techniques including, where necessary, specific points to be noted during practical examinations. An invigilator need not be an examiner, but shall:

5.2.2.1. be appropriately qualified if invigilating practical examinations;

5.2.2.2. ensure that appropriate examination conditions are maintained at all times;

5.2.2.3. ensure that any infringement of examination conditions by any candidate is recorded, and reported without delay to the Chief Examiner or AQB Co-ordinator;

5.2.2.4. declare an interest in any candidate prior to commencement of an examination.

5.2.3. Candidates shall sign a non-disclosure agreement or other agreement indicating their commitment not to release confidential examination materials or participate in fraudulent test-taking practices (FP56A).

5.2.4. A qualification examination may be interrupted or curtailed provided, in the opinion of the responsible Examiner or Invigilator, a valid reason exists. In the event of an interrupted or curtailed examination the AQB Co-ordinator shall advise the CB in writing of the interruption or curtailment and the circumstances leading up to it.


5.2.5. In the event that a qualification examination is suspended or interrupted before completion, the candidate shall be permitted to return to complete the examination without further charge at the same AQB within thirty days of the commencement of the original examination.

5.2.6. Any completed examination parts may be held over pending re-commencement, but shall not be marked (and the candidate shall not be given any indication of the result) until such time as all examination parts are completed.

5.2.7. Any part completed examination papers shall be retained with the candidate’s file as an examination record, but shall not be considered as a part of the completed examination. In respect of any part not completed, the candidate shall be given an entirely different paper upon re-commencement.

5.2.8. In the event of a subsequent re-examination, the earliest date allowable for the re-examination shall be calculated from the date of examination re-commencement.

5.2.9. Staff involved with examinations shall ensure that no examination material is removed by any candidate. This includes any rough notes, sketches etc. that the candidate may have made during the examination.

5.2.10. The use of programmable calculators is prohibited in qualification examinations, as is the use of personal digital equipment with storage facilities - unless the equipment concerned is inspected by AQB staff before use in an examination to ensure that the candidate is not gaining an unfair advantage, and after use in an examination to ensure the continued security and confidentiality of examination materials.

5.2.11. There shall be a documented instruction that all candidates shall be adequately prepared on the day of the examination. This will cover, as a minimum, provision of correct examination papers, codes and standards, examination equipment and materials, information on breaks during examination and the consequences of cheating.

5.2.12. An extension of up to 25% is authorised in the time allowed in written examinations for candidates suffering from conditions such as dyslexia (medical condition has to be proved through a registered medical officer with a valid certificate of proof), or whose first language is not that in which the examination is presented, who are likely to experience difficulty in completing examinations in the published time allowed. AQBs may allow this additional time at their discretion provided a record is retained with the examination records. Arrangements should also be made for an examiner to be present in order to supplement the written examination with oral questions if necessary to establish that the candidate has a firm grasp of the topic being examined.

5.2.13. Candidates shall be prohibited from using red ink or correction fluid when completing qualification examination papers. Candidates shall be required to initial beside any corrections they may make on examination papers. In the event that a candidate does use red ink, AQBs should take effective steps to ensure that the responsible examiner’s remarks and annotations are made in a manner that will not result in confusion in the event that a CB moderator or assessor should audit the examination in question.


5.2.14. Mobile phones and other electronic communications devices are a potential source of cheating and may disturb other candidates if they should be activated during examinations. Consequently mobile phones and any other electronic communications or image capturing devices shall be barred from written and practical examination facilities when qualification examinations are being conducted.

5.2.15. Provided security of examination materials can be guaranteed, candidates will be allowed the use of an AQB provided PC or lap-top computer in the NDT instruction and NDT procedure writing section of the qualification examination. On no account will the use of a candidate’s own computer be permitted during an examination and, for reasons of security, candidates are not permitted to bring any form of computer, including hand-held devices into the examination facilities at an AEC. The provision of computers for candidate use is optional for AEC.

5.3. Consistency of qualification examinations

5.3.1. The AQB is to make every effort to ensure that its standard of qualification examination(s) is consistent and at all times complies with requirements.

5.3.2. The AQB shall ensure consistency and veracity of examiners’ judgement by implementing a monitoring and double scrutiny process.

5.3.3. The examination system is to be defined by written instructions which shall include a system for double scrutiny and moderation of random samples of candidates' examination papers.

Note: The definitions of “Double Scrutiny” and “Moderation” are given in section 2 of this document.

5.3.4. The AQB shall apply a process that ensures a minimum of 5% of all examinations are subjected to double scrutiny. The AQB shall also verify/monitor a further 5% of all examinations by the double scrutiny or moderation processes. The moderation shall have to include the border line cases

5.3.5. The overall 10% requirement is applicable for up to a maximum of 200 instances of moderation or double scrutiny per annum. This applies to AQBs who conduct in excess of 2000 qualification examinations per annum.

5.3.6. Monitoring achieved via the double scrutiny process shall encompass annual (minimum) monitoring of all active examiners on the AQB’s authorisation. The procedure for double scrutiny shall be such that the first examiner is unable to forecast when double scrutiny will occur.

5.3.7. The marking instruction shall also require a review of completed examinations for indications of cheating.

5.3.8. Any significant difference between the initial marks awarded and those awarded by the second examiner in the double scrutiny process shall be investigated and appropriate action taken within the AQB system to restore consistency. In instances of discrepancy, the Chief Examiner’s decision shall be final. Both sets of marking records shall be retained by the AQB.

Note: The CB deems a significant difference to be any comparative results differing by greater than 3% on composite score or where an initial “pass” mark becomes a “fail” or vice versa.


5.3.9. Any identified errors, inconsistencies or moderator disagreement arising from the moderation process shall be reported to the Chief Examiner for investigation. In such instances corrective action shall be taken and the Chief Examiner’s decision shall be final. The moderator shall annotate and sign/date the initial examiner’s marking sheets. The annotation shall include the outcome of the moderation and any applicable comments.

5.3.10. When double scrutiny or moderation takes place, it is to be recorded on the candidate's examination records and on the examination result notice. In this instance the term “moderator” or “moderation” may be used on the result notice when either double scrutiny or moderation has taken place.

5.3.11. The double scrutiny or moderation shall take place before the candidate is informed of examination results. Any discrepancy discovered after the results have been sent out shall not be cause to change the "published" result, unless a particular examination result has been investigated in the course of a formal appeals procedure.

5.3.12. The AQB is to ensure that a candidate is not given the same examination paper or specimen in any subsequent examination he or she may take. This will include re-examination and recertification examination(s).

5.4. Grading of qualification examinations

5.4.1. The conduct of practical examinations is to be defined by written instruction and acceptance criteria PD-09 Annexure H, which shall include assessment and marking schedules for all possible solutions, observation of the candidate for compliance with safety notes and notices, and selection and correct usage of test equipment. Practical examination marking schedules shall be prepared by an authorised Examiner with appropriate certification, and signed by the Chief Examiner.

5.4.2. AQBs will grade NDT&I personnel NDT practical examinations according to the provisions of PD22.

5.4.3. All examination marking is to be carried out using red ink.

5.4.4. The examination result notice shall be prepared by the AQB with each result identification number as xx-yyy wherein xx- represent the AQB code number allocated by CB and the yyy- represents the running serial number of the results published of that respective AQB.

5.4.5. Examination results notices shall be despatched to the CB, and the candidate not later than 28 days (though it is desirable that this period shall be less than 7 days) from the date of the examination and, in the case of failure in the examination, should include an indication of the reason for failure which is useful to the candidate in preparing for re-examination. The AQB may provide a copy of examination results to the organisation paying the examination fees, but must ensure that data is safeguarded as required by national regulations on data protection.

5.4.6. The CB reserves the right to require further evidence of competence before issuing a certificate of competence.


5.4.7. The decision on certification of a candidate shall be made solely by the Certification Body on the basis of the review of the application and the review of the examination records duly received from the AQB gathered by the Quality Manager and final decision of certification by Scheme Manager during the certification process

6.0 Audit & Approval Process

Upon receipt of a correctly completed application (Annexure A-C inclusive), The Approval Body shall appoint competent auditor(s) to carry out a documentation review which shall include:

A review of the application and supporting material supplied.

Assessment of the applicant's quality management system for compliance with this document.

If the results of the review are satisfactory, the appointed auditor shall carry out a stage 1 on-site initial assessment of the applicant organisation to confirm that the infrastructure and resources comply with the QMS, ISO 9712 & 17024 requirements for approval.

After any agreed corrective actions relating to findings identified during the stage 1 audit have been implemented, and the organisation is finally confirmed to be complying with all applicable requirements, a report and recommendation for approval shall be made by the appointed lead auditor to the CB.

The authority to grant approval rests entirely with the CB. Should the CB consider that the applicant AQB Organisation comply with the minimum requirements of the CB, approval shall follow. If not, The Approval Body (CB) shall not be obliged to give reasons for withholding approval though, wherever practicable, the maximum assistance shall be given to AQB Organisations prior to any subsequent audit.

After approximately twelve months of operating as an AQB, the organisation shall be subjected to a stage 2 initial assessment. This audit shall seek to confirm continuing compliance with the requirements by sampling records raised during the delivery of examination. If successful in the initial stage 2 assessment, including the submission of any agreed corrective action evidence, the AQB Organization shall be issued a Certificate of Approval which includes a detailed schedule listing the locations and availability of validated training courses. This information shall also be uploaded to CB website.

Wherever AQB operate other than the current location, it shall be considered as Remote Examination Centres are proposed, Remote Examination Centres associated with an AQB shall apply for approval to AEC status on the relevant application form given in Annexure A. The AEC is managed by the controlling AQB.

AQB are entitled to display the Approval Logo, and will receive a frame-able certificate to promote their business as an AQB. A copy of the CB logo can be obtained at request directly from the CB.

Ongoing compliance with the requirements shall be confirmed during each three year approval cycle from the date of stage 2 approval by annual surveillance and full reassessment.

Surveillance shall be carried out on an annual basis by the appointed lead assessor who shall examine the way in which examination is conducted on site, including review of student examination records and files, and the site itself. At the discretion of The Approval Body, random and un-notified site visits may be carried out.


Reassessment involves confirmation by an appointed audit team that the Requirements continue to be complied with. Reassessment is undertaken not less than three months prior to AQB certificate expiry.

The detailed procedure of the audit process is explained below:

A controlled copy (either hard or soft copy is acceptable) of the documented quality system must be submitted to the CB for the attention of the Scheme Manager prior to being considered for initial approval. The precise format and coverage of the quality documentation shall satisfy the minimum requirements of PD09, but in any case will be agreed between the CB and the applicant AQB during pre-assessment discussions. The documented quality management system, together with those facilities and resources specified in PD09, will form the basis of approval by the CB of the AQB, which shall be deemed to have accepted the requirement to maintain and adhere to such staffing arrangements, facility and resource requirements, control arrangements and procedures defined in PD09.

Applications from prospective AQB

Upon receipt of an initial application from a prospective AQB, the CB will instigate a pre-assessment visit during which a review will be carried out of technical and administrative facilities for the provision of certification qualification examinations.

The initial application fee (see form PD/35) does not include provision for assessor time, air travel, subsistence, and accommodation expenses. The CB will estimate fees and expenses associated with the pre-assessment visit, and raise an invoice for payment by the applicant AQB before commencement of the pre-assessment visit. An adjustment will be made regarding over or under payment of actual fees and expenses upon completion of the visit.

Initial Assessment Stage 1

The appointed assessor will initiate Stage 1 of the AQB assessment:

Carry out a desk-top review for conformity with AQB requirements of the applicant’s documented quality management system (QMS), together with inventories of NDT equipment and mastered examination specimens, qualified personnel and documented infrastructure resources;

When, in the opinion of the assigned lead assessor, the organization is adequately prepared for initial on-site assessment, a mutually agreeable assessment date will be set and an audit timetable circulated.

Assessment fees at the current rate will be payable by the applicant AQB prior to the formal assessment visit. The applicant AQB will be invoiced after the assessment for any reasonable expenses incurred (travel, subsistence, accommodation, etc.)

A formal visit to the proposed examination centre(s) will confirm by physical audit the presence and conformity of all essential resources (personnel, environment, infrastructure, equipment, examination specimens, etc.) with AQB requirements.

In order to confirm the suitability of the applicant organization to conduct qualification examinations on behalf of the CB, the appointed assessor(s) may need to be assured of the effectiveness of working practices through the witnessing of actual or mock examinations.


Upon completion of the formal assessment, the assessor(s) will compile and present to the assessed organization a formal report. This report, with recommendations regarding authorization to conduct certification qualification examinations, will be presented to the Certification Scheme Manager (CSM) for review and acceptance.

Authorization to conduct certification qualification examinations

Once it is satisfied with the suitability of the assessed systems and facilities, and before an organization is permitted to conduct certification qualification examinations, the CB will issue a certificate of authorization. The expiry date of the certificate will be12 months from the date of issue.

Note; The decision to award initial AQB status shall be referred to a Panel comprising the Scheme Manager (or deputy), the CB CEO (or deputy) and the Chairman (or deputy) of the Certification Scheme Committee (CSC). The assessor may be present, and if so shall be asked to comment on findings, but shall not participate in the decision process.

The certificate and associated schedule will detail the scope of the authorization, and will name the AQB coordinator, chief examiner, other examiners, and invigilators within the organization. All new AQB authorizations shall be reported to the next available Certification Scheme Committee.

Initial Assessment Stage 2

After 3 to 9 months of initial operation, depending on examination turn over, the newly approved AQB will be fully re-assessed by the CB appointed lead assessor and, if no major deficiencies are recorded, ongoing authorization will be reaffirmed and a certificate of authorization will be issued valid for three years from the date of issue.

A controlled electronic copy of the AQB's documented quality system will be retained by the CB and a further copy will be maintained by the AQB and supplied upon demand for use by the appointed Lead Assessor

The CB must be advised immediately of any change in the personnel named on the certificate of authorization and will reserve the right to review continuance of approval consequent upon such changes.

Ongoing compliance and authorization

AQB shall be assessed for ongoing satisfactory performance and compliance with PD09 criteria during annual surveillance and three yearly re-assessment visits.

AQBs which, during surveillance or re-assessment, fail to satisfy the CB appointed lead assessor that they meet specified requirements, may have their approval temporarily suspended or permanently withdrawn by the Certification Scheme Committee. In the latter case, the organization concerned may appeal (the CB appeals procedure is detailed in document reference PD21) against the decision, or reapply for the CB approval as an initial applicant.

Deficiencies identified during assessment or surveillance must be corrected by the AQB within three calendar months, or within a lesser period which shall be defined in the assessors report and recommendations. The corrective action for such deficiencies shall be subject to lead assessor and the Certification Scheme Manager approval. This may be achieved by correspondence, but could involve a further visit by the CB appointed assessors.


Normal assessment and surveillance schedules are:

• stage 1 initial assessment-

• stage 2 initial assessment within 9 months of stage 1 initial assessment

• first Surveillance: approximately 12 months after stage 2 initial assessment

• Second Surveillance: approximately 24 months after stage 2 initial assessment

• Reassessment: 36 months after initial assessment

Thereafter, reassessment every three years with two annual surveillances at 12 month intervals between reassessments.

Re-authorisation following reassessment shall be on the authority of the Certification Scheme Manager (or authorized deputies).The assessor shall not take part in the decision process.

Extensions to scope of authorization

Existing approved organizations wishing to extend the scope of the approvals they hold shall be assessed for compliance with requirements in respect of the examinations they wish to add to their approval. If an extension application is received for Level 2 and/or Level 3 approval, then the AQB must already be approved for the lower level of this scope or they shall apply for the lower level also. This may involve a site visit and, if so, an assessment fee at the current rate will be payable by the organization prior to any visit to assess the proposed extension to scope.

Application for extension or reduction of approved scope, which will be considered at any time, must be made in the same manner as for initial approval. The award of authorization for the extended scope shall be on the authority of the Certification Scheme Manager (or authorized deputy).The assessor shall not take part in the decision process.

General conditions

Representatives of the CB, authorized in writing, shall have access to an approved AQB at all reasonable times to verify any aspect of its operation applicable to the requirements. The CB reserves the right to visit any approved AQB without notice.

The AQB shall meet all reasonable requests to provide access, accommodation and facilities for authorized the CB representatives at any time.

The AQB shall promptly remit to the CB a levy for each and every qualification examination conducted, the level of which is decided by the Certification Scheme Committee annually and is promulgated in document PD/35.

The CB will invoice the AQB for levies due on a monthly basis. Failure to settle invoices within the time scales defined on the standard the CB invoice shall result in suspension of authorization.

The CB reserves the right to withdraw any AQB authorization, in whole or in part, at any time.

Revisions of the conditions for authorization contained PD09 and its Annexes and Appendices are binding upon existing Authorized Qualifying Bodies.


AQB PROCESS FLOW:

AQB Approval Process Requirements Documents / Records

Initial Application for AQB Approval to be downloaded from GVCS website

Applicant Organization Legal Name Address Contact Details Proposed Examination Centre - Name,

Address and Contact Details

Application for AQB - PD09 Annex A

AQB Submission of Application along with the Required Documents

A controlled copy of the organization's documented quality manual and procedures.

AQB Quality Manual, Procedures, etc

A signed Code of Practice. Code of Practice - PD09 Annex D

The minutes from the most recent management review meeting.

AQB MRM Report

List of exam specimens and equipment.

Minimum Equipment Holdings For AQB -

PD09 Annex B

List of Exam AQB equipments

Minimum Specimen Holdings For AQB -

PD09 Annex C

List of Exam AQB Specimens

Examiner’s competence review and approval.

Examiner’s CV and Certificates

Signed confidentiality form for AQB employees.

FP56 - confidentiality form

The current application fee. PD35 - Fee Application

Application Review A review of the application submitted Application for AQB - PD09 Annex A to C

Assessment of Quality Management System

Assessment of the applicant's quality management system for compliance with submitted document.

FP-73A - AQB Document Review Report

Audit Planning Preparation for Initial Audit, Selection of Auditors and Audit Schedule

FP-72_ATO & AQB Audit Schedule

Stage 1 on-site Initial Assessment

If the results of the review are satisfactory, the appointed auditor shall carry out a stage 1 on-site initial assessment of the applicant organisation to confirm that the infrastructure and resources comply with the QMS, ISO 9712 & 17024 requirements for approval.

AQB Audit Checklist - PD09 Annex E

Conformity with AQB requirements of the applicant’s with inventories of NDT equipment.

Minimum Equipment Holdings For AQB -

PD09 Annex B

Conformity with AQB requirements of the applicant’s with inventories of mastered examination specimens.

Minimum Specimen Holdings For AQB -

PD09 Annex C

Acceptance of stage 1 Corrective action and recommendation for approval

After any agreed corrective actions relating to findings identified during the stage 1 audit have been implemented, and the organisation is finally confirmed to be

Audit Report of AQB

FP-74 Audit Report

Non-Conformity Form


complying with all applicable requirements, a report and recommendation for approval shall be made by the appointed lead auditor to the CB. This information shall also be uploaded to CB website

QP03 Annex A.

Feedback Form FP01

Approval of AQB to conduct certification Examinations

Should the CB consider that the applicant AQB Organisation comply with the minimum requirements of the CB, approval shall follow.

Certificate of Conformance issued with 12 months validity- PD09 Annex F

Issue of Mutual Agreement signed by both the parties.FP81

Issue of Approved AQB Invigilators, Examiners

List of Authorised Invigilator/Examiners - PD09 Annex E

Stage 2 Initial Assessment After approximately 3-9 months of operating as an AQB, the organisation shall be subjected to a stage 2 initial assessment based on the examination turn over. This audit shall seek to confirm continuing compliance with the requirements by sampling records raised during the delivery of examination.


Audit Report of AQB

FP-74 Audit Report

Non-Conformity Form QP03 Annex A.

Feedback Form FP01

Approval and Issue the AQB Certificate

If successful in the initial stage 2 assessment, including the submission of any agreed corrective action evidence, the AQB Organization shall be issued a Certificate of Approval which includes a detailed schedule listing the locations and availability of validated training courses. This information shall also be uploaded to CB website.

Certificate of Conformance AQB - PD09 Annex F

Approval for Remote Examination Centre

Wherever AQB operate other than the current location, it shall be considered as AEC Remote Examination Centre are proposed, an Remote Exam Center associated with an AQB shall apply for approval to AEC status on the relevant application form given in Annexure A. The AEC is managed by the controlling AQB.

PDO9 Annex A

Approval for Display the CB Logo

AQB are entitled to display the Approval Logo, and will receive a frame-able certificate to promote their business as an AQB. A copy of the CB logo can be obtained at request directly from the CB.

PD31 - Condition of use of the logo

Ongoing Compliance Ongoing compliance with the requirements shall be confirmed during each three year approval cycle by annual surveillance and full reassessment.


Audit Report of AQB

FP-74 Audit Report


Feedback Form FP01


Extensions to scope of authorization

Application for extension or reduction of approved scope, which will be considered at any time, must be made in the same manner as for initial approval. If an extension application is received for Level 2 and/or Level 3 approval, then the AQB must already be approved for the lower level of this scope or they shall apply for the lower level also.


Audit Report of AQB

FP-74 Audit Report


Feedback Form FP01

Surveillance Audit Surveillance shall be carried out on an annual basis by the appointed lead assessor who shall examine the way in which examination is conducted on site, including review of student examination records and files, and the site itself. At the discretion of The Approval Body, random and un-notified site visits may be carried out.


Audit Report of AQB

FP-74 Audit Report


Feedback Form FP01

Reassessment Audit Reassessment involves confirmation by an appointed audit team that the Requirements continue to be complied with. Reassessment is undertaken not less than three months prior to AQB certificate expiry.


Audit Report of AQB

FP-74 Audit Report


Feedback Form FP01


EXAMINATION PROCESS FLOW:

END CUSTOMER APPROACHES AQB

Submit FP57, FP44, FP30

Send it to CB

Eligibility for Exam

Inform to AQB

CB review the application

AQB

NO YES

Allocate a number to the candidate

Candidate write the exam with the number allocated by CB

Send result notification with examination pack to CB

Evaluation and Grading by AQB

If fail If pass


Issue of Result Notice by CB to AQB and update in database

Re-examination

Review of Result Notice by CB Quality Manager

Issue of Result Notice and Certificate by CB for Candidate

through AQB



RE-EXAMINATION APPROACHES OF CB

Re-exam Candidate

Additional Training

CB Review for approval of Candidate application submitted by AQB

Wait for one month

Approach AQB

Candidate write the exam with previously allocated number by CB

at AQB

Submit FP-57B along with the other required forms and Training Certificate

(if Applicable) to AQB


Evaluation and Grading by AQB

If fail If pass


Issue of Result Notice by CB to AQB and update in database

Re-examination


Issue of Result Notice and Certificate by CB for Candidate

through AQB



Chief Examiner Examiner Administrator

The Chief Examiner shall implement the system for the

periodic double security or moderation of random samples of not less than 10% of candidates examination papers, including practical examination reports

The Moderator shall review the candidate’s examination papers

and practical examination reports against master answer sheets and master specimen reports as if he

was the initial examiner

The Moderator shall pass the moderated papers to the

administrator for safekeeping and for onward consideration of the

Chief Examiner

The Administrator shall select and appoint as the moderator an appropriately qualified examiner

who has not been involved in the training or initial examination

of the candidate concerned

The Chief Examiner shall review the moderated papers and, if the

result is unaffected, shall authorizes the release of the

result notification

The Administrator shall pass the moderated papers to the Chief

Examiner for review

The Administrator shall publish the original or adjudicated result of the examination, showing the

name of the moderator, annotation the candidate file and

the record of moderated examinations with the name of

the moderator

Consistency of ISO 9712 Examinations

The Administrator shall maintain a system that will ensure that Atleast 10% of examinations are subject to

moderation or double scrutiny, prior to publication of the

examination result, such that it is unpredictable by the examiner

The Results of adjudication, together with instructions concerning the published

examination result, shall be passed to the administrator for

action

In the event that the moderation results in a conflicting

recommendation regarding success or failure, the Chief

Examiner will refer the matter for adjudication to a panel of not less than three appropriately qualified

persons