OPERATING PROCEDURE FOR CERTIFICATION IIW MCS ACCORDING TO ISO 3834

Transcription

1 1 OPERATING PROCEDURE FOR CERTIFICATION IIW MCS ACCORDING TO ISO 3834 This document is a translation of AFS 001. Révision Rédacteur Vérificateur Approbateur Ind. de Date Date Visa Nom Date Visa Nom Date Visa Nom revision application 0 7/12/2007 7/12/07 Roussel 7/12/07 Adam 7/12/07 Rousseau 1 25/01/ /01/08 Roussel 25/01/08 Adam 25/01/08 Rousseau 2 26/02/ /02/08 Roussel 26/02/08 Adam 26/02/08 Rousseau 3 7/04/2008 7/04/08 Roussel 7/04/08 Adam 7/04/08 Rousseau

2 2 SYNTHESIS OF REVISIONS Revision 0 : Revision 1 : first edition of the procedure modification of clause c) : criteria for the assessment of the coordinator modification of clause 4 : information on certified companies. Revision 2 : modification of clause 3.3 modification of clauses a) and b) Revision 3 : modification of clauses and last paragraph referring respectively to forms CC/ANBCC/FD 12 and CC/ANBCC/FD 13 Revision 4 : modification of clause 4 to introduce Giving Decision Persons

3 3 LIST OF DEFINITIONS AND ACRONYMS USED IN DIFFERENTS PROCEDURES OF CC AFS IIW IAB IAB - A IAB - B AFS IIW MCS IWE EWE CIWE CEWE IWT EWT CIWT CEWT IWS EWS CIWS CEWS IWP EWP CIWP CEWP I/EWP IWIP EWIP Nonconformité Observation Association Française du Soudage International Institute of Welding International Authorization Board : Body of l'iis/iiw in charge of IIW System for Certification and Qualification Group A from IAB in charge of writing and updating of guidelines for personnel training and qualification Group B from l'iab in charge of writing and updating concerning rules and procédures for approval of ANB, ANBCC and ATB French National Body Authorised for manufacturer certification IIW Manufacturer Certification Scheme for the Management of Quality in Welding. International Welding Engineer European Welding Engineer Certified International Welding Engineer Certified European Welding Engineer International Welding Technologist European Welding Technologist Certified International Welding Technologist Certified European Welding Technologist International Welding Specialist European Welding Specialist Certified International Welding Specialist Certified European Welding Specialist International Welding Practitioner European Welding Practitioner Certified International Welding Practitioner Certified European Welding Practitioner International/ European Welding Practitioner International Inspector in Welding European Welding Inspector Documentation or activity of the Manufacturer that does not comply with the IIW rules for the MCS management Scheme being assessed.. Documentation or activity of the Manufacturer that complies with the IIW rules for the MCS management Scheme being assessed but gives rise to concerns about deterioration towards nonconformity if corrective action is not applied. An observation can also identify opportunities for improvement.

4 4 CONTENT 1. SCOPE REFERENCE DOCUMENTS ASSESSMENT PROCEDURE Information phase Assessment preparation appointment of the audit team Formalisation of a refusal Treatment od the refusal by afs ASSESSMENT PHASE Welding coordination personnel for Welding quality management Scheme Use of standards other than those referred to in ISO Dealing with nonconformities and observations Results of the assessment CERTIFICATION PHASE VALIDITY AND RENEWAL SURVEILLANCE RENONCIATION, SUSPENSION AND REVOCATION Renonciation Suspension Revocation Rules for the use of the certificate and Scheme logo General Rules Restrictions contract Obligation CONFIDENTIALITY APPEALS General Réception de l appel Treatment of appeal ANNEX REASONS OF ASSESSOR s REFUSAL... 14

5 5 1. SCOPE This document describes the procedures to be used by AFS in order to assess a manufacturer of welded products requesting the certification according to the IIW Manufacturer Certification Scheme implemented as requested by doc. IAB 340 and IAB 338 (if applicable). The assessment is aimed at verifying the manufacturer s compliance with the IIW MCS for ISO The requirements described in the following paragraphs are standard conditions for a Manufacturer requesting the certification according to the IIW Scheme.. 2. REFERENCE DOCUMENTS - IAB 337 IIW Manufacturer Certification Scheme for the Management of Quality in Welding - Interpretation and Implementation of ISO 3834 requirements - IAB 338 IIW Manufacturer Certification Scheme for the Management of Quality in Welding - Supplement for the implementation of ISO 3834 oriented to welded products - IAB 339 IIW Manufacturer Certification Scheme for the Management of Quality in Welding - Rules for ANBCC Operating the IIW Manufacturer Certification Scheme. - IAB 340 IIW Manufacturer Certification Scheme for the Management of Quality in Welding - ANBCC Assessment of Manufacturers of Welded Products Operating the IIW Manufacturer Certification Scheme Toute la documentation utilisée doit être en accord avec la dernière documentation approuvée de l IIW MCS. 3. ASSESSMENT PROCEDURE INFORMATION PHASE When a manufacturer of welded products contacts AFS for certification according to the IIW MCS, the Permanent Secretary, Scheme Manager, shall provide the following documentation: a) present procedure (CC/AFS/001) b) IIW guidelines for manufacturers of welded products describing how the manufacturer shall interpret the ISO 3834 (Doc IAB 337 and, if requested IAB 338); c) information Sheet (doc CC/AFS/FD001); d) application form (CC/AFS/FD0014). With these information, AFS give certification price and duration of assessment. After price given by AFS is accepted by the manufacturer, the Permanent Secretary, Scheme Manager, shall provide the following documentation: a) appropriate questionnaire (CC/AFS/FD002 to 4) b) questionnaire concerning the manufacturer s welding coordinator (CEITS FD 006). Manufacturer shall fill questionnaires, and send them to the Permanent Secretary of AFS.

6 ASSESSMENT PREPARATION APPOINTMENT OF THE ASSESSMENT TEAM If the Scheme Manager estimates that above mentioned documentation is not complete or non appropriate, he requests supplementary necessary information to the manufacturer. Following a positive review of the documentation the Scheme Manager nominates the Assessment Team including the Lead Assessor. The number of assessors constituting the Assessment Team (one or more persons) depends on the specific circumstances of the assessment (e.g. the size of the manufacturer to assess, the complexity of its processes, etc.). In any case the Assessment Team must comprise assessors (including Lead Assessor) such that the aggregate of their detailed qualifications, knowledge and experience is adequate and relevant for the tasks involved in the proposed assessment. The members of the Assessment Team shall be properly qualified and independent of any involvement in the performance of the manufacturer's activities to be assessed. Within the Assessment Team, the Lead Assessor has, in particular, the responsibility for: - preparing the assessment; - leading the assessment, making the final decision on any matter regarding the assessment; - issuing the Assessment Report. The Lead Assessor makes use of the assessors help for evaluating the manufacturer. The Scheme Manager sends the order for assessment CC/ANBCC/FD 12 to each assessor FORMALISATION OF A REFUSAL Manufacturer has the possibility, as soon as he received the Scheme Manager proposal and during one week from this reception to refuse all or part of assessment team proposed, giving the reasons by writing TREATMENT OF THE REFUSAL BY AFS The Scheme Manager considers if refusal is receivable or not and gives his position to the manufacturer within the eight days (see annex). If he considers refusal is receivable, he sets up a new assessment team and informs the manufacturer and the assessors if they have been already appointed. If he considers refusal not receivable, he is writing the reasons to the manufacturer which has still possibility to object to this position during one week after mailing reception. This new objection is examined by the chairman of CC and two others members of committee chosen by the Chairman. When applicant s request is rejected, assessment team is informed in order to take this fact into consideration and begin assessment with necessary precautions. The CC is informed of this decision during its next meeting. When the Scheme Manager received all necessary documentation from the manufacturer including the formal acceptance of assessment team, he sends to the manufacturer the document CC/ANBCC/FD 13

7 ASSESSMENT PHASE The correct implementation and compliance with the IIW Manufacturer Certification Scheme is verified by the Assessment Team through interviews, examination of documents and analysis, and by direct observation of the activities in the manufacturing area. The Questionnaire (see CC/AFS/FD 002 to FD 004) may be used by the Assessment Team during this phase, considering also any previous answer given by the manufacturer and reviewed during the information phases. Particular attention is to be drawn on knowledge, experience and competence of personnel in charge of welding coordination activities, and to the use of standards different than those in ISO and to the definition of nonconformities and the results of the assessment, as reported in the following paragraphs. This assessment phase shall include at least 40% of time in assessment in the workshop WELDING COORDINATION PERSONNEL FOR WELDING QUALITY MANAGEMENT SCHEME the following criteria shall be considered: a) certification according to IIW Personnel Certification Scheme (CIWE, CIWT, CIWS and CIWP) shall be accepted provided the schedule of the person s certificate is consistent with the type of products being manufactured. Professional interview is registered with the form CEITS FD 001 b) If an IIW qualification is available (IWE, IWT, IWS and IWP) the welding coordinator(s) could be accepted provided there is an adequate experience and competence in the products being manufactured to be verified by means of a professional interview and curriculum vitae. Professional interview is registered with the form CEITS FD 001 c) If no certifications or qualifications are available, the ANBCC shall verify compliance by means of a professional interview covering knowledge, experience and competence of the welding coordinators with particular emphasis on welding technology, materials and their behaviour during welding, design fundamentals of welded construction, as well as fabrication and inspection aspects (including knowledge of standards). If such a professional interview is satisfactory, the welding coordinator(s) can be recognized by the AFS for this role and for the products and processes consistent with the current production. This professional interview will be completed by a verification of the work already performed by the coordinator and the assessor or technical expert will check the work in progress. Assessor or welding technical expert shall insure that the coordinator or the whole of welding coordinators fulfils satisfactory requirements described in form CEITS FD 001. For each point, beside the level of involvement described by the coordinator himself, he estimates his own estimation on the realisation. The coordinator will be recognised only for points where his involvement level is at least 2. It is necessary that each required point is covered by the whole manufacturer s coordinators. Due to the principle of mutual recognition between IIW and EWF whenever IIW qualification and/or certification of welding coordination personnel is mentioned, the correspondent EWF qualification and/or certification is considered equivalent. The manufacturer shall define tasks and responsibilities of the welding coordination team, based on ISO Welding Coordination personnel Tasks and responsibilities.

8 USE OF STANDARDS OTHER THAN THOSE REFERRED TO IN ISO Any standards used by the manufacturer that are different from those referred to in ISO shall be identified by the manufacturer. It is the manufacturer s responsibility to assess and verify that these standards are technically equivalent to the relevant ones specified in ISO It is the manufacturer s responsibility to assess and verify that these standards are technically equivalent to the relevant ones specified in ISO It is the responsibility of the AFS to evaluate any claims made by the manufacturer with regard to equivalence DEALING WITH NONCONFORMITIES AND OBSERVATIONS The nonconformities and observations found shall be recorded in a Report (CC/AFS/FD 006) which shall include, at least: - type (non conformity or observation) - area where the nonconformity or observation was found; - description of the nonconformity or observation; - reference to clauses/rules that have not been satisfied; - corrective action and target date proposed by the Manufacturer. To close a Nonconformity Report AFS shall ensure that the planned corrective actions are correctly implemented. Nonconformities shall be corrected before presentation of the Assessment Report to the Scheme Manager by the Lead Assessor. If the Assessment Team finds nonconformities that cannot be corrected within six months, the Lead Assessor has the authority to terminate the assessment and to inform the manufacturer that the Assessment Team will return after the manufacturer has completed the related corrective actions. The manufacturer is informed by the Scheme Manager that a new audit will be performed after he informs AFS about treatment of corrective actions RESULTS OF THE ASSESSMENT At the end of the visit and when he has the knowledge of correctives actions proposed, the Lead Assessor shall issue the Final Assessment Report (CC/AFS/FD 005) and shall present it to the AFS Scheme Manager within the month. Any Non Conformity Report shall be attached to the Final Assessment Report. The report shall indicate if the result is satisfactory or unsatisfactory. 4. CERTIFICATION PHASE. Only a Manufacturer with a satisfactory assessment result can be submitted by the Scheme Manager to members of CC appointed as Giving Decision Persons by the Permanent Secretary. The Manufacturer shall not have nonconformities pending when the Scheme Manager presents the initial certification request to the CC. A nonconformity arising during a surveillance audit, need not result in

9 9 cancellation of the certificate providing that it is corrected within a reasonable time to be determined by the Lead Assessor (not normally more than one month). Giving Decision Persons examines the final audit report and decides or not the certification. The Scheme Manager must record the decision of the Giving Decision Persons and informs the Manufacturer in the case negative of result. In the case of a positive result from Giving Decision Persons the Scheme Manager shall issue and forward to the Manufacturer the IIW MCS Certificate, update the web site of AFS including the list of certified companies et send necessary information to the IAB. Any change, regarding the welding and allied processes applied, which reflects changes in the data registered in this Schedule shall give rise to an updated revised Certificate and Schedule. The revision shall be submitted for approval to the Giving Decision Persons. 5. VALIDITY AND RENEWAL The Certificate is valid for a maximum of five years, subject to satisfactory surveillance, from the date of the assessment. The date of issue of the certificate must be the date of the decision on certification. Renewal is subject to a new application by the manufacturer and to a new complete and successful assessment by the AFS. 6. SURVEILLANCE Periodic surveillance of certified activities shall be implemented by the AFS in order to verify continuing conformity with the IIW Manufacturer Certification Scheme. A surveillance visit shall be performed within one year after first certification, with three further months of tolerance; afterwards an annual monitoring of the conformity with the IIW MCS may be accomplished by the AFS by means of a questionnaire (CC/ANBCC/FD 001 to FD 004) covering all items of the Scheme, sent to, and duly filled in by, the manufacturer and/or through an on site surveillance audit. Monitoring only through a questionnaire is allowed provided: - conditions referred to in a) et b) are satisfied; - Manufacturer, since the last surveillance visit, has maintained strict compliance with all items reported in the Schedule (i.e. type of products, welding coordinators, welding processes, materials) and demonstrated with objective evidence (e.g. through the absence of non-conformities during previous audits) the correct implementation of the IIW MCS. In all other cases or if the outcome of the questionnaire or other circumstances (e.g. complexity, range of products, welding personnel, etc) dictate, on-site surveillance audit shall be performed annually (or with an increased frequency, if needed) at the manufacturer s factory/site. After renewal of certification, at least one on-site surveillance audit shall be performed within the validity period of the Certificate (5 years max), in principle after three years since the renewal date.

10 10 7. RENONCIATION, SUSPENSION AND REVOCATION Renonciation The manufacturer can renounce the certification in writing to the AFS for any reason and at any time. As a consequence of renunciation the manufacturer must: - give back the Certificate to the AFS - refrain from using any copy of the Certificate - remove from all documentation and printed material any reference to the certification. The AFS will delete the manufacturer from the list of the certified manufacturers and informs IAB. If the manufacturer decides to seek certification again a new application must be submitted to the AFS Suspension Suspension of certification is decided by the AFS as a consequence of : - deviations from compliance with the requirements, insufficient to warrant revocation, but not removed by an agreed date - inappropriate use of the Certificate - modifications to the manufacturer's organisation, already in force but not yet notified to, and/or not yet evaluated by, the AFS. Suspension of certification is notified in writing to the manufacturer by the AFS, together with the supporting reasons and the conditions for restoring certification. As a consequence of suspension the manufacturer must inform current customers about the situation. The AFS will indicate, in the list of certified manufacturers, the suspension of certification status. The suspension is removed only after the AFS has verified that conformity with the requirements has been reinstated. The suspension removal is notified in writing to the manufacturer by the AFS Revocation Revocation of certification is decided by the AFS as a consequence of: - important deviations from compliance with requirements; - misuse of the Certificate; - modifications to the manufacturer's organisation not acceptable to the ANBCC; - refusal to allow surveillance audits or checks; - cessation of the certified activity. The revocation is notified in writing to the manufacturer by the AFS, together with the supporting reasons. As a consequence of revocation the manufacturer must: - give back the Certificate to the AFS - refrain from using any copy of the Certificate - remove from all documentation and printed material any reference to the revoked certification. Meanwhile the AFS will delete the manufacturer from the list of certified manufacturers and inform the IAB.

11 11 If the manufacturer decides to seek certification again a new application must be submitted to the AFS Rules for the use of the certificate and Scheme logo GENERAL A manufacturer certified according to IIW MCS system for quality in welding by AFS may refer to gained certification if : a) it is allowed by AFS ; b) the certificate is valid ; c) it respects conditions of use indicated in present procedure; d) presentation does not confuse in leaving assume that its products or services would be certified by AFS RULES The Certified Company has the right to publicise its certification by using the combined IIW AFS logo in the manner considered as the most appropriate, only in those activities related with the scope of the certification. In any case, such publicity shall give a true and accurate picture of the Company s capability covered by the certification. In particular, the Company is forbidden to alter the Certificate or its copies and/or to publish/utilise the certification outside the specified scope RESTRICTIONS The restrictions on the use of IIW AFS combined logo are: a) The logos shall only be reproduced in its original colours or in black and white, and never in any other colour. b) The diameter of both IIW and ANBCC logos shall have the same diameter. The maximum width or height of both logos shall be 20mm. c) The combined logo shall not be used for other certifications not defined in the Scope of Certification issued by AFS. d) The combined logo shall only be used while the IIW MCS Certificate is in force CONTRACT OBLIGATION The correct use of the combined logo, or of the Certificates, is obligated by contract. Withdrawal of the Certificate can be caused by deliberate, imprudent or inaccurate use of it. If for any reason IIW s authorisation of the AFS is withdrawn, the Company shall immediately cease to use the combined logo and, where necessary, remove all material containing the combined logo. The continued use and diffusion of the combined logo under these circumstances could end with legal actions taken by IIW. Example of use

12 12 8. CONFIDENTIALITY All documentation concerning the certification activity is considered confidential; therefore access to such documentation is limited to the AFS personnel involved. All assessment personnel and members of the CC must regard any information, gained during the certification activity, as confidential and are bound by professional secrecy APPEALS General The manufacturers who feel that they have been unfairly treated in the assessment have the right of appeal to the Governing Board of the AFS. The complaints are processed, in accordance methodology developed in clauses 9.2 et 9.3. with following paragraphs, by an Appeals Panel elected by the Governing Board. The decisions of the Appeals Panel are notified to the manufacturer in writing by the ANBCC Réception de l appel The manufacturer which complains against decision of CC shall request accompanied with justificatory documents to the secretariat of AFS. After registration, appeal is sent to President of CC for examination Treatment of appeal At reception of the request, it is examined by CC. If it is not related to the audit, decision is taken during CC.

13 13 If it is related to the audit, the Chairman of CC set up an Appeal Committee with members different of those being in the audit. In parallel, he is asking to the Lead Assessor to expose, by writing, reasons for which he gave a unsatisfactory advise in the audit final report. Appeal Committee examines whole file (information sheet, supplementary documents joined to the Appeal request, report of Lead Assessor). Based on these elements, proposal of Appeal Committee may be: 1. confirmation of audit team proposal, if supporting documents furnished by the manufacturer don t bring any supplementary information liable to change initial decision. 2. modification of audit team proposal, if supporting documents furnished by the manufacturer are liable to change objectively the decision of initial Jury. 3 propose to the manufacturer a new audit with new assessors in the case where arguments furnished by the manufacturer are not sufficient to examine objectively its request. In this case, during the new audit team assessment, the manufacturer shall be assessed a new time on each point of initial questionnaire. At the end of assessment, audit team will deliberate to propose to CC to award or not the certificate to the manufacturer. According to general rules, the Appeal s result becomes definitive.

14 14 ANNEX REASONS OF ASSESSOR s REFUSAL There are mainly three categories of reasons which can justify a refusal: 1. Conflict of interest In principle the Scheme Manager will accept to replace assessor if there is a matter of direct competition. This reason is not receivable if assessor is member of permanent staff of AFS except if the conflict of interest is connected to a past job within the two last years. 2. Technical competence In principle the Scheme Manager will accept to replace assessor except if he thinks that there is an evident mistake in manufacturer s appreciation. 3. Behaviour In principle this reason is not receivable if assessor has never been proposed to the manufacturer or if, during a past audit, the manufacturer did not report this irregularity in behaviour.