Quality Management Manual

Transcription

1 Seite 1 von 21 Quality Management Manual SECTOR Cert Gesellschaft für Zertifizierung mbh This document is a copy of the approved original document and applies within the frame of a controlled distribution without additional approval statements. It is the responsibility of the individual user of the controlled distributed document to use the valid version according to the release of SECTOR Cert. Documents superseded by revisions has to be destroyed. This paper is a copyrighted document. The content may not be copied, distributed, reproduced or dealt with in whole or in part without the prior consent of SECTOR Cert GmbH. Violations will be prosecuted according to paragraph 106 of the Copyright Act. SECTOR Cert - Gesellschaft für Zertifizierung mbh Köln 2014 Revision: Name / Funktion: N. Mahmutyazicioglu / LZ Reviewed: Name / Funktion: U. Sälzle / QMB Released: Name / Funktion: A. Jung / GF Datum: 01/09/2014

2 Seite 2 von 21 TABLE OF CONTENTS 1. PRELIMINARIES EXCLUSIONS COMPANY PROFILE POLICY REQUIREMENTS FOR THE CERTIFICATION BODY Organisational Chart The Management team Responsibilities by Functions MANAGEMENT PROCESSES Examination centers Development of new services Management of personnel Book keeping / controlling Organization of technical committee and scheme committee meetings Marketing / sales Control of management system KEY PROCESSES General Assessment Examinations Certification SUPPORTING PROCESSES Management of Complaints Management of Appeals Authorization and supervision of examiners AMERICAN STANDARDS Employer based certification ACCP bolt-on exam FLOWCHART OF PROCESSES AND THEIR INTERACTIONS CROSS REFERENCE OF PROCESSES AND STANDARDS CROSS REFERENCE FOR ISO/IEC 17024:2012 AND SECTOR CERT`S QMS APPENDIX A. PERSONNEL NAMES AND THEIR FUNCTIONS... 20

3 Seite 3 von Preliminaries This quality management handbook () is based on EN ISO/IEC 17024:2012 standard. For better reading the masculine gender is chosen but in all cases both genders are addressed. 2. Exclusions No exclusions. 3. Company Profile SECTOR Cert Gesellschaft für Zertifizierung mbh was founded in 1993 as a daughter company of VECTOR Technische Unternehmensberatung GmbH. We are an internationally active organization operating certification of persons. Our main area of operation is qualification and certification of persons who are performing nondestructive testing (NDT) and based on internationally recognized standards such as EN ISO 9712, SNT-TC-1A, CP-189 and Pressure Equipment Directive (PED). We are accredited according to EN ISO/IEC by the national accreditation body for the Federal Republic of Germany (DAkkS) and Zentralstelle der Länder für Sicherheitstechnik (ZLS). In co-operation with American Society of Non-Destructive Testing (ASNT) we are offering certification according to ASNT Central Certification Program (ACCP). SECTOR Cert has operating sites in Germany as well as in several European and non- European countries. We offer our services to all companies that need competent personnel e.g. production companies, service companies. We communicate with potential customers, our existing customers, our partners and all other interested parties according to defined communication processes e.g. our homepage (

4 Seite 4 von Policy All certification including accredited certification is an issue of trust. Therefore certification of persons is based on premium qualification of the applicant. What does SECTOR Cert offer? Training specifications and syllabi having a strong emphasis on practical aspects which ensure that certified persons are optimally qualified for their tasks. Examinations world-wide to the same high standards, all carried out by our authorized examiners. Accredited certification which is the proof for the qualification of the persons. How can we ensure this? We provide and control adequate resources to: our technical committees, assigned for each NDT method, verify that our training and examination materials for each certification scheme are up-to-date by regular meetings. use modern equipment for the practical work in all our centers. employ personnel who are experts in their field and are highly motivated. Our examination and certification activities are strictly separated from any training activities in order to ensure impartiality. Our Objectives In order to systematically reach our objectives, we implement continuous improvement in the field of customer relationship and market orientation using a broad spectrum of services. provide up-to-date examination materials and in a timely manner, using the input from our technical committees and other interested parties. consider and implement market trends at an early stage using our involvement in standardization processes. apply determined transparent processes which allow constant performance verification to the benefit of our customers. use systematic approach for continuous improvement by using management systems. offer our services worldwide at the same high quality level. We regard competence and responsibility of staff and partners as one of the main aspects for our participants and customers satisfaction. This is the main component for the high quality of our services and our business success. Signature / Date General Manager

5 Seite 5 von Requirements for the Certification Body SECTOR Cert is a certification body accredited by DAkkS and ZLS according to EN ISO/IEC We offer neither NDT services nor consultancy. Our certification system is open to all parties fulfilling the requirements of the certification scheme (based on EN ISO 9712 or other international standards) that is developed and maintained by SECTOR Cert. As required all costs of the certification body are covered by the fees. SECTOR Cert certificates issued are based on the exams carried out in SECTOR Cert recognized examination centers. To operate the certification process, SECTOR Cert carries out the following tasks: Development and maintenance of the certification scheme Organization of technical committee and scheme committee meetings Establishment or approval of training and examination centers Auditing of training and examination centers Organization of meetings for examiners and trainers Authorization and supervision of examiners Administration of certification applications Assessment of candidates Preparation and carrying out of examinations Decision on certification

6 Seite 6 von Organisational Chart Steering Committee General Manager Scheme Committee advisor to Head of certification Quality Manager Data Protection Agent Human Resources Agent Technical Committees Head of examination Deputy head of certification Assistance Assistance Team examination Team certification Assistance Assistance Head of financial accounting Head of IT Level III Services Marketing Agent Assistance IT Officer Employer based certification Marketing Financial accounting agency IT Agency

7 Seite 7 von The Management team The management team has the following levels: 1. Level General Manager (GF) 2. Level Head of Certification Body (LZ) Quality Manager (QMB) 3. Level Deputy Head of Certification (slz) Head of Examination (LP) Responsibilities and competences of the people and committee involved are either defined in job descriptions or procedures/instructions. The interaction of the different groups ensures that the certification body works competently and impartially e.g. not influenced by other interests or by other parties Responsibilities by Functions Chapter of Function 3, 4, 5, 6, 8, 9 General Manager 6.1, 6.2, 6.5, 7, 8 Head of Certification Body 6.1, 6.5, 7.3, 8.3 Head of Examination 7.3 Assistant of Examination 7.4 Team Certification 3, 4, 8.2 Steering Committee 6.1, 6.2, 8.1, 8.2, 8.3 Scheme Committee 6.7 Quality Manager 6.7 IT 6.7 Data Protection 6.6 Marketing 6.4 Finances 6.3 Management of Personnel

8 Seite 8 von Management Processes 6.1. Examination centers Standard examinations at level 1, level 2 or level 3 or without any level are carried out at relevant examination centers. All our processes are independent of any training in order to ensure confidentiality, information security and impartiality. Examinations are carried out by examiners who are in possession of the specific sector and level of certificates. Examinations are carried out worldwide under the supervision and monitoring of SECTOR Cert. Approval as a training and examination center is granted by the Scheme Committee after a successful initial audit. An authorization document is issued for training and examination centers. Regular audits ensure that all requirements are still fulfilled to maintain the authorization. Final release of an examination center is carried out by DAkkS Development of new services SECTOR Cert has implemented procedures ensuring a systematic process for developing new services e.g. new areas of certification, new testing techniques or methods, new sector for qualification. The decision to start the development process is made by the management e.g. by setting up a working group. This group adopts the certification system to the new service Management of personnel Strategic objectives are set based on the company s philosophy. In annual staff appraisals personal objectives are mutually agreed. Necessary qualifications are discussed and trainings are arranged. Each member of staff is responsible to achieve the objectives and the training schedules agreed on. It is ensured by documented and signed agreements between SECTOR Cert and each examiner that any conflict of interest is to be reported to the relevant superior immediately. This is valid for all personnel, whose activities may endanger the impartiality, confidentiality and/or information security, including contracted personnel carrying out activities on behalf of SECTOR Cert. As fixed in all contracts company or personal information and data are treated confidential Book keeping / controlling Book keeping and controlling are done at the premises of the main shareholder Organization of technical committee and scheme committee meetings Meetings of expert groups and trainings of examiners are arranged if necessary by the head of examination in co-operation with management. The scheme committee meets minimum once a year.

9 Seite 9 von Marketing / sales Marketing and sales activities are carried out by management and the marketing assistant. Defined tasks are outsourced i.e. cooperation with service providers in the field of marketing Control of management system Responsibilities of the quality manager The quality managers (internal and external) are responsible for the development, implementation and maintenance of the QMS. Details are fixed in their job descriptions. The external quality manager gives support to the internal resource and carries out internal audits when necessary. Internal audits and continuous improvement The frequency of the internal audits is fixed on the base of the importance of the process. Normally processes are audited once per year. The report gives information on improvement and optimization potential. The internal audits verify the effectiveness of each process and support the continuous improvement actions agreed on. Management review The management evaluates the QMS and its functionality on a yearly base. The results as well as measurements are documented. The following aspects are the base for the management review: Status of quality objectives Provision of resources Audit results Customer feedback (positive / negative) Including applicants, candidates, certified persons and interested parties Safeguarding of impartiality Feedback of participants and exam results Reports on improvement and optimization potential Follow up actions from previous management reviews Status of preventive actions Status of corrective actions Fulfillment of objectives Changes that could affect the QMS Appeals and complaints Review and validation of certification program Development and improvement of the QMS All processes are described in procedures/work instructions (SQMVs / SQMAs). Controls ensure that the processes run as defined and that objectives are met.

10 Seite 10 von 21 Documentation of the QMS The quality management system comprises of the following documents: including company policy; used for external and internal purposes Procedures SQMVs : describing the processes for qualification and certification of persons according to the certification scheme. Work instructions SQMAs : defining the processes and guidelines for different tasks Record sheets for all procedures are identified as FBVs and for all work instructions as FBAs. Public documents are available at our homepage. Other quality management system documents are available on request. Our work instructions define how files and records will be handled in order to maintain confidentiality throughout all examination and certification processes. Records All data obtained during the key and management processes are designated and archived systematically. Records of applicants, candidates and certified persons are stored electronically; the original hardcopies are disposed of in a professional manner by a relevant service provider. Procurement Suppliers for the relevant processes are contracted by SECTOR Cert and have to sign a confidentiality agreement. The quality of their work is controlled on a regular base using audits, delivery accuracy, and customer s feedback. Security Storage of data and documents as well as access authorization is defined in the respective documents. Each member of staff as well as subcontractors must follow these instructions and sign a confidentiality agreement. The data protection official assesses the processes on a regular base and supports the company to comply with the legal aspects. Several directives and policies are in place to ensure security of examination materials and confidential candidate data. This includes but is not limited to Location of these materials Type of materials Defined steps within the examination process Risks that could arise in case of repeated application of examination materials

11 Seite 11 von 21 In order to prevent fraud of any kind, several precautions are taken such as Candidates are to sign a non-disclosure agreement with regard to confidential examination materials Ensuring the presence of enough numbers of examiners Verifying identification of candidates Prevention of unauthorized aids in the examination area Prevention of access to unauthorized aids during the examination Monitoring examination results for indications of cheating and other situations that may lead to falsified examination results. 7. Key Processes 7.1. General Contract control ensures that SECTOR Cert accepts only such applications that are inside the accreditation scope. These controls take place first at respective examination center and then at certification body. Details are determined in the relevant procedures Assessment The assessment methods and mechanisms are defined in each certification scheme Examinations The examination process is described in the respective procedure. Generally the following steps are taken Acceptance of the announced examination Preparation of an examination file Contracting of examiner Shipping of examination file Examination at the examination center Evaluation of the examination by examiner Return of examination file Verification of completeness and correctness of examination file Archiving of examination file 7.4. Certification Policies, procedures and the costs for certification of persons and all certification documents are available on SECTOR Cert Homepage. The team certification deals with the applications and prepares the certificates. The head of certification is responsible for the issue of all certificates. He approves and signs the certificates if the requirements of the respective certification scheme are fulfilled.

12 Seite 12 von 21 A certification scheme contains at minimum the following subjects, as applicable: Scope Job and task description Required competence Abilities Prerequisites Code of conduct The certification processes are described in the respective procedures/instructions. The certification process is continuously monitored and evaluated. The results are inputs of the management review and relevant management meetings. SECTOR Cert employees may be certified provided that impartiality is maintained. This can be achieved by an examination according to certification scheme, using randomly chosen examination questions from a big number of questions and specimens pool. If, for any reason, the impartiality cannot be guaranteed, the employee has to apply to another accredited certification body for certification. The analysis and documentation of potential impartiality threats are described in respective instructions Surveillance On an annual base the certification body checks 0.5 per cent of all certificate holders. The control is focused on the annual visual acuity test and continuous work experience. In case that the certificate holder cannot provide the documents the certification body will hold the certificate, order a recertification exam or withdraw the certificate Renewal and recertification The certificates according to EN ISO 9712 are valid for maximum 5 years. Prior to the completion of this period and every 10 years thereafter, they can be renewed on the base of following documentary evidences: continuous work experience valid visual acuity report After 10 years from initial certification and every 10 years after, in addition to the requirements given above for renewal, an examination is necessary to gain recertification. Applications for renewal and recertification must be submitted within 6 months prior to the expiry date. On special request and with written justification for the delay of application the certification body can accept applications received after the expiry date. Examiners who have been authorized for level 3 exams can either recertify via credit system by SECTOR Cert or via recertification by another accredited certification body.

13 Seite 13 von 21 Renewal or recertification for other certification schemes is defined in the relevant procedures Withdrawal, cancellation and discontinuity of certificates In case of Incorrect information in the application form Non-fulfillment of the requirements Wrong use of the certificate Not following the code of ethics SECTOR Cert will put the certificate on hold. If these issues are confirmed the certificate will be withdrawn. The validity of the certificate expires automatically on the specified date Use of the certificate / logo Rules for use of certificates and logo are defined in the relevant instructions and at the backside of the certificates. 8. Supporting Processes The handling processes for complaints and appeals are open to all parties on our homepage Management of Complaints A documented procedure is in place to handle complaints. Every member of staff has to accept complaints and inform the GF and QMB. The management will evaluate the situation and implement actions. The QMB is responsible for the follow-up. If the complaints cannot be solved or the customer is not satisfied with the decision the QMB informs the GF Management of Appeals A documented procedure is in place to handle the appeals. This takes into consideration at minimum the following subjects: a. Receiving, evaluating and investigating. b. Deciding actions to be taken. c. Tracking and recording appeals incl. actions undertaken. d. Ensuring that if applicable, appropriate corrections and corrective actions are taken. If an appeal is made against a decision of the head of certification body, it will be handled by an independent committee which will be established by the steering committee.

14 Seite 14 von Authorization and supervision of examiners Examiners must fulfill the following requirements for supervising an examination: Level-3-certificate (or highest level available acc. to the certification scheme) in the respective testing method and industry sector Authorization by SECTOR Cert Contract Assignment for the exam 9. American Standards 9.1. Employer based certification According to SNT-TC-1A the employer must qualify, examine and certify his staff. SECTOR Cert has several ASNT level III personnel who can act as an external level III person. Services are described in detail on our homepage and in our program book ACCP bolt-on exam SECTOR Cert has been authorized by ASNT to offer so called bolt-on exams. Candidates who are holding a valid SECTOR Cert certificate at level 2 or level 3 according to EN ISO 9712 (EN 473) can take this bolt on exam and receive an ACCP certificate from ASNT. Details of the process are described in respective documents.

15 Seite 15 von Flowchart of Processes and Their Interactions

16 Seite 16 von Cross Reference of Processes and Standards SECTOR Cert ISO/IEC 17024:2012 ISO 9001:2008 Management Processes Management 4, 5, 6, 7, 10 4, 5, 6, 7.4, 8 Training and examination centers Development of New Services 4.1, 4.2, 5, 6, 9.3, , 5.2, 7.3, 8.4, , 5.1, 5.2, 5.3, 5.4, 5.5, 6.1, 6.2, 7.1,7.4, 8.2, 8.5 Management of Personnel 6 5.4, 5.5, 6.1, 6.2, 8.5 Book keeping/ Controlling 4.1, 4.4, , , 5.5, 6.1 Control of management System 4.1, 4.2, 7.1, 7.2, 7.3, 7.4,10 4.1, 4.2, 4.2.1, 4.2.2, 4.2.3, 4.2.4, 5.3, 5.4, 5.5, 5.6, , 8.2, 8.4, 8.5 Marketing / Sales 5.1, , 7.2, 6.1, 8.5 Internal Audits , , , 8.4, 8.5 Continual Improvement Process Key Processes Certification Examinations Supporting Processes Management of complaints and appeals Authorisation and supervision of examiners , , , 8.4, , 4.3., 5.1, 5.2, 6, 7.3, 7.4, 8, 9, , , , Annex A 4.2, 4.3., 5.1, 5.2, 6, 7, 9.3, 9.6, , , ,Annex A 9.8, 9.9, , , 8.4, , 4.2.4, 5.2, 5.2, 6.2, 6.3, 6.4, 7.1, 7.2, 7.4, 7.5, 8.2, , 5.5, 6.3, 6.4, 7.1, 7.2, 7.5, 8.2, 8.4, , 7.4, 8.2, 8.5

17 Seite 17 von Cross Reference for ISO/IEC 17024:2012 and SECTOR Cert`s QMS ISO/IEC 17024:2012 Documents General requirements SQMA03-61, , 5.2, 6.3, 6.5, 6.7, 7.4, , 6.7 Structural requirements 5.1 5, Appendix A , 5, 6.1 Resource requirements , 6.7, , 6.3, 8.3 SQMA03-02, SQMA03-10 annual budget planning, liability insurance Homepage, Syllabi, SQMV02, SQMA03-07, SQMA03-06, SQMA03-04 SQMA03-35, job descriptions, contracts SQMA03-04, SQMA03-06, SQMA01-03, SQMA , 6.2, 6.3 SQMA03-06, contracts SQMA03-06 Records and information requirements SQMA03-32, SQMA03-34, certification application form Homepage, Certification scheme booklet , 6.3, 6.7 SQMA03-32, contracts , 6.3, 6.7 SQMA03-32, SQMA03-10, contracts

18 Seite 18 von 21 ISO/IEC 17024:2012 Documents Certification schemes 8.1 5, 6.2 SQMV02, SQMV08, accreditation certificate , 7.4 SQMV02, SQMV SQMV02, SQMV , 6.2, 6.5, 7.4 SQMA , 5, 6.2, certification schemes are based on international standards which are periodically reviewed (at min. every 5 years), SQMA03-07, Minutes of technical committee meetings Certification process requirements Homepage, program booklet, application form, SQMV02, SQMV08, SQMA03-61 SQMV02, SQMV08, SQMA03-61 Homepage, SQMV02, SQMV08, SQMA01-03, SQMA02-03, SQMA03-05, SQMA03-06 SQMV02, SQMV08, SQMA03-04, SQMA03-06, SQMA03-61, -62 SQMV02, SQMV08, SQMA03-61 SQMV02, SQMV08, SQMA03-61, -62 Application form, certificate, SQMV02, SQMV08, SQMA03-61

19 Seite 19 von 21 ISO/IEC 17024:2012 Documents SQMA SQMA03-08 Management system requirements , 6.7 see ,7,8 SQMA03-31, SQMA03-32, SQMA03-03, SQMA03-06, SQMA08, management review

20 Seite 20 von 21 Appendix A. Personnel names and their functions Function Management Authorised Signatory Head of Certification Body Head of Examination Team Examination Team Certification Assistant employer-based certification Steering Committee Name Dr. Achim Jung, Markus-F. Hagen Christian Kockler Dr. Nazım Mahmutyazıcıoğlu Deputy (ies): Norbert Bönnen Dr. Achim Jung (PED) Ralf Birringer (PED) Dieter H. F. Kaiser (technical expert) PED: approval to pressure equipment directive Norbert Bönnen Ralf Sings Verena Savov Sara van Eckeren Elke Zamani. Sandra M. Engel Jana Beji Chairman: Siegfried Kraus Vice-Chairman: Dieter Kaiser Members: Dr. Hans-Otto Asbeck Dr. Christian Buschmann Lothar Emmerich Dr. Christoph Dilg Martin Hampejs Bernd Huber Winfried Pfeiffer Slobodan Popovski Jürgen Sambolz Dr. Dirk Treppmann

21 Seite 21 von 21 Function Scheme Committee QM IT Data Protection Officer Marketing, Assistant of GF Finances Management of Personnel Name Chairman: Bernd Huber Vice-Chairman: Dieter Kaiser, Members: Dieter Kaiser (VT) Angelika Debnar (ET) Dr. Jürgen Schoof (TT) Dr. Hansgeorg Thiele (RT) Christoph Kringe (PT) Andreas Koppelberg (MT) Hans Rottländer (LT) Dietmar Seidel (UT) Michael Pils (BD) Markus-F. Hagen (ASME) Dr. Achim Jung (BASIC) Dr. Nazım Mahmutyazıcıoğlu Ute Sälzle (extern) Helmut Habermann (extern) Thorsten Hauck (extern) Carina Lichtenberg (extern) N.N. Management Thomas Schmidt (extern) Sabina Pittlik (extern) Management Brigitte Benetello (extern)