AUDIT REPORT

COVER PAGE
ORGANIZTION UNDER AUDIT:
Reference Standard: Date(s) of the audit:

KEK TRAINING CENTER

EN ISO/IEC 17024:2003 08, 09, 10, 11, 12 of October 2012 12 October Date of the Report: 2012 3, 4, 5 Total pages.: 5

Page Cover Number: Page

Summary Page

List of Findings

REPRESENTATIVE OF THE AUDITED ORGANIZATION:

Function:

Date:

REFERENCE DOCUMENTS: EN ISO/IEC 17024:2003 IAF Guidance on the application of ISO/IEC 17024:2003 Quality Manual of Certification Organism Edition 01, Rev. 00, May 2012

AUDIT TEAM COMPOSITION:

Function Names Signatures

Lead Assessor

Tobias Rosado

Peer Assessor

talo Fernandes

TR/IF-2012/10/12

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AUDIT REPORT
SUMMARY PAGE
Organization under Audit: KEK Training Center Date(s) of the audit: 08, 09, 10, 11, 12 of October de 2012

Introduction This report describes the conclusions and findings made by the Audit Team within the Audit scope. The Audit Team draws the attention to the fact that the Evaluation it is based in a sample process and there can be other flaws, related or not with the ones described in this report, being the responsibility of the Certification Organism to identify and correct such flaws. This report as well as all the information that the Audit Team had access to during its participation in the Evaluation, shall be treated as confidential and cannot be reproduced to third parties without authorization from the Certification Organism.

Summary

The present audit within the scope of the Part 1, Section 8, Annex 1 of the Quality Manual, based on the reference standard EN ISO/IEC 17024:2003 and according to the defined plan, had as objective the revision of the Certification Organism Quality System according to the requirements defined in the reference standard. For the evaluation of the Quality System the Audit Team had access to the Quality Manual of the Certification Organism. The Audit Team would like to point out that during the duration of the audit almost no evidence was presented regarding the implementation of the quality system therefore the major activity was to verify the contents of the Quality Manual against the reference standard. During the audit it was also witnessed by the Audit Team a series of simulation in order to access the implementation of the quality system in welders a certification process in terms of examiners and decision makers activities. The witnessed certification processes were: Welder approval for MAG welding process, for a fillet weld in position PB; Welder approval for MMA welding process, for a butt weld in position PA; Welder approval for MAG welding process, for a fillet weld in position PF; Welder approval for TIG+MMA welding processes, for a tube butt weld in position PA. The results of the evaluation to the Quality System and to the Simulations performed are reported within the List of Findings below. Corrective actions for the Non Conformities detected shall be developed within 2 months. All Non Conformities shall be resolved within 4 months. The Audit Team wishes to thank to KEK and the Certification Organism by the way it was received and accompanied during the audit, as well as the good cooperation that characterized the whole audit and was fundamental to fulfil all the proposed objectives.

Signature of AT: TR/IF-2012/10/12

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AUDIT REPORT
List of Findings
Organization under KEK Training Center Audit: Classif. Standard (1) Requirement OBS 4.1.1 Date(s) of the audit: 08, 09, 10, 11, 12 of October de 2012 Finishing deadlines Perform ance

N 1

Descriptions of the findings

Impruvment actions

mNC

4.1.1

OBS

4.2.1

MNC

4.2.1

MNC

4.2.4

It is not clearly stated in Part 1 that the Certification In the Part 1, Section 4, item 4.1, it will be 26.10.2012 Organism will assure fairness for all Candidates stated a statement from Certification Organism seeking certification. in what regard assurance of fairness for all Candidates seeking certification. On Part 1, Section 5 of the Manual, a document On Part 1, Section 5 of the Quality Manual, will 26.10.2012 containing the Certification Organism quality policy be stated clearly quality policy and targets of and targets to be achieved is foreseen, but such Certification Organism to be achieved. This document was not evidenced. document will be considered as Quality policy and targets of Certification Organism. In Part 1, section 6 its stated that only two In Part 1, section 6 will be stated that only two 26.10.2012 Members of the Executive Committee (EC) will be Members of the Executive Committee (EC) will from KEK and none of them will be the EC be from KEK, and on the EC composition President, and on the EC composition (section 8, (section 8, annex 4) will be stated that if one of annex 4) it is stated that 3 Member are coming them will be being elected as a President of the from KEK, one being the President of the EC. EC than He will not have right on taking decision and in vote. No evidence was shown regarding the identification The meetings for establishing of Executive 22.01.2013 (appointment and approval) of the Members of the Committee and Certification Panel will be Executive Committee and Certification Panel. called from date October 22 to November 02, minutes of meeting will be recorded on the Form 26 as evidence. No evidence was presented regarding the financial In Part 1, section 4 will be stated that 26.10.2012 resources of the Certification Organism and how the Certification Organism has its plan regarding Certification Organism will cover associated financial resources and covering of associated liabilities. liabilities. Certification Organism a document making clear these information on Annex 11 of Section 8. The same document will be

(1)

Write:

OBS Observation or Potencial Non Conformity MNC Major Non Conformity = absence (or systematic flaw) of one requirement from the standard. mNC Minor Non Conformity = partial and isolated flaw, documental or not, of one requirement from the standard.

Signature of AT: TR/IF-2012/10/12

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AUDIT REPORT
List of Findings
Organization under KEK Training Center Audit: Classif. Standard (1) Requirement Date(s) of the audit: 08, 09, 10, 11, 12 of October de 2012 Finishing deadlines Perform ance

Descriptions of the findings

Impruvment actions submitted to the Management Board of the Certification Organism and after its approval and signature the Certification Organism will provide as evidence.

OBS

4.2.5

MNC

4.2.7

Part 1 of the QM does not clearly states that the Certification Organism shall not offer training or aid others seeking certification. No evidence was presented regarding formal appointment of the Responsible of the Certification Organism, Secretary, Examiners and Experts responsible for the decision.

OBS

4.3.3

9
(1)

mNC

4.4.2

In Part 1, section 6 will be stated that Certification Organism shall not offer training or aid others seeking certification. After the approval of Executive Committee and Certification Panel from The Managing Board of Certification Organism will be also an approval of Responsible of the Certification Organism, Secretary, Examiners and Experts responsible for the decision. All of these activities will be evidenced as protocol or minutes of meetings and also as QM documents evidenced to be provided for an Audit.. It was not evidenced that the Certification Panel in In part 1 of QM, section 6, item 6.7.2 The order to assure that when updates to the reference Functions of the Certification Panel will be documents are published, it will be responsible to stated one function in addition in what regard make the necessary adjustments and notify the to make sure that when updates to the representatives of the scheme committees and referenced documents are published, the interested parties. Certification Panel will be responsible to make the necessary adjustments and notify the representatives of the certification scheme and interested parties. It was not evidenced to the Audit Team that the In the near future it will be evidenced an official

26.10.2012 16.11.2012

26.10.2012

26.10.2012

Write:

OBS Observation or Potencial Non Conformity MNC Major Non Conformity = absence (or systematic flaw) of one requirement from the standard. mNC Minor Non Conformity = partial and isolated flaw, documental or not, of one requirement from the standard.

Signature of AT: TR/IF-2012/10/12

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AUDIT REPORT
List of Findings
Organization under KEK Training Center Audit: Classif. Standard (1) Requirement Date(s) of the audit: 08, 09, 10, 11, 12 of October de 2012 Finishing deadlines Perform ance

Descriptions of the findings management system is understood and implemented at all levels of the Certification Organism.

Impruvment actions order of being started issue and use of the QM and other documents of certification system, and also will be protocols and/or proper evidences for all workshops regarding instruction on how to be the QM implemented within certification process. For example each workshop conducted will be accompanied by signed time sheet of presence.

10

mNC

4.7; 5.1.2

It was identified a form (QT- OC/ DC-016/01) that commits employed/contracted persons of the Certification Organism to comply with the rules defined by the Certification Organism, including those related with confidentiality, but no evidence was presented regarding the documents being signed. UP005 and UP 013.01, have no traceability to the quality system of the Certification Organism.

11

OBS

4.3.4

The Experts for decision and Examiners will 23.11.2012 sign Confidentiality Agreement immediately. Also the other employed/ contracted persons of Certification Organism will sign that agreement. These activities will be recorded and evidenced at the form (QT- OC/ DC-016/01) related with this confidentiality agreement at the certain folder providing archiving of Records. At very beginning in the specific procedure 26.10.2012 PS013.01 regarding granting of welder certification will be stated cross-reference for technical instruction UP013.01. Also in technical instruction UP013.01 will be mentioned technical instruction UP005 in order to make sure their traceability. For the Certification Organism management 26.10.2012 organs, Experts for decision and Examiners will be documented current CV-s and the same shall be updated. All needed data regarding

12

MNC

5.1.4

No evidence was presented regarding current documentation (CVs) on the relevant qualifications of the Certification Organisms management organs, Examiners and Experts responsible for the

(1)

Write:

OBS Observation or Potencial Non Conformity MNC Major Non Conformity = absence (or systematic flaw) of one requirement from the standard. mNC Minor Non Conformity = partial and isolated flaw, documental or not, of one requirement from the standard.

Signature of AT: TR/IF-2012/10/12

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AUDIT REPORT
List of Findings
Organization under KEK Training Center Audit: Classif. Standard (1) Requirement decision. Date(s) of the audit: 08, 09, 10, 11, 12 of October de 2012 Finishing deadlines Perform ance

Descriptions of the findings

Impruvment actions

13

MNC

5.2.1

CV-s will be shown in a proper table in Annex 10. At section 6, item 6.1. In Part 1, section 6 of the Certification Organisms QM will be stated that the CV-is of these people are in the Annex 10. No evidence was presented regarding the selection The selection process of the Examiners and 26.10.2012 process of the Examiners and Experts responsible Experts responsible for the decision will be for the decision against the defined requirements done and evidenced in saved and archived within the quality system of the Certification document. This document will be signed and Organism (PS13.1 Annex 1 and 2). provided to be shown to the Audit. There is no document describing how the Certification Organism shall provide on request information regarding the certification process. By Certification Organism will be prepared a 26.10.2012 list of request for information regarding the certification process. This list will be mentioned at Part 1, of QM, Section 6, item 6.4, and also at functional procedure for Certification PF013. The document itself might be shown as an Annex of the Part 1, Section 4 of QM. There is no traceability between the protocol for the In the protocol for the certification that 26.10.2012 certification that applicants must sign and the applicants must sign will be set in above part of application form for the certification. the protocol statement for reference regarding traceability with the application form for the certification. It is only foreseen within the Certification Organism In PS 13.01will be stated that the Certification 26.10.2012 quality system a certificate template for reference Organism quality system will use a certificate standard EN 287 (QT- OC/ DC-011/01), where the template (QT- OC/ DC-011/01) for all standard Certification Body according to PS 013.01 also has mentioned regarding welding certification as reference standards ISO 9606-1 and EN ISO scheme as EN 287, ISO 9606-1 and EN ISO

14

mNC

6.1.1

15

OBS

6.1.2

16

OBS

6.3.2

(1)

Write:

OBS Observation or Potencial Non Conformity MNC Major Non Conformity = absence (or systematic flaw) of one requirement from the standard. mNC Minor Non Conformity = partial and isolated flaw, documental or not, of one requirement from the standard.

Signature of AT: TR/IF-2012/10/12

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AUDIT REPORT
List of Findings
Organization under KEK Training Center Audit: Classif. Standard (1) Requirement 9606-2. 17 mNC 6.3.3 The year of the standard is not mentioned in form QT- OC/ DC-011/01. Date(s) of the audit: 08, 09, 10, 11, 12 of October de 2012 Finishing deadlines Perform ance

Descriptions of the findings 9606-2

Impruvment actions

The year of the standard will be mentioned in 26.10.2012 form QT- OC/ DC-011/01. On form QT- OC/ DC-011/01 will be stated that the Person that signs the certificate it is the On form QT- OC/ DC-011/01 it is stated that the Person that signs the certificate it is the Head of the Expert for making decision. Training Department. On procedure PF 07, form QT- OC/ DC-013/01 is being wrongly referenced. On procedure PF007 instead of form QT- OC/ DC-013/01will be used the QT- OC/ DC-014/01 form. Examiners not always are verifying the In the procedure PS013.01 will be stated that consumables that welders were using, only verifying the Examiners shall verify identifying of the the photocopies of the labels and not identifying consumable batches and also consumables the consumable batches. itself which are to be used by welders. This will be mentioned also in technical instruction UP013.01. During the visual inspection, Examiners were trying In what regard visual inspection we are going to evaluate by I think so, not by the acceptance to make a review of technical instruction criteria, namely in the case of characteristics that UP001 and within it to make statements cannot be evaluated via visual inspection but via regarding evaluate by the acceptance criteria macro, as example the convexity of fillet welds. instead of I think so. The same approach will be followed regarding the evaluation of the convexity of fillet welds made via macro and will be stated in the technical instruction UP004. Difficulties to connect the visual inspection activity We will conduct practical workshop to exercise 26.10.2012

18

OBS

6.4.1

30.11.2012

19

OBS

6.2.2/6.2.3

20

OBS

6.2.2/6.2.3

26.10.2012

21
(1)

OBS

6.2.2/6.2.3

26.10.2012

Write:

OBS Observation or Potencial Non Conformity MNC Major Non Conformity = absence (or systematic flaw) of one requirement from the standard. mNC Minor Non Conformity = partial and isolated flaw, documental or not, of one requirement from the standard.

Signature of AT: TR/IF-2012/10/12

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AUDIT REPORT
List of Findings
Organization under KEK Training Center Audit: Classif. Standard (1) Requirement Date(s) of the audit: 08, 09, 10, 11, 12 of October de 2012 Finishing deadlines Perform ance

Descriptions of the findings

Impruvment actions

with the relation between EN ISO 5817 and the EN the activities with the relation between EN ISO 287-1. 5817 and the EN 287-1 and also we will undertake steps to do the needed translation from relevant standards. 22 OBS 6.2.2/6.2.3 When filling up the forms some information is typed In the specific procedure PS013.01 we will 26.10.2012 in one form but not in other forms, as example the make mention that in technical instruction pWPS ID. UP013.01 we will set the explanation to fill up forms only in one way to be agreed between ourselves so we will set a unique code for each ID of the form ex. pWPS ID. Not following the information given on the QM In procedure PS013.03 we will be mentioned 26.10.2012 Working Instructions, as example the codification of the way for the codification of the test coupon the test coupon. and that will be explained also on the technical instruction UP013.01 and UP002. To make sure for the proper filling up of forms We will conduct practical workshop to exercise the way for the codification of the test coupon based in what is written in the technical instruction UP013.01. From this workshop will be provided attendance sheet of participants. The method used to insert the test coupons The method to insert the test coupons 26.10.2012 identification does not warrant the information will identification will be stated in technical not be lost. instruction UP013.01 and this will make sure for the warranty that the information stamped by the seal and/ or written by permanent marker of white color will not be lost. Examiners do not use any welding gauges for the We will make clear statements within the 26.10.2012

23

OBS

6.2.2/6.2.3

24

OBS

6.2.2/6.2.3

25
(1)

OBS

6.2.2/6.2.3

Write:

OBS Observation or Potencial Non Conformity MNC Major Non Conformity = absence (or systematic flaw) of one requirement from the standard. mNC Minor Non Conformity = partial and isolated flaw, documental or not, of one requirement from the standard.

Signature of AT: TR/IF-2012/10/12

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AUDIT REPORT
List of Findings
Organization under KEK Training Center Audit: Classif. Standard (1) Requirement Date(s) of the audit: 08, 09, 10, 11, 12 of October de 2012 Finishing deadlines Perform ance

Descriptions of the findings needed measurements, when necessary.

Impruvment actions

26

mNC

6.2.2/6.2.3

In the fracture test some test specimens did not achieved complete fracture due to improper test specimen preparation (with the devices used in the fracture tests, specimens with larger widths cannot be concluded) TIG+MMA certification process. Devices to perform fracture tests using the hydraulic press, do not allow a proper test execution. For the facture tests, the depth of the longitudinal notches in some test samples were above the limit allowed by the EN ISO 9017 standard TIG+MMA certification process.

27

OBS

6.2.2/6.2.3

Difficulties to connect the fracture test samples dimensions and number with the relation between EN 287-1 and the EN ISO 9017.

technical instruction UP013.01 and for each test in relevant technical instruction the way of using of welding gauges. We have made an inquiry to buy new set of needed welding gauges so in the way to facilitate measurements needed. To make sure for the proper specimen 30.11.2012 preparation regarding the test of welder certification We will conduct practical workshop to exercise the way of proper specimen preparation based on standard for the fracture test ISO 9017. These activities we will state in clear way in the technical instruction UP002. We will order processing of devices to perform fracture tests using the hydraulic press; to make sure a proper test execution. For the facture tests, the depth of the longitudinal notches will be exercised during workshop based on the EN ISO 9017 standard. From this workshop will be provided attendance sheet of participants. We will conduct workshop to explain relation 30.11.2012 between EN 287-1 and the EN ISO 9017 in order to avoid difficulties to connect the fracture test samples dimensions and number with the relation between EN 287-1 and the EN ISO 9017. From this workshop will be provided

(1)

Write:

OBS Observation or Potencial Non Conformity MNC Major Non Conformity = absence (or systematic flaw) of one requirement from the standard. mNC Minor Non Conformity = partial and isolated flaw, documental or not, of one requirement from the standard.

Signature of AT: TR/IF-2012/10/12

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AUDIT REPORT
List of Findings
Organization under KEK Training Center Audit: Classif. Standard (1) Requirement OBS 6.2.2/6.2.3 Date(s) of the audit: 08, 09, 10, 11, 12 of October de 2012 Finishing deadlines Perform ance

Descriptions of the findings

Impruvment actions attendance sheet of participants.

28

No traceability on the application form used on the welders certification process and the PS-13.01

In the PS-13.01 we will add a statement to make sure the traceability for the application form to be used on the welders certification process.

30.11.2012

29

OBS

6.3.1

The forms are not filling up in a harmonized way; We will prepare a guide line document in order 30.11.2012 some cells have different information, depending on to make clear the way of filling up the forms to the examiner that has fill up the form. harmonize recording of data. After word we will organize role playing workshop to avoid this not harmonized way of filling up the forms. From this workshop will be provided attendance sheet of participants. The identification codes used on the welder certification process is not harmonized, as example: Certification Process ID, Destructive and visual inspection reports ID, test sample ID. For the identification code of Certification 30.11.2012 Process ID, destructive and visual inspection reports ID, test sample ID we will set a unique way to do this. This will be documented in technical instruction UP013.01.

30

OBS

6.3.1

(1)

Write:

OBS Observation or Potencial Non Conformity MNC Major Non Conformity = absence (or systematic flaw) of one requirement from the standard. mNC Minor Non Conformity = partial and isolated flaw, documental or not, of one requirement from the standard.

Signature of AT: TR/IF-2012/10/12

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