Bourbon - Offshore - Surf - SMS manual 2016

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INTE

R

N

A

L

A

UD

IT

PR

OCE

DUR

E

BOS-

P

RD-1202.90020

3

4.5.5 G

eneratin

g QM

S audit

findin

g

s

Aud

i

t

ev

i

dence

shall

be

eva

l

uated aga

i

nst

the

Q

M

S

aud

i

t

cr

i

ter

i

a

to

generate

the

aud

i

t

f

i

nd

i

ngs

. Q

M

S

Aud

i

t

f

i

nd

i

ngs

can

i

nd

i

cate

e

i

ther

conform

i

ty

or

non

-

conform

i

ty

w

i

th

Q

M

S

aud

i

t

cr

i

ter

i

a

. W

hen

spec

i

f

i

ed

by

the

Q

M

S

aud

i

t

ob

j

ect

i

ves

, Q

M

S

aud

i

t

f

i

nd

i

ngs

can

i

dent

i

fy an opportun

i

ty

for

i

mprovement

.

Aud

i

t

f

i

nd

i

ngs

can

a

l

so

i

nd

i

cate

an

observat

i

on

,

when

substant

i

ated

by

ob

j

ect

i

ve

ev

i

dence

,

a

l

though

not

cons

i

dered

as

a non

-

fu

l

f

il

ment of

a

re

q

u

i

rement

.

Conform

i

ty or

non

-

conform

i

ty

sha

ll

a

l

ways

be

ra

i

sed

aga

i

nst

a

cr

i

ter

i

a

c

l

ause

.

Cr

i

ter

i

a

c

l

ause

re

l

ates

to

c

l

auses

of

a

standard

or

act

i

v

i

t

i

es

of

a

process

. T

he

correspond

i

ng

support

i

ng

documents

– i

f

any

–

conta

i

n

the

regu

l

at

i

on

te

x

t

that

i

nd

i

cates

the

re

q

u

i

rements

or

recommendat

i

ons

.

Chec

kli

sts

shou

l

d

be

cons

i

dered

as mere

too

l

s

that he

l

p a

Q

M

S

Aud

i

tor

to

ra

i

se

f

i

nd

i

ngs

.

C

l

ear

abstract

from

the

reference

used

to

ra

i

se

a

non

-

conform

i

ty

shall

be

present

i

n

the

DN

C

O,

whatever

the

source

i

t

i

s

com

i

ng

from:

(S

M

S, IS

M

Code

, SOL

A

S, I

M

O, Fl

ag

,

C

l

ass

or

any

other

compu

l

sory

re

l

evant

standard

app

li

cab

l

e

to

the

vesse

l).

T

he

Q

M

S

Aud

i

t

T

eam

should

meet

as

needed

to

rev

i

ew

the

Q

M

S

aud

i

t

f

i

nd

i

ngs

at

appropr

i

ate

stages

dur

i

ng

the

aud

i

t

.

Conform

i

ty

w

i

th

Q

M

S

aud

i

t

cr

i

ter

i

a

should

be

summar

i

zed

to

i

nd

i

cate

l

ocat

i

ons

,

funct

i

ons

or

processes

that

were

aud

i

ted

.

N

on

-

conform

i

t

i

es

,

observat

i

ons

,

and

the

i

r

support

i

ng

aud

i

t

ev

i

dence

shall

be

recorded

i

n

the

Description of Non-

Conformities and Observations

form

. N

on

-

conform

i

t

i

es w

ill

be

graded

i

n ma

j

or

or m

i

nor

. T

hey

shall

be

rev

i

ewed w

i

th

the

A

uditee

to

obta

i

n

ac

k

now

l

edgement

that

the

aud

i

t

ev

i

dence

i

s

accurate

,

and

that

the

non

-

conform

i

t

i

es

and

observat

i

ons

are

understood

.

Every

attempt

should

be made

to

reso

l

ve

any

d

i

verg

i

ng

op

i

n

i

ons

concern

i

ng

the

aud

i

t

ev

i

dence and/or

f

i

nd

i

ngs

,

and unreso

l

ved po

i

nts

shall

be

recorded

.

Ma

j

or

non

-

conform

i

ty

shall

be

understood

as

a

systemat

i

c

non

-

fu

l

f

il

ment

of

a

cr

i

t

i

ca

l

re

q

u

i

rement

that

j

eopard

i

zes

a

process

of

the management

system

,

pos

i

ng

a

ser

i

ous

threat

to

safety

,

secur

i

ty

,

or

q

ua

li

ty

.

M

i

nor

non

-

conform

i

ty

shall

be understood as an

i

so

l

ated non

-

fu

l

f

il

ment of

a

re

q

u

i

rement

.

I

t

should

be

emphas

i

zed

that

recommendat

i

ons

from

observat

i

ons

are

not

b

i

nd

i

ng

,

a

l

though

they

represent

an

opportun

i

ty

for

i

mprovement

.

Aud

i

t

f

i

nd

i

ngs

ra

i

sed by

T

ec

h

nica

l E

x

p

ert

shall

be

i

nd

i

cated

at

l

east

as observat

i

ons

.

4.5.6

Pre

p

arin

g QM

S audit

conc

l

usions

T

he

Q

M

S

Aud

i

t

T

eam

shall

confer

pr

i

or

to

the

c

l

os

i

ng meet

i

ng:

x

T

o

rev

i

ew

the

Q

M

S

aud

i

t

f

i

nd

i

ngs

,

and

any

other

appropr

i

ate

i

nformat

i

on

co

ll

ected

dur

i

ng

the

Q

M

S

aud

i

t

,

aga

i

nst

the

Q

M

S

aud

i

t ob

j

ect

i

ves

;

x

T

o

agree

on

the

Q

M

S

aud

i

t

conc

l

us

i

ons

,

ta

ki

ng

i

nto

account

the

uncerta

i

nty

i

nherent

i

n

the

Q

M

S

aud

i

t

process

;

x

T

o prepare

recommendat

i

ons

;

and

,

x

T

o d

i

scuss

Q

M

S

aud

i

t

fo

ll

ow

-

up

.

Q

M

S

Aud

i

t

conc

l

us

i

ons

can

address

i

ssues

such

as:

x

T

he e

x

tent of

conform

i

ty of

the management

system w

i

th

the

Q

M

S

aud

i

t

cr

i

ter

i

a

;

x

T

he effect

i

ve

i

mp

l

ementat

i

on

,

ma

i

ntenance and

i

mprovement of

the management

system

;

and

,

x

T

he

capab

ili

ty

of

the

management

rev

i

ew

process

to

ensure

the

cont

i

nu

i

ng

su

i

tab

ili

ty

,

ade

q

uacy

,

effect

i

veness

and

i

mprovement of

the management

system

.

Q

M

S

aud

i

t

conc

l

us

i

ons

shall

l

ead

to

recommendat

i

ons

regard

i

ng

i

mprovements

,

bus

i

ness

re

l

at

i

onsh

i

ps

,

cert

i

f

i

cat

i

on

or

future aud

i

t

i

ng

act

i

v

i

t

i

es

.

4.5.7 C

onductin

g

t

h

e c

l

osin

g m

eetin

g

A

c

l

os

i

ng meet

i

ng

,

cha

i

red

by

the

Q

M

S

A

udit

T

ea

m

Leader

shall

be

he

l

d

to

present

the

aud

i

t

f

i

nd

i

ngs

and

conc

l

us

i

ons

i

n

the

Audit Report

,

conta

i

n

i

ng

the

Description of Non-Conformities and Observations form

i

n

such

a

manner

that

they

are

understood

and

ac

k

now

l

edged

by

the

A

uditee

,

and

to

agree

on

the

t

i

meframe

for

the

A

uditee

to

present

Correct

i

ve

Act

i

ons

,

as

i

nd

i

cated

i

n

the

Bourbon Corrective Action Guidelines

.

Part

i

c

i

pants

i

n

the

c

l

os

i

ng

meet

i

ng

shall

i

nc

l

ude

the

A

uditee

,

and may

a

l

so

i

nc

l

ude

other

part

i

es

. I

f

necessary

,

the

QM

S

A

udit

T

ea

m

Leader

Vers

i

on

SF (BOS-

P

RD-1202.0001-

ver

.0

4

). O

r

i

g

i

na

l

date:

2011-0

3

-2

3

.

Vers

i

on

date:

201

5

-12-10.

Va

li

d

vers

i

on

on

l

y

on

Q

M

S

s

i

te

.

Uncontro

ll

ed

document

when

pr

i

nted

.

Procedure prepared by:

BOS

Aud

i

t Manager

.

Approved

by:

BOS Q

H

S

E Manager

.

Va

li

dated by:

BOS Q

ua

li

ty

R

epresentat

i

ve

.

Page

10

of

20

980