GENERAL INFORMATION

DNV performs a review of the Client's Quality or Environmental Management System Manual*, to ensure that requirements of the applicable Standard have been addressed. It is intended that any major, latent deficiencies that may exist in the Management System might be identified and addressed prior to any on-site assessments of the system, thereby expediting the Certification process and saving of associated time and costs. As indicated in the Scheduling section, a controlled copy of the Management System Manual should be submitted to DNV in adequate time to allow for a review prior to the Initial (Certification) Audit. A minimum of six weeks prior to any on-site assessment is recommended.

This review covers only the top tier Management System Manual and does not normally encompass a review of the associated Procedures, except to ensure that lower tier documents are clearly identified and referenced in the Management System Manual. If desired by the Client, a more comprehensive review of other documents may be conducted. However, such a review is not within the standard DNV process and additional charges for such services would need to be determined and agreed upon based on the extent and complexity of the documents.

Revision of the Management System Manual, if needed, should be accomplished by the Client prior to performance of the Initial Audit. When a Preassessment or Initial Visit (Reference: READINESS ASSESSMENT - OPTIONS) is to be performed it may be beneficial to have accomplished the revisions prior to these on-site activities. However, this may not be feasible due to time constraints and it is not a requirement that such revisions be accomplished before Preassessments or Initial Visits. If minor revisions are implemented, these can be reviewed by DNV during the Initial Audit. If major revisions are required it may be necessary to submit the manual for a complete review prior to having an Initial Audit conducted. Ideally, any major revisions to the Management System Manual will have been initiated and implemented prior to an Initial Audit. The DNV Lead Auditor will provide guidance to the Client regarding the status of the manual and a written report shall also be issued.

* Note: The term Management System Manual is used here generically. The manual may be designated by any title deemed appropriate and may be formatted as desired by the Client.

DNV AND CLIENT ACTIVITIES

The Client should prepare a Management System Manual in accordance with the requirements of the applicable Standard(s), that makes appropriate reference to supporting levels of procedures, work instructions, or other documents which comprise the Management System. All elements of the applicable standard should be addressed in the manual. If a given element is not applicable to the Clients Management System this should be clearly stated. If the manual has been developed to meet the additional requirements of Standards other than that for which Certification is sought, it is appropriate to reference this information within the manual as well.

Typically, these manuals are highly descriptive of the Management System but do not provide the detailed methodology which would normally be contained in procedures and work instructions. However, small organizations which have relatively simple processes occasionally include the procedures themselves within the Manual.

The Client should submit a controlled and authorized copy of the Management System Manual to the DNV office in Houston, Texas at least six weeks prior to any on-site assessment if at all possible. As a minimum, the manual must be submitted in adequate time to allow for a review prior to the performance of the Initial (Certification) Audit.

DNV's Scheduling will log in the Receipt of the Management System Manual at the DNV Houston office upon arrival for tracking and accountability purposes. The manual is then distributed to the DNV Lead Auditor assigned to the Project.

DNV's Lead Auditor will conduct a Review of the Management System Manual comparing the contents of the manual to the requirements of the appropriate Standard(s) to which the organization is to be certified and verifying that appropriate reference is made to the lower level procedures, work instructions, etc., which comprise the Management System. Adequacy of the documents control and authorization will also be reviewed.

DNV's Lead Auditor will prepare a Document Review Report which reflects the acceptability of the manual or comments on any areas of deficiency or ambiguity that may require clarification. The Document Review Report is then processed through DNV Houston for review, approval and issuance to the Client. When necessitated, a Draft Copy of the report may be delivered or faxed directly to the Client by the Lead Auditor preceding release of the official copy of the report. In such cases the Lead Auditor will discuss with the Client all relevant issues, and the need for any related actions or revisions to assure they are clearly understood. Such discussions are normally performed at the time of either the Initial Visit or Preassessment but if necessary, maybe conducted by telephone. If revisions to the manual are needed this should be clearly determined at this time. Should a major revision and resubmittal of the manual be needed, it is to be positively established along with the time frames needed to ensure adequacy of the Management System Manual prior to the Initial Audit.

The Client should investigate any comments contained within the completed DNV Document Review Report upon receipt, to determine if any deficiencies may have been identified which require a revision to the Management System Manual or the Management System that it defines. When the DNV Lead Auditor contacts the Client to discuss the nature of any comments contained within the Document Review Report, either prior to or during the first on-site assessment, the Client should use this opportunity to ensure that all issues are clearly understood and question the Lead Auditor on any issues which seem ambiguous. The Client may contact either the Lead Auditor or the local District Manager at any time, as necessary to resolve any issues.

The Client should determine and implement the required Corrective measures, if needed, to the degree necessary. This may involve revision to the Management System Manual only, or may also include revision or expansion to documented procedures, work instructions or Management System records. When such measures are required, it is recommended that the Client fully implement the needed changes and perform follow-up activities to ensure the effective nature of such changes prior to the performance of an Initial Audit by DNV. The Client may determine to have an Initial Visit or Preassessment performed prior to full implementation of the changes.

DNV's Lead Auditor will normally review Revisions to the Management System Manual if needed, for adequacy during the first on-site assessment. This review should be conducted no later than the performance of the Initial Audit to ensure compliance of the manual to the requirements of the applicable Standards and to allow for recommendation of Certification. If a major revision to the manual was required, the revised manual should, ideally, be submitted to DNV and the second review should be conducted as far in advance of the Initial Audit as possible. In consultation with the Client, the Lead Auditor determines if a revised Document Review Report will or will not be required.

DNV's Lead Auditor will affix a stamp and date to the controlled copy of the manual following successful review of the Management System Manual, typically on the revision history page, and return this copy of the manual to the Client for maintenance. During each subsequent audit the DNV Lead Auditor will review the manual, looking for any revisions which have been made in the interim. Each successful review of (revisions to) the manual, conducted during successive audits, will again result in the manual being stamped and dated. This practice provides maximum assurance of the ongoing suitability of the manual with a minimum of review time.

The Client should conduct Maintenance of the Management System Manual as needed to ensure it's ongoing suitability and effectiveness. It should be revised as necessary to continue as an accurate reflection of the ongoing activities of the organization as they relate to the Management System. The DNV stamp is placed on the controlled copy of the manual upon successful completion of the Initial Audit. The Client is requested to maintain this manual with current revisions, along with the most current revision history page that was stamped by DNV. This practice allows subsequent DNV audits to focus only on the changes that may have occurred since the previous DNV audit and should result in a new stamp being affixed to the manual following each audit and review of any pertinent revisions to the manual.

PROCESS FLOWCHART