GENERAL INFORMATION

DNV Certification maintains a centralized Scheduling function in Houston, Texas. The Scheduling Department provides maximum flexibility to the Client in ensuring that qualified personnel are available within the time frames desired, as they maintain track of all DNV audit personnel and pertinent information concerning them. During this phase of the process Scheduling will be determining the appropriate Lead Auditor as well as the potential audit team members to service the clients needs. There are numerous criteria to be evaluated in selection of an appropriate audit team and ascertaining availability for scheduling of audits. Among them are:

Audit Team Considerations

• It is a requirement of the Accreditation authorities, and DNV procedure, that at least one member of the Audit Team be a qualified "expert" within the industrial code(s) of the organization to be assessed. Typically the Lead Auditor assigned the project is such an expert. DNV prefers to have as many audit team members possible qualified within the applicable industrial codes. Auditor expertise must therefore be the first consideration in selection of an appropriate Audit Team.
• To maintain travel costs at a minimum, if local Auditors are qualified and available they are assigned.
• Customer requests are always considered, and complied with if at all feasible. Clients at times request the resumes of auditors to review and select from, or initially request a given auditor by name, or request the same Lead Auditor or audit team be sent for all audits or all sites, or desire a change in auditors from time to time, etc. All requests are taken into consideration.

DNV maintains consistency of Audit Team members whenever practical. DNV Audits are assigned to a qualified Lead Auditor that is responsible for planning and leading the audits for a given project and Client. When feasible, and acceptable to the Client, the original Lead Auditor assigned to a project performs subsequent Audits. In certain circumstances this may not be possible, due to conflicting needs of the Client, the Auditors schedule, or other reasons. Additionally, in the case of UKAS Accreditation, it is a requirement that Auditors be rotated after three audits. This is to allow a fresh perspective of the System and auditor rotation is preferred by a number of Clients.

When the original Lead Auditor is not available the first people considered to lead subsequent Audits are members of the original Audit Team. When qualified and available they participate in subsequent audits. As necessary other qualified Auditors may be used,

Audit Scheduling Considerations

• Previous DNV commitments for specific dates or specific personnel are considered. Barring unforeseeable events, DNV honors all scheduling commitments on a first committed first served basis. DNV will not move a previously scheduled audit for the convenience of another Client, unless first obtaining the permission of the Client for which the time slot was originally designated. By maintaining this policy all DNV Clients may have assurance in the scheduling commitments made to them.
• Clients occasionally request a change in schedule, most often to allow more time for preparation prior to Preassessment or Initial Audit. Therefore if a specific audit date is not available when first requested, it may become available should such a change occur. Scheduling looks for such opportunities to give the Client the dates which they find most desirable.

Schedule changes are made routinely at DNV, to accommodate Client needs and wishes. Occasionally unexpected circumstances, such as death or illness of personnel, catastrophic events, etc., may dictate a need for schedule adjustment. DNV makes every attempt to make such adjustments in a timely manner, working closely with the Client as a partner to promote benefit to both parties. Client requested schedule changes should be made as early as possible, but at least 30 days prior to the scheduled audit date to avoid charges as stipulated in the formal agreement.

Typically the Client elects to communicate directly with the Scheduler assigned to their project. As the Schedulers are responsible for making the scheduling decisions and ensuring that DNV resources are available to meet DNV commitments, direct communication with them is usually preferred, in order to provide the most desirable dates possible and resolve any scheduling dilemmas that may arise. One of the Schedulers is assigned specifically to the Clients project for this purpose.

However, some Clients prefer to have a single point of contact within DNV for all communications, and this is provided if desired. This may be the local DNV District Manager, the Lead Auditor assigned to the project, or in cases of multiple facilities a special Project Manager may be assigned from among the qualified DNV Lead Auditors.

The Client is always free to determine the personnel they wish to contact within DNV. Scheduled activities for DNV are subject to constant change, in order to meet Client expectations or unexpected circumstances. It is therefore necessary that all proposed schedule changes or additions be authorized by the Scheduling department, to ensure availability of resources, prior to any DNV personnel making such commitments.

DNV AND CLIENT ACTIVITIES

DNV's Contracts Dept., upon receipt of the Acceptance Letter from the client, gives the scheduler assigned to the client, all of the pertinent information regarding the client, the agreements and requirements. A firm schedule for the Client can not be made until this information is provided.

DNV's Scheduling will contact the Client to agree upon appropriate schedules for the specified Initial Visit, Preassessment or Initial Audit. Scheduling will discuss and answer relevant questions at that time and, if necessary, involve other DNV technical personnel to resolve any questions. Scheduling will contact the Client of the proposed Lead Auditor and the Client is provided the opportunity to request information regarding the proposed Lead Auditor at that time. DNV normally performs Initial Audits and Periodic Audits in accordance with the minimum number of audit days recommended or required by the Accreditation authorities.

The Client is encouraged to work closely with the DNV Scheduler and Lead Auditor assigned to their project to ensure mutually convenient arrangements are made. DNV should be notified of any major changes to the organization, Management System, or other factors that may effect the audit at least 30 days prior to a proposed or previously scheduled audit. This allows such factors to be taken into account for rescheduling and planning purposes.

DNV's Scheduler assigned to the client, will determine a particular week that is available and agreeable with the Client once an acceptable, qualified audit team has been selected. The initial Audit Schedule is issued to the Audit Team members. The Schedule reflects the specific week, the total number of audit days to be devoted to the audit, the members assigned to the audit team, the project number and any special scheduling notes which may be applicable. Unless explicitly designated by the Client, the exact days on which the audit is to be performed is not specified at this time.

DNV's Scheduling will also request the Client to send a copy of their (top tier) Management System Manual to the DNV Houston office for controlled distribution of the manual to the Lead Auditor for review. (Reference: DOCUMENTATION REVIEW)

DNV's Lead Auditor receives the Schedule and the project Working File and reviews the requirements. The Lead Auditor then contacts the client to confirm arrangements and answer any questions. Considering the Clients needs, and those of the Audit Team, the exact start and stop times and dates will be agreed upon. The Audit Team members may have additional activities to be coordinated for the week and also must make allowance for travel time and other circumstances that may exist, and the Lead Auditor strives to agree upon a Schedule that is best suited to the needs of all. During this contact with the Client the Lead Auditor may also inquire concerning local or Client preferred Lodging accommodations, special safety considerations that may need to be considered at the facility, or other pertinent issues. The Client is also given opportunity to ask any relevant questions.

DNV's Lead Auditor will contact the Client approximately 2-3 weeks prior to each sceduled activity to discuss the exact dates and audit agenda. During the audit the Agenda may be deviated from as deemed appropriate by the Lead Auditor to adjust to client needs or unanticipated situations. The Audit Agenda contains the following information;

• Names of audit team members
• Dates the audit will be conducted on
• Start and stop times forecast for each activity
• Meetings scheduled - Opening, Daily Reviews, Closing
• Elements of the applicable Standard and/or Organizational areas to be audited

The Client should review the proposed agenda and selected dates and confirm its acceptability with the Lead Auditor and/or the assigned scheduler. At this time, it is appropriate to begin preparation for the scheduled audit and assure the assignment of knowledgeable client guides/escort for the areas to be audited; the availability of the necessary facilities (printers, work area, communications, etc.), and identify any safety, or company specific restrictions which the Lead Auditor needs for preparing the audit team