MT04 - AMSA Audits – STCW Certificate of Competency and Short Courses

Purpose

Standards of Training, Certification and Watchkeeping for Seafarers (STCW)

The Australian Maritime Safety Authority (AMSA) as the Flag State designated approving Authority (defined in the International Maritime Organization, International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended) (STCW) is to ensure that approved courses meet appropriate STCW Convention and national standards by a formal audit process using industry accepted auditing standards and processes.

The purpose of the audit system is to:

ensure courses presented by Registered Training Organisations (RTO’s) comply with the AMSA approval requirements;
ensure the standards of training leading to the issue of STCW qualifications satisfy STCW for the issue and continued endorsement of an AMSA Certificate of Approval.
determine the effectiveness of the RTO quality system;
provide the RTO with an opportunity to improve its system of quality control;
provide an effective and efficient audit record, the data from which may be used to benefit maritime safety, education and training nationally..

Scope

This procedure outlines the process, which the AMSA personnel authorised to conduct audits should follow when auditing maritime training programs offered by an RTO to those who are seeking to gain a maritime qualification. It also includes information how to gain and maintain a certificate of approval from AMSA. Reference is also to be made to the AMSA approval – STCW Certificate of Competency and Short Courses.

Definitions

For clarification of terms and abbreviations used within this procedure refer to Definitions

Associated documents

Standards for NVR Registered Training Organisations 2011
International Maritime Organization (IMO) Model Courses
International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended (STCW)
Marine Orders Part 3 – Seagoing Qualifications (MO3)
Marine Orders Part 6 - Marine Qualifications Radio (MO6)
Maritime Training Package TDM07 (MTP) published by the Transport & Logistics Industry Skills Council (TLISC)

In the case of the Australian Maritime College (AMC) reference should be made to the accredited curriculum documents.

1. Initial audit of the RTO and issue of a Certificate of Approval

Prior to the issue of a Certificate of Approval, an AMSA auditor may undertake an initial audit of the RTO in accordance with this procedure or may conduct a desk top document review of the information submitted by the RTO requesting the course approval.
On receiving a recommendation for the issue of the Provisional Certificate of Approval from the assessing PQO, the Manager will arrange for a full audit of the RTO to be undertaken.
Once a full audit has been completed and there are no major non-conformances identified the PQO will make a recommendation to the Manager to issue the Certificate of Approval.
If the initial audit is only a document review then once it is completed and there are no major non-conformances identified the Manager on the advice from the appropriate PQO may issue a Provisional Certificate of Approval for a period until such time as an AMSA auditor is available to conduct a full audit. This will allow the RTO to commence teaching the course.
If a Provisional Certificate of Approval is issued AMSA will conduct a full audit as soon as possible, but within one year of the initial approval.
The Manager will sign each page of the Certificate of Approval or Provisional Certificate of Approval and a copy will be kept on the appropriate AMSA file.

(Refer to AMSA Approval – STCW Certificate of Competency and Short Courses)

2. Certificate of Approval

A Certificate of Approval will be issued, from date of initial audit, for a maximum of four years. The certificate will be issued subject to such conditions as determined by AMSA. These conditions will include but are not limited to:

The RTO maintains all requirements for initial issue of the certificate.
Surveillance audits are allowed to be conducted.
The RTO will notify AMSA of any changes to the system of quality control, training programs, facilities and any event that may affect the quality of the program.
A maximum of twelve participants for practical fire fighting and survival sessions.
Course instructors to be AMSA approved.

Surveillance audits will be conducted either annually or biennially. These audits must be conducted within three months before and after the anniversary date of the certificate (see definitions).

Renewal audits must be conducted before the certificate expires.

If a renewal audit is conducted within three months before the expiry date of the certificate then a new certificate may be issued for a maximum of four years from the expiry date of the existing certificate.

Applications for renewal audits must be in writing and must be received by AMSA no later than 90 days before the certificate expires. Note – If Certificate of Approval is allowed to become invalid then AMSA approval to conduct maritime training ceases.

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3.Surveillance and Renewal Audits

Surveillance and renewal audits will take the form as outlined below. AMSA reserves the right to conduct unscheduled audits when it considers it necessary to verify the course standard.

4. Audit process

AMSA will where possible conduct combined audits with the State/ASQA auditors to minimise disruption from the auditing process. However the AMSA auditor(s) must ensure that the RTO under audit meets all AMSA requirements. The audit will be conducted within the requirements of the ASQA standard
Where an AMSA approved RTO conducts engineer and deck training both PQO’s should, where possible, conduct the audit. One PQO will be appointed as Lead Auditor.
Where a RTO conducts specific training then only the appropriate PQO should conduct the audit.
In circumstances where the appropriate PQO is not available an AMSA appointed auditor approved by the Manager may conduct the audit.
AMSA normally audits RTO’s who provide STCW certificate of competency courses annually and those RTO’s providing STCW short courses biennially. However if there are major non-conformances identified or AMSA has concerns regarding the standard of a course(s) then the audit period may be reduced as determined by the Manager.
Other factors which may lead to an increase in audit frequency include.
- the number and type of non-conformances identified at the audit;
- an identified historical trend of non-conformances relating to a specific area;
- misunderstanding or lack of knowledge of shipboard safety, operational and environmental subjects identified by the regional Examiners when conducting oral examinations;
- a high failure rate in the AMSA oral examination, and
- serious complaints from industry or individuals concerning the quality of the training.
If the Manager determines that circumstances require a non-scheduled audit to be conducted the Head of School (or similar) of the RTO will be contacted and informed of the reasons for the additional audit and the date when it will occur.

5. Audit preparation

Prior to undertaking an audit the Lead Auditor should complete the following tasks:
- in consultation with the RTO, schedule a date for the audit;
- estimate the time required to carry out the audit, taking into account the availability of the teaching and administrative staff and their work loads;
- once the audit dates are determined formally advise the RTO of the audit dates; the names of the auditors attending; the times for the opening and closing meetings, and areas which the AMSA auditors intend to concentrate on during the audit;
- forward to the RTO a copy of form AMSA1004 – ‘Lecturers, subjects taught, lecturers qualifications, experience and teaching hours’ for completion by the appropriate lecturers prior to the audit;
- minimise the disruption to lectures. (As the RTO is aware of the lecturers teaching commitments it is advisable for the Lead Auditor to allow the RTO to assign the audit schedule which should include time for the auditor to talk to students and lecturers);
- review recent changes to any regulatory requirements;
- review the standards applicable to the activity to be audited;
- from the appropriate AMSA files obtain copies of the previous audit reports including copies of observation notes, non-conformance findings and Certificate of Approval complete with the addendum listing all the approved courses;
- prepare a checklist for the audit by taking copies of relevant documentation and/or selecting appropriate documentation for use during the audit;
- review local AMSA oral examination statistics to obtain information and trends of where candidates have failed; and
- request copies of audit reports which the RTO has undergone since the previous audit. These can be utilised to avoid re-auditing areas un-necessarily.

6. Conduct of the audit

On arrival at the RTO the Lead Auditors is to arrange a meeting with the Head of School (or similar) prior to the commencement of the audit to make formal contact.
Conduct an opening and closing meeting with RTO staff members.
Auditors are to collect information through interviews, examination of documents, observation of work being performed, and work conditions in the area being audited. Auditors are to note non-conformances, even though not covered by the checklist.
The scope and depth of the audit is to be sufficient to determine adequate compliance with regulatory requirements, relevant industry and academic standards and the RTO’s own quality system.
During the audit, auditors will
- use the audit checklist;
- record notes on the appropriate form AMSA1006 - Audit notes (include opening and closing meeting information);
- collect and review the completed form AMSA1004 - ‘Lecturers, subjects taught, lecturers qualifications, experience and teaching hours’, and
- review college or RTO working documents and procedures.

7. Opening meeting

The opening meeting should commence on time with all persons involved in the audit invited to attend. During the opening meeting the Lead Auditor will give an introductory talk and cover the following items:

introduction of the audit team;
- confirm the purpose and scope of the audit;
- the areas the auditors will concentrate on;
- a short summary of the audit methods and procedures (sampling procedures);
- review and confirm the audit timetable and agenda;
- ask for any questions concerning the audit process and clarify any ambiguities;
- state how non-conformances and observations will be addressed;
- arrange for provision of suitable facilities to conduct interviews;
- where applicable arrange for accompanying guides for onsite inspections, and
- advise that all information gleaned from the audit will be treated in confidence.

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8. Non-conformance findings and observation notes

The auditor is to classify any clearly identified irregularity against a specific requirement as a non-conformance and is to issue a non-conformance finding. The auditor is to issue any non-conformance finding on the AMSA form 1007 Non-conformance Findings, in a clear and concise manner supported by objective evidence and noted against the procedural requirement.
Examples of irregularities which may reflect a non-conformance finding are:
- The RTO’s approval arrangements;
- Education and training standards;
- The availability or standard of equipment;
- AMSA legislation requirements, or
- The RTO’s system of quality control.
If the auditor finds a significant number of non-conformances, the Lead Auditor will inform the Manager and discuss the issues. The audit may be terminated and the RTO instructed to take remedial action. Depending on the level of non compliance the Certificate of Approval may be suspended for a period of time or withdrawn and reissued as a short-term approval.
The auditor is to record any items where they consider an area of improvement exists in the quality system but is not a non-conformance on form AMSA1008 Audit observation notes.

9. Closing meeting

Following completion of interviews and inspections the auditors should allow time for discussion and recording of any observation notes or non-conformance findings.
At the allotted time the closing meeting should take place. Those in attendance should be the AMSA Lead Auditor and Auditor(s) and the relevant RTO staff, including the Head of School (or similar) and the Document Controller.
The main purpose of the meeting is to report on the results of the audit and to discuss all non-conformances and observations recorded during the audit.
The Lead Auditor and Head of School (or similar) are to agree on a time frame for rectification of any non-conformance findings.
At the meeting discussion may occur regarding possible rectification action, however all decisions on the method to close out non-conformances are the responsibility of the RTO.
The Head of School (or similar) representing the RTO is to acknowledge receipt by signature of any non-conformance findings and observation notes issued and is to retain the originals. The Lead Auditor will retain a copy of the forms for AMSA records.
At the closing meeting the Lead Auditor should thank the RTO for their co-operation during the audit and reassure them that all information gained from the audit will be treated in confidence. If the audit is not a certificate renewal audit the Lead Auditor will sign and stamp the Certificate of Approval providing the audit has been satisfactory.

10. Audit report

The Lead Auditor should complete the audit report and forward it to the RTO Head of School (or similar) within one calendar month of completion of the closing meeting.
The report is to address, as a minimum:
- the scope of the audit;
- audit dates and identification of the section of the audited RTO;
- identification of any referenced documentation;
- identification of non-conformance findings provided at the closing meeting;
- the auditor's assessment of the degree of compliance of the RTO with respect to the quality system documentation; all applicable regulatory requirements, and the AMSA specified conditions and limitations associated with the Certificate of Approval;
- identification of the auditors and college staff involved with the audit;
- the agreed timeframe to correct any non-conformance finding, and
- if considered necessary, the agreed date on which a re-audit may be performed to confirm that the non-conformance findings have been satisfactorily rectified.
The Lead Auditor is also to submit a copy of the audit report to the Manager and the other auditors if applicable.

11. Audit follow-up

If the RTO has not contacted AMSA within the agreed time frame the Lead Auditor will contact the Head of School (or similar) of the RTO to follow up on the outstanding non-conformance findings.
The Lead Auditor will notify the Manager of the situation and continue the follow up process to achieve a satisfactory outcome.
The follow up may consist of one or more of the following:
- signing off the non-conformances based upon evidence supplied in writing;
- an AMSA Examiner conducting a supplementary audit, or
- a PQO conducting a supplementary audit.
If outstanding non-conformances are not resolved within the agreed time frame the Manager may withdraw the Certificate of Approval from the RTO or issue a short term Certificate of Approval The RTO will be advised of the Managers decision.

12. Audit records

The Lead Auditor will place the following documents on the appropriate AMSA RTO file:

audit reports;

non-conformance findings;

audit observation notes;

observation notes, and

copy of the Certificate of Approval, together with the addendum listing all approved courses.

any supporting documentary evidence.

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Forms

AMSA1004	Lecturers - subjects taught, lecturers qualifications, experience and teaching hours	[ PDF: 165Kb] [ DOC: 96Kb]
	College Audit Checklist	[ PDF: 9Kb]


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