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QACE Activity in 2013 Audit Observation Results. End User Workshop on QSCS, Genoa, 6 th November 2013 Des Gutteridge , QACE Executive Secretary. EUW 6 Nov 2013 Genoa. Posted at

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qace activity in 2013 audit observation results
QACE Activity in 2013 Audit Observation Results

End User Workshop on QSCS, Genoa, 6th November 2013

Des Gutteridge, QACE Executive Secretary

EUW 6 Nov 2013 Genoa

Posted at

As there is some detail in the following presentation and calls for a number of actions the presentation is posted for downloading on the QACE website qace/co/publications


Annual Report 2012
  • Commission’s assessment of QACE operations
  • Results of the 2013 Observations
  • Collective & Individual RO Recommendations
  • Potential new members
  • The website
  • What's happening at QACE?



The EU Commission’s

Assessment of QACE

The standard of the audits has generally improved.

The best test is honest answers to some questions:

  • Has the RO’s systems, processes and controls been thoroughly tested?
  • Have weaknesses been identified?
  • Have effective corrective actions implemented?
  • Have benefits been realised?
  • Has operational performance improved?
  • Is it working?


The improvements by both ROs and ACBs, noted from last year, have continued
  • The technical competence of the auditors has increased
  • Improved audit duration
  • Improved identification of high risk samples
  • Improved identification of audit trails
  • Correctly assigned technical experience
  • Suitable VCAs
  • Significant improvements in 2013


Last year’s report to this Workshop stated:

‘The small number of auditors makes the system vulnerable’

‘Recruitment of new experienced Auditors is crucial’

Nothing has happened and as a result there is a critical over reliance on a small number of ageing sub-contracted auditors, some now working for four ACB’s, in up to 6 ROs. This will be reported to the Commission in the 2013 Annual Report

Members need to identify personnel who may want to offer their competence and experience to the industry after retirement.

This is also a critical issue for QACE and our own Observer team. There is a responsibility to ensure the Entity has the resources to fulfil its obligations.

  • A critical issue


Audit Programs have not been delivered

If programs are not completed (with all the audits complying with the requirements) QACE will not verify the Annual Statements of Compliance and will have no option but to report the issue to the flag States and the Commission

  • A critical issue


Care over selecting VCAs.
  • Increased examination of statutory surveys
  • Where PSC and PR17 cases have identified deficiencies, examination of the Special Survey.
  • Improved review of quality objectives
  • Further Necessary improvement areas


Improved review of the effectiveness of corrective actions from previous findings.
  • Where repeat findings are identified a major NC is to be raised against ineffective corrective actions requiring an action plan and, where necessary, certification threatened.
  • Timely corrective actions included in the database.
  • Further Necessary improvement areas


Three year audit plans.
  • To improve sampling: 1. (beginning of the year) provision of a list of on-going new builds, 2. (before office audits) SLs and PA Offices a list of held surveys/approvals, 3. balance high risk cases with a more random sample of major surveys.
  • An auditor’s planning day before audits.
  • Updating the audit checklists ensures auditors do not miss important areas of questioning and include new requirements and focus issues.
  • Analysis of audit findings by an Audit Manager.
  • Best Practice


Following up issues identified in the field during HO audits.
  • Use meeting rooms for audits, projecting evidence onto a screen whenever possible.
  • Specific, complex ship training - Passenger Ship & LNG (and increased audit duration as a result).
  • Following plan approval cases to audit the new build.
  • Ships in operation VCAs including earlierparts of the survey.
  • Best Practice


Passenger Ships (fire safety)
  • Mobile Offshore Units and FPSOs
  • Certificate Accuracy
  • Statutory surveys
  • Life boat and Life Raft Service Suppliers
  • Maritime Labour Convention (MLC) implementation
  • Audit Focus Areas


While there has been a good response to the 2012 CRs, the major issue of auditor resources remains.
  • The 2013 CRs will be the focus of the 2013 Annual Report, published in April, based on this report’s feedback and any other emerging issues.
  • IRs have been delivered to six of the twelve ROs this year and will be completed with the remaining six in 2014.
  • Planned as a two year cycle IRs discuss with each RO the ROs and their ACBs strengths and weaknesses, ask for actions where necessary and a formal response. The results are monitored over the period.
  • Collective Recommendations (CRs)
  • Individual Recommendations (IRs)