ISO 30003:2009
(Main)Ships and marine technology — Ship recycling management systems — Requirements for bodies providing audit and certification of ship recycling management
Ships and marine technology — Ship recycling management systems — Requirements for bodies providing audit and certification of ship recycling management
ISO 30003:2009 contains principles and requirements for bodies providing the audit and certification of ship recycling management systems according to management system standards and standards such as ISO 30000.
Navires et technologie maritime — Systèmes de management de recyclage des navires — Exigences pour les organismes assurant l'audit et la certification de management de recyclage des navires
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Standards Content (Sample)
INTERNATIONAL ISO
STANDARD 30003
First edition
2009-10-01
Ships and marine technology — Ship
recycling management systems —
Requirements for bodies providing audit
and certification of ship recycling
management
Navires et technologie maritime — Systèmes de management de
recyclage des navires — Exigences pour les organismes assurant
l'audit et la certification de management de recyclage des navires
Reference number
ISO 30003:2009(E)
©
ISO 2009
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ISO 30003:2009(E)
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ISO 30003:2009(E)
Contents Page
Foreword. iv
Introduction . v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions. 1
4 Principles for certification bodies. 2
5 General requirements. 4
6 Structural requirements . 6
7 Resource requirements. 7
8 Information requirements . 10
9 Process requirements . 14
10 Management system requirements for certification bodies. 28
Annex A (informative) Guide for process to determine auditor time. 33
Annex B (normative) Criteria for auditing organizations with multiple sites. 36
Annex C (normative) Auditor education, work and audit experience and training durations . 40
Annex D (normative) Auditor competence requirements . 41
Bibliography . 43
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ISO 30003:2009(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies
(ISO member bodies). The work of preparing International Standards is normally carried out through ISO
technical committees. Each member body interested in a subject for which a technical committee has been
established has the right to be represented on that committee. International organizations, governmental and
non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the
International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
Attention is drawn to the possibility that some of the elements of this document may be the subject of patent
rights. ISO shall not be held responsible for identifying any or all such patent rights.
ISO 30003 was prepared by Technical Committee ISO/TC 8, Ships and marine technology.
This first edition of ISO 30003 cancels and replaces ISO/PAS 30003:2008.
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ISO 30003:2009(E)
Introduction
This International Standard is intended for use by bodies that carry out audit and certification of ship recycling
management systems. Certification of ship recycling management systems is a third-party conformity
assessment activity (see ISO/IEC 17000:2004, 2.4). A body performing this activity is therefore a third-party
conformity assessment body; the term used in this International Standard is certification body (3.1). This
wording should not be an obstacle to the use of this International Standard by bodies with other designations
that undertake activities covered by the scope of this International Standard. Indeed, this International
Standard should be usable by any body involved in the assessment of ship recycling management systems.
NOTE 1 Certification of a ship recycling management system is sometimes also called registration, and certification
bodies are sometimes called registrars.
NOTE 2 A certification body can be non-governmental or governmental (with or without regulatory authority).
NOTE 3 This International Standard can be used as a criteria document for accreditation or peer assessment or other
audit processes.
Certification of ship recycling management systems should be delivered by certification bodies who have
demonstrated competence to do so. One means of demonstrating competence for the certification bodies and
accreditation bodies is available from the International Accreditation Forum (IAF).
This International Standard defines the minimum requirements of a certification body and its associated
auditors, recognizing the unique need for insight and knowledge when auditing and certifying a client
organization.
Requirements for ship recycling management systems can originate from a number of sources, and this
International Standard has been developed to assist in the certification of ship recycling management systems
that fulfil the requirements of ISO 30000.
As such, this International Standard:
⎯ provides harmonized guidance for the accreditation of certification bodies applying for ISO 30000
certification/registration;
⎯ defines the rules applicable to the audit and certification of a ship recycling management system
complying with the management system for safe and environmentally sound ship recycling facilities
requirements (or other sets of specified ship recycling management systems requirements);
⎯ provides the customers with the necessary information and confidence about the way certification of their
waste and other material handling or service companies has been granted.
Certification of management systems for safe and environmentally sound ship recycling facilities of an
organization is one means of providing assurance that the organization has implemented a system for ship
recycling management in line with its policy.
This International Standard specifies requirements for certification bodies. Observance of these requirements
is intended to ensure that certification bodies operate ship recycling management systems certification in a
competent, consistent and reliable manner, thereby facilitating the recognition of such bodies and the
acceptance of their certifications on a national and international basis. This International Standard should
serve as a foundation for facilitating the recognition of ship recycling management systems certification in the
interests of the international community.
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ISO 30003:2009(E)
Certification of a ship recycling management system provides independent verification that the ship recycling
management system of the organization:
a) conforms to specified requirements;
b) is capable of consistently achieving its stated policy and objectives;
c) is effectively implemented.
Certification of a ship recycling management system thereby provides value to the organization, its customers
and interested parties.
This International Standard aims to provide the basis for recognition of the competence of certification bodies
in their provision of ship recycling management system certification. This International Standard can be used
as the basis for recognition of the competence of certification bodies in their provision of ship recycling
management system certification (such recognition may be in the form of notification, peer assessment, or
direct recognition by regulatory authorities or industry consortia).
Certification activities involve the audit of an organization's ship recycling management system. The form of
attestation of conformity of an organization's ship recycling management system to a specific standard (for
example ISO 30000) or other specified requirements is normally a certification document or a certificate.
It is for the organization being certified to develop its own ship recycling management systems (including
ISO 30000 ship recycling management system, other sets of specified management system requirements,
quality systems, environmental management systems or occupational health and safety management
systems) and, other than where relevant legislative requirements specify the contrary, it is for the organization
to decide how the various components of these shall be arranged. The degree of integration between the
various ship recycling management systems components will vary from organization to organization. It is
therefore appropriate for certification bodies that operate in accordance with this International Standard to take
into account the culture and practices of their clients in respect of the integration of their ship recycling
management system within the wider organization.
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INTERNATIONAL STANDARD ISO 30003:2009(E)
Ships and marine technology — Ship recycling management
systems — Requirements for bodies providing audit and
certification of ship recycling management
1 Scope
This International Standard contains principles and requirements for bodies providing the audit and
certification of ship recycling management systems according to management system standards and
standards such as ISO 30000.
2 Normative references
The following referenced documents are indispensable for the application of this document. For dated
references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
ISO/IEC 17000, Conformity assessment — Vocabulary and general principles
ISO 19011, Guidelines for quality and/or environmental management systems auditing
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 17000 and the following apply.
3.1
certification body
third-party conformity assessment body
NOTE See ISO/IEC 17000:2004, 2.5.
3.2
certified client
organization whose ship recycling management system has been certified/registered by a qualified third party
3.3
management system consultancy and/or associated process and operation assessment
participation in designing, implementing or maintaining a ship recycling management system and in
conducting process and operation assessments including:
a) preparing or producing manuals or procedures;
b) giving specific advice, instructions or solutions towards the development and implementation of a ship
recycling management system;
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ISO 30003:2009(E)
c) conducting internal audits;
d) conducting process and operation assessment and analysis
NOTE Arranging training and participating as a trainer is not considered consultancy provided that, where the course
relates to ship recycling management systems or auditing, the course is confined to the provision of generic information
that is freely available in the public domain, i.e. the trainer does not provide company-specific solutions.
3.4
multiple-site organization
organization that provides ship recycling services or directly related services (e.g. pre-cleaning, removal of
certain materials or wastes, preparation of ship for later dismantling and recycling) from more than one
location
4 Principles for certification bodies
4.1 General
4.1.1 The principles given in this clause are the basis for the subsequent specific performance and
descriptive requirements in this International Standard. It does not give specific requirements for all situations
that can occur. These principles should be applied as guidance for the decisions that might need to be made
for unanticipated situations.
4.1.2 The overall aim of certification is to give confidence to all parties that a ship recycling management
system, process or service fulfils specified requirements. The value of certification is the degree of public
confidence and trust that is established in a management system, process or service after it has been
impartially and competently assessed by a third party. Parties that have an interest in certification include, but
are not limited to:
a) the clients of the certification bodies;
b) the customers of the organizations whose management systems are certified;
c) governmental authorities;
d) non-governmental organizations;
e) waste and other material handling or service companies and other members of the public.
4.1.3 Principles for inspiring confidence include:
a) impartiality;
b) competence;
c) responsibility;
d) openness;
e) confidentiality;
f) resolution of complaints.
4.2 Impartiality
4.2.1 Being impartial, and being perceived to be impartial, is necessary for a certification body to deliver
certification that provides confidence.
4.2.2 It is recognized that the source of revenue for a certification body is its client paying for certification,
and that this is a potential threat to impartiality.
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ISO 30003:2009(E)
4.2.3 To obtain and maintain confidence, a certification body has to be able to demonstrate that its
decisions are based on objective evidence of conformity (or nonconformity) obtained by the certification body,
and that its decisions are not influenced by other interests or by other parties.
4.2.4 Threats to impartiality include:
a) Self-interest threats — threats that arise from a person or body acting in their own interest. A concern
related to certification, as a threat to impartiality, is financial self-interest.
b) Self-review threats — threats that arise from a person or body reviewing the work done by themselves.
Auditing the ship recycling management systems of a client to whom the certification body provided ship
recycling management systems consultancy would be a self-review threat and is therefore not acceptable.
c) Familiarity (or trust) threats — threats that arise from a person or body being too familiar or trusting of
another person instead of seeking audit evidence is a familiarity threat to impartiality.
d) Intimidation threats — threats that arise from a person or body having a perception of being coerced
openly or secretively, such as a threat to be replaced or reported to a supervisor.
4.3 Competence
Competence of the personnel supported by the organizational infrastructure is necessary for the certification
body to deliver certification that provides confidence. Competence is the demonstrated ability to apply
appropriate knowledge and skills effectively. Such competence may be demonstrated by suitable registration
with such bodies as the International Accreditation Forum (IAF).
4.4 Responsibility
4.4.1 The client organization, not the certification body, has the responsibility for conformity with the
requirements for certification.
4.4.2 The certification body has the responsibility to assess sufficient objective evidence upon which to
base a recommendation for certification. Based on audit recommendations it makes a decision to grant
certification if there is sufficient evidence of conformity, or not to grant certification if there is not sufficient
evidence of conformity.
Audit evidence shall be verifiable. It is based on samples of the information available, since an audit is
conducted during a finite period of time and with finite resources. The appropriate use of sampling is closely
related to the confidence that can be placed in the audit conclusions.
4.5 Openness
4.5.1 Openness is access to or disclosure of information. Therefore, a certification body shall provide public
access to or disclosure of appropriate and timely information about the audit process and certification process,
and about the certification status (i.e. the granting, suspending, reducing the scope of, or withdrawing of
certification) of any organization, in order to gain confidence in the integrity and credibility of certification.
4.5.2 To gain or maintain confidence in certification, a certification body shall provide appropriate access to
or disclosure of non-confidential information about the conclusions of specific audits (e.g. audits in response to
complaints) to specific interested parties.
4.6 Confidentiality
To gain the privileged access to information that is needed for the certification body to assess conformity to
requirements for certification adequately, a certification body shall keep confidential any sensitive,
proprietary- or vulnerability-related information about an organization's ship recycling management system.
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ISO 30003:2009(E)
4.7 Resolution of complaints
Parties that rely on certification expect to have complaints investigated and, if these are found to be valid,
should be confident that the complaints will be appropriately addressed and a reasonable effort will be made
to resolve the complaints.
NOTE An appropriate balance between the principles of openness and confidentiality, including resolution of
complaints, is necessary in order to demonstrate integrity and credibility to all users of certifications.
5 General requirements
5.1 Legal and contractual matters
5.1.1 Legal responsibility
The certification body shall be a legal entity, or a defined part of a legal entity, such that it can be held legally
responsible for all its certification activities. A governmental certification body is deemed to be a legal entity on
the basis of its governmental status.
5.1.2 Certification agreement
The certification body shall have a legally enforceable agreement for the provision of certification activities to
its client organizations. In addition, where there are multiple offices of certification bodies or multiple sites of a
certified client, the certification body shall ensure there is a legally enforceable agreement between the
certification body granting certification and issuing a certificate, and the certified client, explicitly covering each
certified site of the client. The agreement shall clearly define to which standard(s) or other normative
documents the certification shall conform.
5.1.3 Responsibility for certification decisions
The certification body shall retain authority and shall be responsible for its decisions relating to certification,
including the granting, maintaining, renewing, extending, reducing, suspending and withdrawing of certification.
5.2 Management of impartiality
5.2.1 The certification body shall have top-management commitment to impartiality in ship recycling
management system certification activities. The certification body shall have a publicly available statement
that it understands the importance of impartiality in carrying out its ship recycling management system
certification activities, manages conflicts of interest and ensures objectivity of its ship recycling management
system certification activities.
5.2.2 The certification body shall identify, analyse and document the possibilities for conflict of interests
arising from the provision of certification including any conflicts arising from its relationships. Having
relationships does not necessarily present a certification body with a conflict of interest. However, if any
relationship creates processes and operations that threaten impartiality, the certification body shall document
how it eliminates or minimizes such processes and operations and shall be able to demonstrate this to the
committee specified in 6.2. The demonstration shall cover all potential sources of conflict of interests that are
identified, whether they arise from within the certification body or from the activities of other persons, bodies or
organizations.
NOTE A relationship that threatens the impartiality of the certification body can be based on ownership, governance,
management, personnel, shared resources, finances, contracts, marketing, and payment of a sales commission or other
inducement for the referral of new clients, etc.
5.2.3 When a relationship gives rise to a threat to impartiality that cannot be eliminated or minimized, such
as a wholly owned subsidiary of the certification body requesting certification from its parent, then certification
shall not be provided.
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ISO 30003:2009(E)
5.2.4 A certification body shall not certify another certification body for its ship recycling management
system certification activities.
NOTE A relationship that threatens the impartiality of the certification body can be based on ownership, governance,
management, personnel, shared resources, finances, contracts, marketing, and payment of a sales commission or other
inducement for the referral of new clients, etc.
5.2.5 The certification body and any part of the same legal entity shall not offer or provide ship recycling
management system consultancy and/or associated process and operation assessments. This also applies to
that part of government identified as the certification body.
5.2.6 The certification body and any part of the same legal entity shall not offer or provide internal audits to
its certified clients. This also applies to that part of government identified as the certification body.
NOTE Internal audits in which auditors suggest solutions (to identified nonconformities or opportunities for
improvement) are considered an unacceptable threat to impartiality.
5.2.7 The certification body shall not certify a ship recycling management system on which a client has
received ship recycling management system consultancy and/or associated process and operation
assessments or internal audits where the relationship between the consultancy organization and the
certification body poses an unacceptable threat to the impartiality of the certification body.
NOTE 1 Allowing a minimum period of two years to elapse following the end of the ship recycling management system
consultancy and/or associated process and operation assessments or internal audits is one way of reducing the threat to
impartiality to an acceptable level.
NOTE 2 Internal audits in which auditors suggest solutions (to identified nonconformities or opportunities for
improvement) are considered an unacceptable threat to impartiality.
5.2.8 The certification body shall not outsource audits to organizations that pose an unacceptable threat to
the impartiality of the certification body (see 7.2).
5.2.9 The certification body's activities shall not be marketed as linked with the activities of an organization
that provides ship recycling management system consultancy and/or associated process and operation
assessments. The certification body shall take action to correct inappropriate claims by any consultancy
organization stating or implying that certification would be simpler, easier, faster or less expensive if the
certification body were used. A certification body shall not state or imply that certification would be simpler,
easier, faster or less expensive if a specified consultancy organization were used.
5.2.10 To ensure that there is no conflict of interests, personnel who have provided ship recycling
management system consultancy and/or associated process and operation assessments to the client,
including those acting in a managerial capacity, shall not be employed to take part in an audit or in certification
activities within two years following the end of the consultancy.
5.2.11 The certification body shall take action to respond to any threats to its impartiality arising from the
actions of other persons, bodies or organizations.
5.2.12 All certification body personnel, either internal or external, or committees, who could influence the
certification activities, shall act impartially and shall not allow commercial, financial or other pressures to
compromise impartiality.
5.2.13 Certification bodies shall require personnel, internal and external, to reveal any situation known to
them that may present them or the certification body with a conflict of interests. Certification bodies shall use
this information as input to identifying threats to impartiality raised by the activities of such personnel or by the
organizations that employ them and shall not use such personnel, internal or external, unless they can
demonstrate that there is no conflict of interests.
NOTE The fact that the organization employing the auditor is known to have provided ship recycling management
system consultancy and/or associated process and operation assessments on the ship recycling management system,
within two years following the end of the consultancy, is likely to be considered as a high threat to impartiality.
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ISO 30003:2009(E)
5.3 Liability and financing
5.3.1 The certification body shall be able to demonstrate that it has evaluated the processes and operations
arising from its certification activities and that it has arrangements (e.g. insurance or reserves) to cover
liabilities arising from its operations in each of its fields of activity and the geographical areas in which it
operates.
5.3.2 The certification body shall evaluate its finances and sources of income and demonstrate to the
committee specified in 6.2 that initially, and on an ongoing basis, commercial, financial or other pressures do
not compromise its impartiality.
6 Structural requirements
6.1 Organizational structure and top management
6.1.1 The structure of the certification body shall be such as to give confidence in its certification.
6.1.2 The certification body shall identify the top management (board, group of persons, or person) having
overall authority and responsibility for each of the following:
a) development of policies relating to the operation of the body;
b) supervision of the implementation of the policies and procedures;
c) supervision of the finances of the body;
d) performance of audits, certification and resolution of complaints;
e) decisions on certification;
f) delegation of authority to committees or individuals, as required, to undertake defined activities on its
behalf;
g) contractual arrangements;
h) providing adequate, qualified resources for certification activities.
6.1.3 The certification body shall document the organizational structure, showing duties, responsibilities and
authorities of management and other certification personnel and any committees. When the certification body
is a defined part of a legal entity, the structure shall includ
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