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A-3 Joint Audits Conducted by Measurement Canada and Quality System Registration Bodies (QSRB) (formerly ACC-16 - no changes made)

Date: 2004-01-28
Bulletin: A-3-E
Category: Accreditation
Document(s): Criteria for the Accreditation of Organizations to Perform Inspections Pursuant to the Electricity and Gas Inspection Act and the
Weights and Measures Act (S-A-01:2002). Supersedes ACC-16 and all previous documentation on this issue.


1.0 Purpose

The purpose of this bulletin is to set out general guidelines and conditions to be followed for the coordination and execution of Measurement Canada and QSRB joint audits.

2.0 Background

As a result of the Electricity Trade Sector Review, Measurement Canada (MC) has agreed to coordinate its audits with those conducted by QSRBs, when requested by an accredited organization. In June 2002, a working group was formed with representation from MC and the Canadian Electricity Association (CEA) with the mandate of developing the administrative policies surrounding the coordination of joint audits. Consultations with representatives from two QSRBs (Quasar and ITS Intertek) and a pilot joint QSRB/MC audit were also conducted. This Bulletin reflects the decisions made as a result of these meetings and audits. It is important to note that the purpose of conducting joint audits is two fold:

a) To minimize the impact of the audit process, not to replace the QSRB or the MC audit.
b) To reduce the duplication of MC and QSRB audits without compromising results.

3.0 Defintions

3.1 Quality System Registration Body (QSRB): it is an entity that performs certification/registration of quality systems. This entity must be a nationally or internationally recognized entity.

3.2 Registered organization: it is an organization that operates a quality system that has been certified or registered by a QSRB.

3.3 Accredited Organization: it is an organization that operates a quality system that has been initially assessed and qualified by MC as meeting MC’s requirements.

4.0 Policy

4.1 Requests for joint audits by registered organizations

MC is prepared to conduct joint audits with a QSRB if a written request is submitted by the accredited organization. The written request must acknowledge and accept that information about the accredited organization will be shared between the QSRB and MC. The written request must be submitted to the local MC Regional Accreditation Coordinator.

4.2 Scope and limitations

• Joint audits may be conducted for expansion of scope or surveillance purposes, but not for initial accreditation.
• All expenses incurred by the QSRB are the responsibility of the accredited organization requesting the joint audit.
• Standard used by QSRB must be recognized by Measurement Canada: ISO 9001:2000, ISO 9002: 1994 or ISO 17025: 1999.
• The QSRB must be an accredited organization to internationally recognized standards or national accreditation programs. Proof of this accreditation must be provided to MC.
• MC and QSRB are not bound by each other's findings.
• ISO registration is not dependent on MC accreditation, and similarly, MC accreditation is not dependant on ISO registration.

• A formal written request for joint audits must be submitted by the registered organization. Upon receiving a request, MC will provide the applicant with guidelines and conditions.
• A meeting (in person, or by phone) will be held between the QSRB, Accredited Organization and the Measurement Canada auditors to discuss auditing procedures and agree on the joint audit plan and process.
• The QSRB is to share the audit plan with Measurement Canada.
• The QSRB audit plan is to be appended to Measurement Canada’s audit plan.

• The audit will be led by the QSRB for the purposes of certification/registration; however, MC will still assign a lead auditor to administer the auditing process related to MC’s requirements and its accreditation program.
• The QSRB will focus on the quality system aspects of the audit and will be accompanied by one of the MC auditors during the audit. The other MC auditor, along with the technical expert as applicable, will focus on the legal/technical aspects of the audit.
• MC will assess, as a minimum, those areas within the quality system where additional requirements exist, as documented in SA-01:2002.
• MC may further assess areas where more evidence of compliance against legal requirements is required.

• MC may withhold an expansion of scope, even if the report by the QSRB identifies no major nonconformances, or if the QSRB accepts the accredited organization’s corrective actions. It is possible to receive QSRB registration and still have MC accreditation withheld pending resolution of a non-conformance raised by MC.
• QSRB registration is not dependent on MC accreditation, and similarly, MC accreditation is not dependant on QSRB registration. However, the QSRB may request MC’s concurrence with corrective actions related to legal or metrological requirements.

• Audit reports:

• Two separate reports will be prepared as a result of the audit. One report will be prepared by the QSRB for the purpose of registration or maintenance. Another report will be prepared by MC for the purpose of accreditation. The QSRB report will be appended to the MC report.

• Corrective action:

• MC is not obliged to accept a corrective action that has been accepted by a QSRB.
• Both parties conduct their respective follow-up and assessment process.
• Where a nonconformance is raised in relation to an MC requirement, corrective action or disposition must be accepted by Measurement Canada.