IECEx Audit - Service Facility

• Audit Title

• Audit No.

• Report Revision No

• Conducted on

  Date

• Audit Team

• Personnel

• Audit Objectives (may include determining the extent of conformity of the system, evaluation of the capability of the process, evaluation of the effectiveness of the management system in meetings specified goals, identification of areas for potential improvement, etc)

• Audit Scope (Extent and boundaries of the audit)

• Audit Criteria (Set of policies, procedures or requirements used as a reference against which audit evidence is compared)

• Audit Process / Plan (Description of the activities and arrangements for the audit).

• Location
  Address

• Client / Site

• Report Prepared by

Scope

• The IECEx audit checklist is based on the following documents and standards:
  1. IECEx OD 314-5,
  2. IECEx OD 315-5,
  3. IEC EN 60079-19, and
  4. ISO 9001:2008.
  
  As such, the audit applies to the repair, overhaul and reclamation of specified type of Ex Equipment for use in hazardous atmospheres.
  
  IECEx OD 314-5 - Quality Management System requirements for IECEx Service Facilities involved in the repair, overhaul and reclamation of Ex equipment.
  This Document sets out the Quality Management System (QMS) requirements that a Service Facility shall conform to in order to gain and maintain IECEx Certification as an IECEx Certified Service Facility, involved in repair, overhaul and reclamation of Ex equipment.
  
  IECEx OD 315-5 - Additional requirements for IECEx Service Facilities involved in the repair, overhaul and reclamation of Ex equipment.
  This document contains the procedures, techniques, systems and methods of repair that are to be followed by Ex Service Facilities involved in the repair, overhaul and reclamation of Ex equipment. It is to be read is in conjunction with IEC 60079-19 and is intended to items not covered in IEC 60079-19.
  
  IEC EN 60079-19:2011 – Explosive Atmospheres, Part 19: Equipment repair, overhaul and reclamation
  This standard gives instructions, principally of a technical nature, on the repair, overhaul, reclamation and modification of equipment designed for use in explosive atmospheres.
  
  ISO 9001:2008 - Quality management systems - Requirements
  While certification of the QMS to ISO 9001 is not a requirement of the IECEx scheme, service facilities who are certified to ISO 9001 will benefit in meeting the requirements of IECEx requirement. IECEx clause requirements that either replace, add to or are more specific than those of ISO 9001 are included in this checklist.
  

Notes

• The auditor shall record the audit outcome for each item on the Audit Checklist by marking the corresponding check box as follows:
  C - Compliant
  NC - Not compliant*
  N/A - Not applicable**
  
  * Description of any noncompliance shall be provided.
  ** Criteria not observed or not applicable to a specific situation or work order. The auditor’s comments shall include the reason(s) that the criteria could not be observed or is considered not applicable.
  
  Any checklist criterion marked “Not Compliant" will require Corrective Action (CA) that the auditor will specify and review.

Opening Meeting (Pre-audit Briefing)

• Date and Time of Opening Meeting

  Date

• Location

• Attendees

• Brief Included

• Additional Comments

Closing Meeting

• Date and Time of Closing Meeting

  Date

• Location

• Attendees

• Brief Included

• Additional Comments

General Information

• Type of building:

• Type of repair activities carried out:

• Approximate area (Sq metres):

• No of floors:

• No of personnel in area:

• Name(s) of Response Person(s) and area in charge:

IECEx OD 314-5 Audit Checklist

• Operational Document OD 314-5 sets out the Quality Management System (QMS) requirements for Service Facilities engaged in the repair, overhaul and reclamation of Ex equipment.

3.1 - Documentation Requirements

• Are there process plan(s) to establish verification of the Repair/Overhaul processes to the requirements of IEC 60079-19 and IECEx Operational Document OD 315-5?

  Yes

  No

  N/A

• Prior to implementation of any changes to workshop practices, processes or materials, are such changes for on-going compliance with Operational Document OD 315-5 assessed?

  Yes

  No

  N/A

• Has the Service Facility identified and recorded the range of test and measurement capabilities and limitations?

  Yes

  No

  N/A

• Are "Off-Site" repair or overhauls activities performed in accordance to documented procedures and/or work instructions?

  Yes

  No

  N/A

• The following requirements are additional to those of ISO 9001:2008, Clause 4.2.4

• Are records of serviced Ex equipment in conformity with the requirements of OD 314-5 and IEC 60079-19, and that are provided with the R-label maintained as per the controls defined in ISO 9001:2008 clause 4.2.4?

  Yes

  No

  N/A

• Are records of Ex equipment serviced NOT in conformity with the requirements of OD 314-5 and IEC 60079-19, and are NOT provided with the R-label maintained as per the controls defined in ISO 9001:2008 clause 4.2.4?

  Yes

  No

  N/A

• As a minimum, are records maintained for 10 years?

  Yes

  No

  N/A

3.2 - Management Responsibility

• The following requirements are additional to those of ISO 9001:2008, clause 5.

• Is at least one person appointed to deputize when necessary for the management representative in matters relating to the scope of work covered by the IECEx Certificate of Conformity for the Service Facility?

  Yes

  No

  N/A

• Are the responsibilities and authorities of the management representative and any deputies documented?

  Yes

  No

  N/A

• Is the ExCB notified of any changes to the personnel appointed as competent?

  Yes

  No

  N/A

3.3 - Resource Management

• The following requirements are additional to those of ISO 9001:2008, Clause 6.

• For Operative(s) and Responsible Person(s), has the required training been identified (as defined in IEC 60079-19 and IECEx OD 504) and documented in a training plan or similar document?

  Yes

  No

  N/A

• For Operative(s) and Responsible Person(s), has the required experience and education been identified (as defined in IEC 60079-19 and IECEx OD 504) and documented in Job Descriptions or similar documents?

  Yes

  No

  N/A

• Have persons performing assigned tasks been qualified on the basis of appropriate education, training and/or experience, as defined in IEC 60079-19 and Unit of Competency Ex 005, in accordance with IECEx OD 504?

  Yes

  No

  N/A

• Are appropriate education, training and refreshment training records maintained?

  Yes

  No

  N/A

3.4 - Product Realisation

• The following requirements are additional to those of ISO 9001:2008, Clause 7.

• Note:
  Procedures or work instructions need to consider each process covered under the scope of the IECEx Service Facility Certificate to the requirements of IEC 60079-19 and Operational Document OD 315-5 in accordance with the parameters listed below:
  • Type of service offered
  • Type of equipment, e.g. rotating machines, instruments
  • Types of protection of equipment being serviced, e.g. Ex d, Ex e, Ex I, etc.
  • Measurement/test/inspection facilities available
  • Recall of product after despatch, should the Service Facility become aware of any critical or major defect after the repaired product has been released. Such procedures shall provide for the notification to the ExCB of the problem and to national authorities, e.g. Mining Regulators for Group I
  • Details and evidence of competency for responsible persons and operatives, nominated as Competent Persons
  • Sub-contractor activities

• Has the Service Facility established procedures or work instructions under the scope of the IECEx certification in accordance to the requirements of IEC 60079-19 and Operational Document OD 315-5?

  Yes

  No

  N/A

3.5 - Measurement, analysis and improvement

• The following requirements are additional to those of ISO 9001:2008, Clause 8.

• Does the audit program address the effectiveness of the elements of the Quality Management System (QMS) to ensure that the repair, overhaul and reclamation processes are in conformity with IEC requirements?

  Yes

  No

  N/A

• Is the period between audits less than 12 months?

  Yes

  No

  N/A

• Are tests performed as specified in IEC 60079-19 and OD 315-5 with no sampling techniques being permitted?

  Yes

  No

  N/A

• Can a customer or owner be identified in the event of a repair, overhaul or reclaimed Ex product later being found not to be complying with IECEx requirements?

  Yes

  No

  N/A

• Is action taken, appropriate to the degree of risk, where nonconforming product has been supplied to a customer?

  Yes

  No

  N/A

• For non-conforming products that have been released, are the following records maintained:<br>• Serial numbers or identification of product supplied<br>• The customer who received the product<br>• The action taken to inform customers and the relevant ExCB<br>• The action taken to implement corrective and preventative action;<br>• Actions and communications taken with a relevant regulator (whenever applicable)

  Yes

  No

  N/A

IECEx OD 315-5 Audit Checklist

• This checklist refers to the procedures, techniques, systems and methods of repair fir Ex Service Facilities involved in the repair, overhaul and reclamation of Ex
  equipment as set out in IECEx OD 315-5.

4 - Additional requirements associated with efficiency to maintain T Ratings of rotating machines

• When rewinding Ex motors, is efficiency maintained and can this be demonstrated?

  Yes

  No

  N/A

5 - Additional requirements: Protection "d" – Flameproof enclosures

• Is the additional information in B.2 of IECEx OD 315-5 concerning general limits for machining applied?

  Yes

  No

  N/A

• When there is doubt to the validity of documentation or integrity of an enclosure, are tests listed in IECEx OD 315-5 considered?

  Yes

  No

  N/A

6 - Knowledge, skills and competencies of Responsible Persons and Operatives in accordance with IEC 60079-19 Annex B

• The below question is not applicable when personnel hold current IECEx CoPC Unit of Competency Ex 005 certificates. Please refer to A.14 Assessment of Responsible Persons and Operatives

• Can competency for each Responsible Person and Operative be demonstrated in accordance with IEC 60079-19 Annex B, and Unit of Competency Ex 005 (overhaul and repair of explosion-protected equipment), set forth in IECEx OD 504?

  Yes

  No

  N/A

Annex A - Recommended report forms

• Do reports contain the same level of information as that detailed in the sample forms of Annex A of IECEx OD 315-5?<br>

  Yes

  No

  N/A

BS EN 60079-19 Audit Checklist

4 - General

4.1 - General principles

• In circumstance where relevant documentation in accordance with 4.4.1.5.1 is not available, is the repair or overhaul carried out on the equipment in accordance with IEC 60079-19 and other relevant standard(s)?

  Yes

  No

  N/A

• Has the steps taken to obtain the relevant documentation been recorded and retained (see 4.4.1.5.3)?

  Yes

  No

  N/A

• If equipment has been modified, is a new certificate issued providing it complies with the requirements of 4.4.3?

  Yes

  No

  N/A

• Is the suitability of equipment ascertained from the manufacturer or the certification authority when repair or alteration techniques used are not in accordance with the IEC 60079-19 standard?

  Yes

  No

  N/A

4.2 - Statutory requirements for the repair facility

• Is the repair facility aware of any specific requirements in relevant national legislation which may govern the repair or overhaul operation?

  Yes

  No

  N/A

4.4 - Instructions for repair facility

• Has a 'responsible person' been appointed with the required competency within the management organisation to accept responsibility and authority for ensuring the overhauled/repaired equipment complies with the certification status agreed with the user?

  Yes

  No

  N/A

• Does the appointed person have a working knowledge of the appropriate explosion protection standards and an understanding of the BS EN 60079-19 standard?

  Yes

  No

  N/A

• Does the repair facility have adequate repair and overhaul facilities as well as the appropriate equipment necessary, taking into account the specific type of protection?

  Yes

  No

  N/A

• Does the repair facility have trained Operatives with the required competency (see Annex B), taking into account the specific type of protection?

  Yes

  No

  N/A

• Does the repair facility conduct an assessment of the status of the equipment to be repaired, agree with the user the expected certification status of the equipment after repair and the scope of work to be done?

  Yes

  No

  N/A

• Is the assessment formally documented?

  Yes

  No

  N/A

• Are omission of any tests mentioned in the standard justified and communicated to the user?

  Yes

  No

  N/A

• Does the job report include the assessment addressing the relevant clauses of the appropriate equipment standard and BS 60079-19 standard?

  Yes

  No

  N/A

• When overhaul/repair work is carried out at sites external to the repair facility, are additional procedures and systems available to manage work?

  Yes

  No

  N/A

• Are the relevant explosion-protection standards and certificates, including any specific conditions of the use, applicable to the equipment to be repaired or overhauled understood and complied with?

  Yes

  No

  N/A

• When it is impractical to carryout out certain tests for equipment taken offsite, are the details documented and communicated to the user before starting the repair?

  Yes

  No

  N/A

• Is repair and overhaul carried out in compliance to 4.4.1?

  Yes

  No

  N/A

• Is reclamation carried out in accordance to 4.4.2?

  Yes

  No

  N/A

• Is alteration and modifications carried out in accordance to 4.4.3?

  Yes

  No

  N/A

• Are temporary repairs carried out in accordance to 4.4.4?

  Yes

  No

  N/A

• Is the removal of damaged windings in accordance to 4.4.5.1?

  Yes

  No

  N/A

• Are additional requirements defined in 4.4.5.2 for rewound and repaired rotating machinery complied with?

  Yes

  No

  N/A

• Are correct lubricants and corrosion inhibitors selected and applied?

  Yes

  No

  N/A

• Are additional requirements for the repair and overhaul of equipment with type "d" (flameproof) applied?

  Yes

  No

  N/A

• Are additional requirements for the repair and overhaul of equipment with type "p" (pressurised) applied?

  Yes

  No

  N/A

• Are additional requirements for the repair and overhaul of equipment with type "e" (increased safety) applied?

  Yes

  No

  N/A

• Are additional requirements for the repair and overhaul of equipment with type "n" applied?

  Yes

  No

  N/A

4.3 - Instructions for the user

• Are relevant documentation along with the records of any repairs, overhauls, alterations or modifications made available to the repair centre?

  Yes

  No

  N/A

• Is re-installation of repaired equipment in accordance with IEC 60079-14?

  Yes

  No

  N/A

Please sign and email the report to the QHSE Administrator

• Select date

  Date

• Add signature

  Sign