2008 Nov Pcoc QM Template

TRANSPORT CANADA MARINE SAFETY
PLEASURE CRAFT OPERATOR COMPETENCY PROGRAM

QUALITY MANAGEMENT SYSTEM FOR ACCREDITATION
OF COURSE PROVIDERS PROJECT
TRANSITION AND IMPLEMENTATION
PLEASURE CRAFT OPERATOR COMPETENCY PROGRAM
QUALITY MANUAL TEMPLATE FOR COURSE PROVIDERS
FINAL DRAFT V2.6
Fujitsu Consulting
31 July 2008
Reference: 126123
<Company Name Here>

QUALITY MANUAL
Preface to the Quality Manual Template
A Quality Manual is a formal and authorized document that outlines your intention as a
Course Provider to operate in an effective and controlled manner. It sets out the quality
policies, procedures and practices which comprise your quality management system
(QMS).
This Quality Manual template is intended to serve as a tool for the production of
individual Course Provider Quality Manuals as required and recognized by the
Transport Canada Pleasure Craft Operator Competency Program - Accreditation
Requirements.
This Quality Manual template is designed with a series of instructions and/or guidance
provided at the start of each section in grey-shaded boxes. The template is also
designed for you to delete, at some point, the instructions and guidance thus giving
you a final Quality Manual for your organization. It is suggested that you thoroughly
review the provided instructions and guidance and do not delete them until you have a
near-final Quality Manual document.
The Quality Manual template has also been designed for you to personalize the
document (text outside the shaded boxes) to your organization. Therefore, any text that
is italicized is only an example or suggested text for the respective section and you are
encouraged to review and amend this text to suit your particular organization and
requirements. The final version of your text should be changed from italics to normal
font. Additionally, you will see suggested wording options, in some sections, that are
provided within the less than and greater than symbols for example < Business
Owner or senior management>. You can simply delete the < > symbols and the words
that do not apply and, again, change the font from italics to normal. In the case where
none of the provided words/options apply, simply delete the symbols and italicized text
and insert your own text in normal font.
One additional tool that can help in your preparation for accreditation and for assessing
accreditation readiness is the QMS Self-Assessment Checklist that is found at
Appendix B to this Quality Manual.
Appendix A Glossary defines selected terminology, and defines the meaning of
abbreviations and acronyms used throughout this document.
Dos and Donts to Facilitate Preparation of Your Quality Manual

1. Do thoroughly familiarize yourself with this document.
2. Do review your organizations operations to ensure that requirements in the Quality
Manual are consistent with your operation and are being performed. Identify any
gaps and differences in your operations, including existing applicable
documentation, such as policies, procedures, and protocols (e.g. Test Protocol)
and ensure you have transitioned to the latest Transport Canada Pleasure Craft
Operator Competency Program - Accreditation Requirements.
3. Do update your Quality Manual cover page and header(s) and footer(s).
4. Do delete and remove all explanatory information (all text in the grey-shaded
explanation boxes) from your Quality Manual.
5. Do delete the Forward page.
6. Do delete the example Quality Policy Statement and replace it with your Quality
Policy.
<Company Logo Here>
Document No xx
QUALITY MANUAL
Issue Date
dd-mmm-yyyy
QUALITY MANAGEMENT SYSTEM

Revision 0
7. Do amend the list of QMS documentation and documentation mediums, as

applicable.
8. Do reference your applicable Provincial/Territorial Freedom of Information and
Protection of Privacy Act and Personal Information Protection and Electronic
Documents Act, as appropriate. Do add and/or delete references in Appendix E
References, as applicable.
9. Do delete the example Organizational Chart and replace it with your Organizational
Chart.
10. Do adjust roles, responsibilities, and authorities, where appropriate, for your
organization.
11. Do identify the advertised official language(s) in which you offer your Course
Provider services.
12. Do adjust the list of Client and Transport Canada communications channels and
arrangements, where appropriate, for your organization.
13. Do adjust the list of Client satisfaction methods, as applicable.
14. Do add and define any terminology, abbreviations and acronyms specific to your
organization and used in your Quality Manual in Appendix A Glossary.
15. Do document the name(s) and title(s) and obtain approvals of duly authorized
Business Owner, Designed Senior Manager and/or senior management
responsible for the quality of the delivery of your client services.
16. Do take the opportunity to utilize the QMS Self-Assessment Checklist, found at
Appendix B to this manual, to prepare your organization for and to maintain
accreditation;
17. Do Not use the example Quality Policy Statement verbatim. Use the example as a
guide for your organizations Quality Policy.
18. Do Not include proprietary information or highly sensitive material in your Quality
Manual.
19. Do Not assume a complete QMS is compliant with the requirements of ISO
9001:2000 International Standard for Quality Systems.
Quality Manual
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Date Issued: 31 July 2008
Responsible Authority
The Business Owner or Designated Senior Manager is responsible for this document, including any change,
correction or update.
Approved By
................................................................
First name, Last name
Title
................................................................
Title
................................................................
Title
................................................................
Title
Template Version
Version / Revision: 2.6
Quality Manual
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Revision History
Amendment No.
Quality Manual
Date
Pages Affected
Revision 0
Date Entered
Initials
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TABLE OF CONTENTS
FORWARD........................................................................................................................1
A
QUALITY POLICY STATEMENT............................................................................... 2
POLICIES AND PROCEDURES ............................................................................... 4
1.
QUALITY MANAGEMENT SYSTEM ......................................................................... 4

1.1 Documentation Requirements ......................................................................................... 4
1.1.1 Quality Manual............................................................................................................. 5
1.1.2 Control of Documents .................................................................................................. 6
1.1.3 Control of Records....................................................................................................... 8
1.1.4 Record Submissions to Transport Canada ................................................................. 9
2.
MANAGEMENT RESPONSIBILITY......................................................................... 11
2.1 Management Commitment.............................................................................................. 11
2.2 Roles, Responsibilities and Authorities........................................................................ 12
2.2.1 Business Owner or Designated Senior Manager ...................................................... 13
2.2.2 Quality Coordinator.................................................................................................... 14
2.2.3 All Staff ...................................................................................................................... 15
2.3 Management Review ....................................................................................................... 16
3.
DELIVERY OF COURSE PROVIDER SERVICES.................................................. 19

3.1
3.2
3.3
3.4
4.
MEASUREMENT, ANALYSIS AND IMPROVEMENT ............................................. 22

4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9
Official Language............................................................................................................. 19
Client Communication .................................................................................................... 19
Transport Canada Communication................................................................................ 20
Transport Canada Supplied Materials ........................................................................... 20
Client Satisfaction ........................................................................................................... 22

Transport Canada Accreditation Requirements........................................................... 22
Client Feedback ............................................................................................................... 23
Transport Canada Feedback .......................................................................................... 24
Internal Audit.................................................................................................................... 25
External Audit .................................................................................................................. 27
Control of Non-conformances........................................................................................ 29
Corrective Action............................................................................................................. 29
Preventive Action ............................................................................................................ 31
APPENDICES.......................................................................................................... 33
APPENDIX A GLOSSARY........................................................................................... 33
Acronyms and Abbreviations................................................................................................. 33
Terminology ............................................................................................................................. 33
APPENDIX B QMS SELF-ASSESSMENT CHECKLIST ............................................. 38

APPENDIX C REQUIRED DOCUMENTATION CHECKLIST ..................................... 46
APPENDIX D REQUIRED RECORDS CHECKLIST ................................................... 47
APPENDIX E REFERENCES ...................................................................................... 48
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FORWARD
The Course Provider Quality Manual shall be the main document for your quality
management system (QMS).
The purpose of the Course Provider Quality Manual is to state your organizations
philosophy, policy and procedures towards satisfying all Transport Canada Pleasure
Craft Operator Competency Program - Accreditation Requirements for a QMS, and in
doing so, demonstrate your commitment, as Business Owner, Designated Senior
Manager and/or senior management, to the management of this program within your
organization.
Your Quality Manual also describes in the form of policies and individual procedures
how the Transport Canada Pleasure Craft Operator Competency Program Accreditation Requirements for a QMS will be implemented within your organization.
Further evidence of your commitment as Business Owner, Designated Senior Manager
and/or senior management is demonstrated in a number of ways including: the
development, implementation and continual improvement of your quality management
system (QMS); ongoing communication of its effectiveness to all your staff, including
agents administering tests and agents performing other business functions, both
temporary and one-time agents; and, ongoing communications regarding the
importance of meeting Transport Canada Pleasure Craft Operator Competency
Program - Accreditation Requirements, meeting client expectations and delivering
quality client services.
Finally, your Quality Manual is a controlled document and only controlled copies are to
be used to implement your QMS.
The purpose of this < Company Name Here> Quality Manual is to state <my or this
organizations> philosophy, policy and procedures towards satisfying all Transport
Canada Pleasure Craft Operator Competency Program Accreditation Requirements for
a quality management system (QMS) and demonstrates <my or Designated Senior
Management> commitment to the management of this program within this organization.
The < Company Name Here> Quality Manual details the policies and individual
procedures for the implementation of the Transport Canada Pleasure Craft Operator
Competency Program within this organization.
<My or Designated Senior Management> ongoing commitment to these policies and
procedures will be demonstrated through: <add or delete from list as applicable>
Development, implementation and continual improvement of the QMS;

Ongoing communication of the QMS effectiveness to all staff;
Ongoing communications regarding the importance of meeting Transport Canada
Accreditation Requirements, meeting client expectations and delivering quality
client services; and
<List Others Here>.
This < Company Name Here> Quality Manual is a controlled document and controlled
copies will be maintained and distributed accordingly.
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QUALITY POLICY STATEMENT

Your commitment to the Transport Canada Pleasure Craft Operator Competency
Program - Accreditation Requirements is supported by your Quality Policy Statement.
As part of your quality management system (QMS) you must issue a Quality Policy
Statement approved by the Business Owner or the Designated Senior Manager.
This Quality Policy Statement is written so that it is appropriate to the purpose of your
organization. It is written in language that is easy to understand and expresses the
overall intentions and direction of your organization related to the quality of delivery of
your Course Provider client services. It shall include a commitment to:
Meet or exceed client satisfaction with your Course Provider services;
Continually comply with the Transport Canada Pleasure Craft Operator

Competency Program - Accreditation Requirements;
Continually improve the effectiveness of the quality management system (QMS);
Communicate the Quality Policy Statement within your organization, including

communication to all agents administering tests and/or all agents performing other
business functions, on behalf of your organization, including temporary or one-time
agents;
Ensure the Quality Policy Statement is understood within your organization; and
Review the Quality Policy Statement for continuing suitability.
The <Company Name Here> Quality Policy Statement states:

<Company Quality Policy Statement Here>
Preface to Quality Policy Statement Example
This example Quality Policy Statement is intended to serve as a tool to guide your
organization in the development of its Quality Policy.
Because a Quality Policy shapes your organizations approach to Course Provider
services and quality assurance, the Quality Policy Statement must be approved by your
Business Owner or Designated Senior Manager.
Your Quality Policy Statement should indicate who will be fulfilling the role of Quality
Coordinator in your organization (refer to Section 2.2.2 of this document). In smaller
organizations, the Business Owner may choose to take on this role due to insufficient
staff or expertise. The Business Owner may also choose to acquire the services of an
external Quality consultant, in accordance with the selection guidance provided
separately, to provide advice and perform some of all of the roles of the Quality
Coordinator.
The Quality Policy Statement must reflect your organizations commitment to quality,
continuous improvement, and client satisfaction. It must be:
Linked to your organizational goals;
Be relevant to the needs and expectations of your clients and Transport Canada;
and
State your organizations quality objectives.
The < Company Name Here> is committed to providing and delivering high quality
Course Provider services to consistently achieve client and Transport Canada
satisfaction, and to promote and ensure operator safety and competency in the marine
environment.
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Our policy will be achieved through:
Exceeding client expectations with our services;

Committing to a quality management system (QMS) that satisfies the
requirements as outlined in the Transport Canada Pleasure Craft Operator
Meeting and exceeding our accreditation commitments;
Implementing, following and pursuing a quality management system (QMS) that
fosters a quality culture across the organization and supports continuous
improvement;
Working with our clients and Transport Canada to monitor our success and to
continuously evolve and improve our operations and services;
Ensuring that quality standards are maintained and improved by active
monitoring, reviewing and improving all activities; and
Communicating this policy to our staff, including all of our agents.
The role of Quality Coordinator within <Company Name Here> will be performed by
<designated person or Business Owner or Designated Senior Manager>.
The Quality Policy Statement is issued under the authority of and approved by the
<Company Name Here>< Business Owner or Designated Senior Manager> on the
effective date.
Effective Date: dd-Mmm-200y
Our quality management system (QMS) is periodically reviewed to maintain compliance
with the Transport Canada Accreditation Requirements.
Implementation of our quality management system (QMS) is the responsibility of all
management and staff, including agents administering tests and agents performing other
business functions within the scope of the QMS. This includes temporary and one-time
agents. The development and maintenance of the quality management system (QMS)
including the preparation and the approval of the <Company Name Here> Quality
Manual is the responsibility of the <Company Name Here> <Business Owner or
Designated Senior Manager Name Here>.
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POLICIES AND PROCEDURES
The Quality Manual includes the policies and supporting procedures for <Company
Name Here> quality management system (QMS).
1.
Quality Management System
The purpose of the <Company Name Here> quality management system (QMS) is to
ensure that all services satisfy client expectations, adhere to Transport Canada Pleasure
Craft Operator Competency Program - Accreditation Requirements and have been
delivered under controlled conditions.
<Company Name Here> performance and QMS effectiveness will be assessed in
several ways:
By a program of planned internal audits, covering all aspects of the operation of

the QMS;
By regular management reviews of the suitability and effectiveness of the QMS;
By analysis of potential problems and non-conformances as indicated by client
and Transport Canada feedback and complaints; and
By independent external audits, covering all aspects of the operation of the QMS.
1.1 Documentation Requirements

Specific documentation is required to implement your quality management system
(QMS) and to reflect what your organization does to deliver and assure the quality
of your Course Provider services.
To ensure the effective planning, operation, control and continual improvement of
your QMS, the following must be documented: (Note: Appendix C provides a
Documentation Checklist)
A Quality Policy Statement (included in this document);
A Quality Manual (this document),
Procedures and documents required to ensure compliance with the Transport

Canada Pleasure Craft Operator Competency Program - Accreditation
Requirements including the Transport Canada approved Test Protocol and a
Boating Safety Course Manual and/or Study Guide prepared in accordance
with the Pleasure Craft Operator Program Boating Safety Test Syllabus;
Records required as part of your accreditation (e.g., client records, internal

audit reports, corrective actions, etc.);
Records required to demonstrate conformance to and effective operation of

your QMS; and
Records required to manage, to operate and to administer your Course

Provider services.
The documentation medium employed must be specified. The documentation
medium used can be paper, magnetic, electronic, photograph, or a combination
thereof.
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<Company Name Here> has implemented and maintains a documented quality

management system (QMS). It is applicable to the services delivered in support of the
Transport Canada Pleasure Craft Operator Competency Program and all activities and
functions in which <Company Name Here> is involved and undertakes in support of
services and administration of our quality program. All policies and procedures are
documented to the extent necessary to enable <Company Name Here> to ensure and
assure the quality of our services.
<Company Name Here> documented QMS includes:
A Quality Policy Statement (included in section A of this Manual);

A Quality Manual and procedures (included in this Manual);
A Transport Canada approved Test Protocol (separate document);
Boating Safety Course Manual and/or Study Guide prepared in accordance with
the Pleasure Craft Operator Program Boating Safety Test Syllabus (separate
document);
Records (included in section 1.1.3 of this Manual); and
<List Other Applicable Documents Here>.
<Company Name Here> will make QMS documentation available.
<Company Name Here> is subject to the requirements of the Provincial/Territorial
Access to Information and the Privacy Act <Insert Title of Applicable Provincial Access to
Information and Privacy Act> when responding to requests for documents and records.
1.1.1 Quality Manual

The Quality Manual describes your organizations quality management system (QMS).
It is a reference document which provides the outline of your quality management
system (QMS) and describes how each element of QMS is met and maintained.
The scope of the QMS includes only those activities and functional areas that are
subject to your QMS for accreditation purposes.
The Quality Manual must be reviewed periodically (at least once per year) to ensure its
currency, continuing suitability, adequacy and effectiveness.
The Quality Manual is a policy document, containing details of how <Company Name
Here> addresses the requirements of Transport Canada Pleasure Craft Operator
Competency Program - Accreditation Requirements, delivering and assuring quality
Course Provider services. Quality Policy and direction for <Company Name Here> is
determined by <Business Owner or senior management>. The Quality Manual contains
<Company Name Here> Quality Policy Statement and provides information on the
procedures and operation of the quality management system (QMS).
In smaller organizations, the Business Owner may choose to perform the role of Quality
Coordinator if there is not sufficient staff or expertise. Therefore, the Quality Manual
could be maintained by the Business Owner and not the Quality Coordinator.
The Quality Manual is accessible to staff members, including all agents and/or auditors.
Amendments to the Quality Manual are also published and controlled by the Business
Owner.
Do revise the following two (2) paragraphs as appropriate for your organization.
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Staff members and agents will have access to <the intranet version/electronic
copy/paper-based copies> of the Quality Manual. A paper-based master copy of the
Quality Manual is maintained by the Quality Coordinator, who ensures that the electronic
version <and intranet version> is kept in alignment with its contents.
The Quality Manual will be reviewed periodically as part of the management review, at a
minimum of once per year, by <Company Name Here> <Business Owner, Designated
Senior Manager or senior management> to ensure its currency, continuing suitability,
adequacy and effectiveness. Amendments to the Quality Manual are controlled and
published by the Quality Coordinator. Changes in content will be approved with the
management and functions responsible for their implementation. The holders of paperbased Quality Manuals are responsible for incorporating authorized amendments and
disposing of obsolete pages.
1.1.2 Control of Documents

A system for generating, reviewing, approving, numbering, issuing and changing
documentation, including paper and/or electronic media is required to comply with the
Requirements. Therefore, in order to comply with Transport Canada Pleasure Craft
Operator Competency Program - Accreditation Requirements, QMS documents must
be controlled.
The control of documents means that any applicable internal document is accessible
and available to whom it applies and available at the required point(s) of use. In
addition, control means that the document:
has been approved for adequacy prior to issue;
has been reviewed, and updated as necessary, and re-approved prior to reissue;
has its changes and current revision status identified; and
remains legible and readily identifiable.

In addition:
applicable documents of external origins are identified and their distribution

controlled; and
obsolete documents retained for any purpose are clearly identified and kept in a
secure location to avoid unintended use.
In order to be compliant with this, internally controlled documents must also contain the
following components:
Title;
Document number;
Revision history;
Version/revision number;
Issue date,
Responsible authority/document owner;
Approved by; and
Pagination.
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Detailed records of changes to controlled documents, including the reasons for the
change, may be retained, rather than retaining actual copies of each issue of every
document.
A master list of controlled documents that records their level of approval, distribution,
and revision status, including current or obsolete status must be maintained in order to
manage all documents and demonstrate adherence to this requirement.
<Company Name Here> will control the following documents:
Quality Policy Statement;

Quality Manual;
Transport Canada approved Test Protocol (separate document);
Boating Safety Course Manual and/or Study Guide prepared in accordance with
the Pleasure Craft Operator Program Boating Safety Test Syllabus (separate
document);
Transport Canada supplied materials, such as policies, templates, reference
documentation, Boating Safety Course Syllabus, and tests;
Copy of Competency of Operators of Pleasure Craft Regulations; and
<List Other Applicable Organizational Documents Here>
In smaller organizations, the Business Owner and/or their designate is responsible for
the maintenance, editing, numbering, approving, distribution, and communication of all

new and revised quality management system (QMS) documentation.
Do revise the following paragraph as appropriate for your organization.
Quality management system (QMS) documentation will be reviewed and approved by

the <Business Owner, Designated Senior Manager, or senior management> prior to
distribution and use. The Quality Coordinator ensures all QMS documentation
amendments are made, reviewed, approved, identified, and communicated throughout
<Company Name Here>.
Where applicable, changes and modifications to QMS documentation will be identified in
the document through:
Document Number;
Revision History;
Version/Revision Number;
Issue Date; and/or
Highlighted text, within the document.
<Company Name Here> will use a master list to register all QMS documentation to track
the current version/revision of documents, and thereby prevent the distribution and use
of obsolete documents. All documents issued have an issued date and revision status
indicated on the document. All staff members will be required to use and refer to current
versions/revisions of these documents in performing their duties.
Staff receiving important new or revised documents from Transport Canada Pleasure
Craft Operator Competency Program will be required to make them available to
appropriate members of staff, and ensure that obsolete material is updated, withdrawn
or destroyed. If retained, obsolete Transport Canada supplied materials will be suitably
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identified to prevent their inadvertent use. All obsolete copies are promptly removed
from their point of issue or use. Obsolete Transport Canada supplied materials will be
identified as Obsolete and filed for accreditation purposes or future reference.
Staff members, including agents administering tests and agents performing other
business functions, will be held accountable for the control of documents they generate
and/or use in the course of their duties.
1.1.3 Control of Records

Records are a special type of document.
Records are developed and/or accumulated as a result of activities performed and
procedures executed related to the effective planning, operation, control and continual
improvement of your quality management system (QMS).
Records are required to demonstrate compliance with the Transport Canada Pleasure
Craft Operator Competency Program - Accreditation Requirements, the quality of your
organizations provision of Course Provider services, and the effectiveness of your
quality management system (QMS).
Records must also be controlled.
Record retention times and disposition must be a minimum of four (4) years or until the
next external audit, related to accreditation renewal, in order to demonstrate
compliance with the Accreditation Requirements.
Appendix D to this Quality Manual provides a Required Records Checklist.
<Company Name Here> maintains such records as are necessary to demonstrate the
quality of its provision, compliance with the Transport Canada Pleasure Craft Operator
Competency Program - Accreditation Requirements and Test Protocol, and the
effectiveness of the quality management system (QMS).
<Company Name Here> controls the following records:
Internal audit reports including completed QMS Self-Assessment Checklists

(latter found at Appendix B to this Quality Manual);
External audit reports;
Results of Test Protocol Inspections, Reviews, Spot Checks;
Corrective actions;
Preventive actions;
Management review minutes and follow-up minutes;
Cardholder information;
Course Provider records (e.g., Course Provider Identifier, Course Provider Name,
Date/Time/Location of Test, candidate participants list);
Client feedback;
<List Other Records Here>.
Staff members, including agents administering tests or agents performing other business
functions, will be responsible for ensuring that the records for which they have
responsibility are clearly labeled or otherwise identified, legible and readily retrievable.
Records are required to be stored in ways that minimize the risk of their deterioration or
loss. Paper records must be maintained in compliance with Privacy Act.
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Cardholder records and other records containing personal and confidential information
will have controlled access to secure storage in compliance with the requirements of the
Provincial/Territorial Access to Information and the Privacy Act <Insert Title of Applicable
Provincial Access to Information and Privacy Act> and Personal Information Protection
and Electronic Documents Act. Access to these records is restricted to designated staff
members who generate and/or use these records in the course of their duties.
Paper records will be maintained in compliance with the requirements of the
Provincial/Territorial Access to Information and the Privacy Act <Insert Title of Applicable
Provincial Access to Information and Privacy Act>, where applicable.
All records will be retained for a minimum of four (4) years or until the next external audit.
The disposal of all records shall be performed in accordance with normal business
practice (e.g., recycling or shredding) unless stipulated according to contractual or
accreditation requirements and applicable Provincial/Territorial Privacy Acts. At that
time the records will be reviewed by the Quality Coordinator <Business Owner or
Designated Senior Manager> and either destroyed or maintained for a specified
timeframe.
Staff members, including all agents, will be held accountable for the control of records.
Internal audits serve to ensure that the necessary records are being generated, utilized
and retained.
1.1.4 Record Submissions to Transport Canada

The Business Owner or Designated Senior Manager must regularly provide, maintain
and send electronic client records to Transport Canada as part of the Transport
Canada Pleasure Craft Operator Competency Program - Accreditation Requirements.
Information that must be entered into the Transport Canada Pleasure Craft Operator
Database System includes, but is not limited to, the following:
Card Number;
Pleasure Craft Operator Name;
Pleasure Craft Operator Date of Birth;
Complete Mailing Address
Course Provider Name;
Date Original Pleasure Craft Operator Card Issued; and
Other information to be determined.
At the completion of each test cycle, <Company Name Here> will enter client information
required by the Transport Canada into the Transport Canada Pleasure Craft Operator
Database System (PCODS). Information submitted includes, but is not limited to the
following:
Card Number;
Pleasure Craft Operator Name;
Pleasure Craft Operator Date of Birth;
Complete Mailing Pleasure Craft Operator Address;
Course Provider Name;
Date Original Pleasure Craft Operator Card Issued; and
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Other information to be determined.

<Company Name Here> will adhere to all Transport Canada policies, processes,
procedures and guidelines relating to the database use and operation.
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Management Responsibility
Preface to Management Responsibility
In smaller organizations, the responsibilities should be adjusted throughout this section
and the entire Quality Manual to reflect the actual duties within your organization.
For each subsection, follow the guidance provided in prefaces (all text in blue in
explanation boxes) to assist you in customizing it to your organizations size.
2.1 Management Commitment

The Business Owner, Designated Senior Manager and/or senior management must
actively support and promote the need to meet Transport Canada Pleasure Craft
Operator Competency Program - Accreditation Requirements within your organization.
In addition to meeting the accreditation requirements, benefits of the Management
commitment for your organization could include: the improvement of satisfaction levels
of your clients obtained through a client focus approach; achievement of your business
goals obtained with regular management reviews; and, leadership provided by your
continuous involvement.
The <Company Name Here> <Business Owner and senior management> is committed
to:
Having a documented quality management system that satisfies the

Meeting and exceeding our accreditation commitments;
Implementing, following and pursuing a quality management system (QMS) that
fosters a quality culture across the organization and supports continuous
improvement; and
Working with our clients and Transport Canada to monitor our success and to
continuously evolving and improving our operations and services.
<Company Name Here> demonstrates our commitment by:
Communicating to the organization the importance of meeting and exceeding

Requirements;
Establishing, employing and continually improving our stated Quality goals;
Conducting regular management reviews and internal audits to identify
opportunities for improvement;
Establishing mutually beneficial relationships with Transport Canada;
Regularly communicating with clients about our Course Provider services; and
Performing and participating in external audits.
In addition to this commitment by management, all <Company Name Here> staff are
encouraged to seek ways to continually improve <Company Name Here> practices and
services provided to our clients through Corrective Action and Preventive Action.
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2.2 Roles, Responsibilities and Authorities

The Business Owner or Designated Senior Manager must ensure that the roles,
responsibilities and authorities for delivering and administering Course Provider
services and providing quality assurance are defined and communicated within your
organization.
The duties of key staff who manage, perform and verify work affecting the quality of
Course Provider services must be described.
An organizational chart delineating the interrelation of staff must be presented.
Staff members include all agents administering tests and all agents performing other
business functions, including temporary or one-time agents.
Benefits of the definition of roles, responsibilities and authorities for your organization
will be the effective performance of your QMS and the assurance that everyone is
responsible for the delivery of quality client services.
The depth of the description of the roles, responsibilities and authorities is dependant
on the organization size.
<Company Organizational Chart Here>

Preface to Organizational Chart Example
This example Organizational Chart is intended to serve as a tool to guide you in the
development of your organizational chart.
This example represents the possible minimum functions of an organization.
For smaller organizations several management functions may be performed by the
same manager and for larger organization, two or more management levels may be
described.
Your organizational chart and associated roles and responsibilities may be more
detailed.
Business Owner
Quality Coordinator
<Company Name Here> Staff
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2.2.1 Business Owner or Designated Senior Manager

Preface to Responsibilities Business Owner or Designated Senior Manager
In smaller organizations, the Business Owner or Designated Senior Manager may
perform the duties of the Quality Coordinator, except where job conflicts may exist.
As appropriate, the responsibilities of the Business Owner and Quality Coordinator
should be adjusted throughout this section and the entire Quality Manual to reflect the
actual duties within your organization.
This section contains specific duties/accountabilities/responsibilities as examples only.
Create your own duties/accountabilities/responsibilities based on your organization or
use the provided descriptions as appropriate for your organization.
The Business Owner or Designated Senior Manager is:
Accountable for the <Company Name Here> quality management system

(QMS);
Responsible for the coordination of overall quality management for <Company
Name Here>;
Accountable for the development and revision of the Quality Policy Statement;
Accountable for the review and approval of any revision of this Quality Manual
once each year;
Accountable for the performance of a management review at least once each
year, except where job conflicts exist;
Acts as Chair for the annual management review meeting;
Responsible for assuring that the Quality Coordinator has the authority and
organizational freedom to perform the duties listed in section 2.2.2;
Accountable for the ensuring the creation, submission, retention and storage of
records;
Responsible for participating in internal audits, except where job conflicts exist;
Accountable for scheduling external audits and liaising with qualified person
external to the Course Providers organization;
Participating in external audits;
Responsible for liaising with Transport Canada on all test service and quality
related matters;
Accountable for development and maintenance of communications channels
and arrangements with Clients, Transport Canada, qualified person external to
the Course Providers organization conducting external audits and staff, including
agents administering tests and agents performing other business functions;
Accountable for the prevention from damage and for identification, preservation,
storage, handling, and use of Transport Canada supplied tests/documents/
materials while the tests/documents/materials are in the <Company Name
Here>s possession;
Responsible for approving use of Transport Canada supplied materials upon
resolution of damage, loss, or problems;
Responsible for reporting any damage, loss, or problems found to Transport
Canada supplied materials;
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Accountable for submitting client records to Transport Canada and entering

client information into the Transport Canada Pleasure Craft Operator Database
System (PCODS);
Accountable for communicating the importance of and ensuring staff awareness,
including Agents, of meeting and exceeding Transport Canada accreditation
commitments and QMS requirements;
Responsible for demonstrating and providing objective evidence of
management commitment;
Accountable for developing, implementing, maintaining and ensuring the
organization follows our Test Protocol in compliance with the Competency of
Operators of Pleasure Craft Regulations;
Responsible for the overall performance of internal audits to meet the Quality
Policy and quality management system (QMS) requirements;
Accountable for the review of the Quality Manual; and
<Insert Other QMS-related Duties Here>.
2.2.2 Quality Coordinator

Preface to Responsibilities Quality Coordinator
perform the duties of the Quality Coordinator, except where job conflicts may exist.
As appropriate, the responsibilities of the Business Owner and Quality Coordinator
should be adjusted throughout this section and the entire Quality Manual to reflect the
actual duties within your organization.
The Quality Coordinator is:
Responsible to the Business Owner or Designated Senior Manager for

managing the quality management system (QMS);
Responsible for ensuring the review and control of this Quality Manual;
Responsible for ensuring the control of non-conformances;
Responsible for the performance of internal audits, except where job conflicts
exist;
Responsible for the preparation and control of corrective actions, as applicable;
Responsible for the preparation and control of preventive actions, as applicable;
Responsible for reviewing corrective actions monthly;
Responsible for monitoring of the quality program, and reporting regularly to the
Business Owner <senior management> on its effectiveness;
Responsible for assuring that the policies in this Quality Manual are followed for
all work performed under the scope of this manual;
Responsible for escorting qualified persons external to the Course Providers
organization for the purpose of these external persons conducting external
audits;
Responsible for participating in management reviews and maintaining review
meeting minutes/follow-up minutes;
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Responsible for providing information and materials for input into management
reviews;
Responsible for ensuring that the records for which they have responsibility are
clearly labeled or otherwise identified, legible, readily retrievable, and stored in
ways that minimize the risk of their deterioration or loss;
Accountable for controlling of Quality Assurance and QMS records;
Responsible for controlling of this Quality Manual; and
<Insert Other QMS-related Duties Here>.
2.2.3 All Staff

All <Company Name Here> staff members, including agents administering tests and
agents performing other business functions, are:
Individually responsible for the level of quality in the work they perform and
services they deliver;
Responsible for making available important new (e.g., Transport Canada
supplied regulations or policies) or revised documents from Transport Canada
Pleasure Craft Operator Competency Program to appropriate staff members,
including agents;
Responsible for ensuring obsolete Transport Canada Operator Competency
Program and <Company Name Here> materials/documentation is updated,
withdrawn or destroyed;
Responsible for ensuring Transport Canada supplied materials retained are
suitably identified to prevent unintended use;
Accountable for controlling all documents and records used in performing their
duties;
Responsible for using current versions/revisions of documents in performing
their duties;
Identifying opportunities for continual improvement of <Company Name Here>
practices and services provided to our clients through Corrective Action and
Preventive Action;
Responsible for incorporating authorized amendments and disposing of
obsolete pages of paper-based Quality Manuals, if applicable;
Responsible for the prevention from damage and for identification, preservation,
storage, handling, and use of Transport Canada supplied
tests/documents/materials while the tests/documents/materials are in the
<Company Name Here>s possession;
Performing verification of Transport Canada supplied materials;
Responsible for following our Approved Test Protocol in compliance with the
Competency of Operators of Pleasure Craft Regulations;
Participating in staff orientation and awareness sessions; and
<Insert Other QMS-related Duties Here>
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2.3 Management Review

A Management Review is a routine review of the overall status and performance of
your organizations quality management system (QMS) and the services that are
provided. Management Reviews provide an opportunity for Business Owners and
Senior Management to consolidate and review a variety of information and input,
including but not limited to internal audit results, and, to assess/evaluate the overall
state of their quality management system (QMS) and to identify where improvements
can be made.
The Business Owner and/or Senior Management is/are required to review your
organizations quality management system (QMS), at planned intervals, to ensure its
currency, continuing suitability, adequacy and effectiveness. This will enable them to
monitor the effectiveness of your quality management system (QMS), to ensure its
continuing suitability in meeting client expectations, and ensure that the Quality Policy
Statement and quality procedures and practices are being met.
Preparation for your Management Reviews will include the gathering of the information
and input; analysis of the information and input; some form of documentation of the
results; and the outputs or actions resulting from the Management Review.
Management Reviews should be conducted when it is appropriate for your organization
to do so, which could range from every week, to every quarter to a minimum of once
per year.
Management Reviews can take the form of a face-to-face meeting with minutes and
follow-up minutes; or, a conference call with minutes and follow-up minutes; or, the
development of a written report.
Management Review outputs could include, but are not limited to, actions to improve
your organizations QMS and/or actions to improve your organizations services.
Management reviews must include assessing opportunities for improvement and the
need for changes to the QMS (e.g., changes in the business, suggestions from
staff/agents, changes to accreditation requirements, Test Protocol
Inspection/Reviews/Spot Check non-conformances).
All records from Management Reviews (e.g., formal reports, meeting minutes and
follow-up minutes) must be maintained.
Regardless of the form (report, meetings, conference calls etc), your Management
Review must include an overview and description of your quality management system
(QMS) performance, including internal and external audit results, non-conformances
found, status of corrective and preventive actions, results of Test Protocol Inspections,
etc.
The Management Review and outputs must be communicated and/or circulated within
your organization to ensure that all staff/agents are aware of the overall status and
performance of your QMS.
Records of staff attendance and comments provided at Management Review meetings
must be maintained.
In addition, records of the distribution of Management Review reports and any
comments received must be maintained. The original Management Review report must
be maintained in your records.
Do revise the following three (3) paragraphs as appropriate for your organization.
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<Company Name Here> Management Review meetings will be conducted in the form of
regular meetings. Management and other designated staff will meet <weekly or
quarterly or annually> <face-to-face or through a conference call> to review the
currency, continued suitability, adequacy, and effectiveness of the quality management
system (QMS) and compliance with the Transport Canada Pleasure Craft Operator
Competency Program - Accreditation Requirements. Review meetings will be chaired
by the < Business Owner or Designated Senior Manager>and must be attended by all
staff/agents.
<Company Name Here> Management Review meetings will be conducted in the form of
a formal report. Management and other designated staff will prepare the Management
Review report <weekly or quarterly or annually> to review the currency, continued
suitability, adequacy, and effectiveness of the quality management system (QMS) and
compliance with the Transport Canada Pleasure Craft Operator Competency Program Accreditation Requirements. The Management Review report will be signed off by the
< Business Owner or Designated Senior Manager> and distributed to all staff/agents for
information and/or comment.
<Company Name Here>s Management Review <Report or Meeting Agenda> items will,
as a minimum, include the following:
an overview and description of your quality management system (QMS

performance;
internal and external audit results;
Test Protocol Inspection/Review/Spot Check results;
non-conformances found;
status of corrective and preventative actions;
review of opportunities for improvement;
the need for changes;
an opportunity for staff feedback/comment;
decisions/specific actions to improve <Company Name Here>s QMS and/or

services; and
<any other items as developed>.
To accomplish these reviews, management will collect and evaluate:
Internal and external audit results;

Review of Quality Manual;
Information on client and Transport Canada feedback, including complaints;
Results of Test Protocol Inspections, Reviews, Spot Checks;
Status of preventive and corrective actions;
Follow-up actions from earlier management reviews;
Planned change(s) that could affect the QMS; and
Recommendations for improvement.
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The <Company Name Here> Quality Coordinator will maintain the Management Review
<Report or meeting minutes/follow-on minutes>, <meeting attendance or report
distribution list>, all staff/agents comments and feedback and any management
decisions detailing actions and decisions related to:
Compliance with the Transport Canada Pleasure Craft Operator Competency

Program - Accreditation Requirements;
Improvement of the effectiveness of the QMS and its processes;
Improvement of the processes and services relative to accreditation
requirements; and
Resources needed to effect improvement.
Necessary Corrective Action and Preventive Action will be initiated, if required, in
accordance with the processes and procedures in sections 4.8 and 4.9.
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Delivery of Course Provider Services
3.1 Official Language

The Business Owner or Designated Senior Manager must ensure that all Course
Provider services, including the administration of the course, where applicable, the
administration of the test, all verbal or written communications or correspondence
concerning the services, the test, and the Pleasure Craft Operator Card are provided in
the official language(s) (French or English) as advertised by the Course Provider.
Course Provider services must be in compliance with the requirements on official
languages section XXX of the Competency of Operators of Pleasure Craft Regulations.
<Company Name Here> will ensure that the following services are provided in the official
language(s) (<List Language(s) Here>) as advertised:
The administration of the course;

The administration of the test;
All verbal or written communications and correspondence concerning the
services;
The test; and
The issuance of the Pleasure Craft Operator Card.
Internal audits serve to ensure that <Company Name Here> client services provided by
agents administering tests and agents performing other business functions, are being
offered in the official language(s) as advertised.
3.2 Client Communication

The Business Owner or Designated Senior Manager must accurately reflect and fully
disclose all information consistent with the Competency of Operators of Pleasure Craft
Regulations.
The Business Owner or Designated Senior Manager must also ensure that effective
two-way communication channels and arrangements with clients in regards to its
Course Provider services (such as communication of test results and issuance of
Pleasure Craft Operator Card, contacts, enquiries, client feedback, including client
compliments and complaints) are implemented.
Do revise the bulleted list as appropriate to your organization.
<Company Name Here> will ensure that the following communications channels and
arrangements are established with our clients as necessary:
A dedicated business contact name, address and telephone number;

An electronic mail system;
A business web site, containing Course Provider services and contact
information, as well as frequently asked questions;
A link to Transport Canada Office of Boating Safety web site;
Printed materials, such as course calendars and flyers;
Information provided is accurate and up-to-date;
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All communications are consistent with the Regulations and provide full
disclosure; and
<List Other Channels/Arrangements Here>
3.3 Transport Canada Communication

The Business Owner or Designated Senior Manager must ensure effective two-way
communication channels and arrangements with Transport Canada in relation to
accreditation requirements, such as access to the Transport Canada Pleasure Craft
Operator Database System (PCODS); handling of enquiries; and handling of Transport
Canada feedback, including how any Transport Canada concerns and complaints will
be addresses/implemented.
<Company Name Here> will ensure that the following communications channels and
arrangements are established with Transport Canada as necessary:
Face-to-face communications via telephone, email and one-on-one meetings

(e.g., reporting of problems with Transport Canada supplied tests);
Transport Canada Pleasure Craft Operator Database System (PCODS);
Test Protocol Inspections and discussions;
Communication of internal audit results and QMS documentation at the request
of Transport Canada;
Communication of external audit results and QMS documentation; and
<List Other Channels/Arrangements Here>
3.4 Transport Canada Supplied Materials

Transport Canada will maintain three (3) different tests, in both official languages, that
will be provided to Course Providers annually.
The Business Owner or Designated Senior Manager must implement effective
measures for identifying, verifying, protecting and safeguarding Transport Canada tests
and any associated documents/materials (e.g., policies) provided related to test
administration and the organizations Course Provider services.
These measures must include access controls to tests either downloaded from the
Pleasure Craft Operator Database System (PCODS) (control of login user ID and
password) or on CD (restricted access to file cabinets of hardcopies of tests).
The verification of current applicable versions of tests will be performed as a part of
Control of Documents process (section 1.1.2).
The suitability of the tests/materials provided by Transport Canada for incorporation
into courses and/or testing must determined before use. Staff members must verify
such tests/documents/ materials before use.
The Business Owner or Designated Senior Manager must report any damage, loss, or
problems found to Transport Canada. Records of tests/documents/materials that are
lost, damaged or otherwise unsuitable for use are maintained.
The suitability of tests and any associated documents and materials provided by
Transport Canada for incorporation into courses and/or test events is established before
any course and/or test is provided. Such tests/documents/materials will be reviewed
and verified by <Company Name Here> before use, and any deficiency, damage, loss or
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problem found will be reported immediately to Transport Canada. Records of the

deficiency/damage/loss/problem will be documented, including the following:
Test/Document/Material identification;
Date the test/document/materials delivered;
Name or initials of the person who verified the test/document/material;
Indicator of the test/document/materials being compliant;
Description of the deficiency/damage/loss/problem;
Date the deficiency/damage/loss/problem reported to Transport Canada;
Date and description of the resolution;
Approval of the Business Owner or Designed Senior Manager upon evaluation
completion; and
Ensure correct versions of tests are incorporated for use into the day-to-day
operations and provision of services.
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4. Measurement, Analysis and Improvement

4.1 Client Satisfaction
The Business Owner and/or senior management must monitor client satisfaction levels
for all of your Course Provider services.
Client satisfaction is one measure of the performance of your organizations quality of
delivery of Course Provider services and quality management system (QMS).
Client satisfaction is the clients perception of the degree to which his/her expectations
have been met.
<Company Name Here> will measure and monitor information relating to our clients
level of satisfaction as to whether we have met their expectations and delivered quality
Course Provider services. This is accomplished by:
Client debriefs at end of or subsequent to a test;

Course/test evaluation summaries, as appropriate;
Client feedback compliments and complaints;
Transport Canada feedback, Course Provider Monitoring results, Transport
Canada audits;
Discussions with <Company Name Here> staff, including agents, administrative
staff, call centers/phone staff; and
<List Other Methods Here>

The <Business Owner or Designated Senior Manager> will ensure that information is
collected and/or reported by staff members and is analyzed and considered in the
<Company Name Here>s planning activities for future Course Provider services and
opportunities for improvement of the QMS, including Transport Canada approved Test
Protocol.
4.2 Transport Canada Accreditation Requirements

Your organization must comply with the Transport Canada Accreditation Requirements
specified in the Competency of Operators of Pleasure Craft Regulations.
The Business Manager or Designated Senior Manager must ensure that these
regulatory requirements are understood and met within your organization.
The Transport Canada Pleasure Craft Operator Competency Program Accreditation
Requirements Document provides detailed information and tools to assist Course
Providers in understanding how to meet these regulatory requirements.
<Company Name Here> is committed to ensuring that the Competency of Operators of

Pleasure Craft Regulations and Transport Canada Pleasure Craft Operator Competency
Program - Accreditation Requirements are met with the aim of enhancing both client and
Transport Canada satisfaction. This will be accomplished by:
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Committing to a quality management system (QMS) that satisfies the

Implementing and using a Transport Canada approved Test Protocol;
Implementing and using a Boating Safety Course Manual and/or Study Guide
prepared in accordance with the Pleasure Craft Operator Program Boating
Safety Test Syllabus;
Providing on-going staff orientation and awareness on:
- The Quality Policy Statement;
- The Competency of Operators of Pleasure Craft Regulations;
- The <Test Protocol Document Number and Title Here>;
- The Transport Canada Pleasure Craft Operator Competency Program Accreditation Requirements;
- The quality management system (QMS);
Establishing effective two-way communication channels and arrangements with
clients as well as Transport Canada;
Focusing on continuous improvement to ensure value for <Company name
Here>, clients and Transport Canada;
Working with Transport Canada to monitor our success in delivering our Course
Provider services; and
<List Other Methods Here>.
To this end, <Company Name Here> performance and QMS effectiveness is assessed
in several ways:
By a program of planned internal audits, covering all aspects of the operation of

the QMS;
By regular management reviews of the suitability and effectiveness of the QMS;
By analysis of potential problems and non-conformances as shown by client and
Transport Canada feedback and complaints;
By Test Protocol reviews/inspections/spot checks; and
By independent external audits, covering all aspects of the operation of the QMS.
4.3 Client Feedback

Client feedback, including compliments and complaints, is an indicator of client
satisfaction with your Course Provider services, and in turn the performance of your
organizations quality management system (QMS).
Client feedback is especially important when client expectations and/or requirements
have not been met. Complaints must be handled immediately by staff members and/or
escalated to the Business Owner or Designated Senior Manager, as appropriate.
All complaints (and their resolutions) must be formally documented and controlled as
records.
The benefits of client feedback for your or organization are to create a positive
environment based on your client focus experience and your strong commitment to
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client service and, therefore, contribute to the retention of existing clients and to the
attraction of new clients.
Clients may at any time lodge a formal complaint, express any concerns or
dissatisfaction to <Company Name Here> staff. At the test site, staff members, including
agents administering tests, temporary or one-time agents, are encouraged to try and
solve any client concerns themselves or direct the client to another staff member who
may be more appropriate for handling a particular concern. Concerns that cannot be
resolved by staff are directed to the <Business Owner or Designated Senior Manager>
for immediate handling.
Clients can submit a suggestion, comment, compliment, or concern regarding any
information or service provided by <Company Name Here> by contacting <Company
Name Here> through any of our client communication channels and arrangements. All
submissions received are directed to the <Business Owner or Designated Senior
Manager> to review and resolve, if necessary.
All complaints will be formally documented and their resolution recorded by the
<Business Owner or Designated Senior Manager> in a complaint log. For each
complaint, the following information will be identified:
An identification number for reference and tracking purposes;

A clear and concise written description of the complaint;
The source of the complaint; and
A description of the action taken to resolve the complaint.
Positive client feedback/compliments may be compiled locally to assist in documenting
lessons learned etc.

The <Business Owner or Designated Senior Manager> will ensure all staff members are
notified of the complaint, resolution and/or corrective action/preventive action taken in
order to prevent recurrence.
4.4 Transport Canada Feedback

Any and all feedback received from Transport Canada, including compliments and
complaints, is an indicator of Transport Canada satisfaction with performance your
organization and adherence to the Competency of Operators of Pleasure Craft
Regulations and Transport Canada Pleasure Craft Operator Competency Program Accreditation Requirements.
All requests and/or feedback from Transport Canada that pertain specifically a Course
Providers adherence to the Competency of Operators of Pleasure Craft Regulations or
that indicate overall satisfaction or dissatisfaction with some aspect of the Course
Providers service, including compliments and complaints from the public must be
documented. This may include compliments and complaints received in person or by
written correspondence, emails and phone calls.
Transport Canada feedback is especially important when regulatory and accreditation
requirements have not been met.
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All requests and/or feedback, including Client compliments and complaints, received
from Transport Canada to <Company Name Here> will be formally documented and
received through the results of Transport Canada Test Protocol verification, Transport
Canada Audit results, and accreditation monitoring. All feedback received must be
directed to the <Business Owner or Designated Senior Manager> to review and resolve.
Any resolutions to complaints must be implemented in compliance with both regulatory
and accreditation requirements, processes and procedures.
4.5 Internal Audit

Internal audits must be planned and scheduled to encompass the elements of the
quality management system (QMS) as defined in your Quality Manual.
Planning and scheduling can consist of the following activities: performing a full annual
audit of the QMS; or performing several partial or process audits that focus on specific
activities or functions covering the entire QMS; and performing follow-up audits to verify
and assess the corrective action taken as a result of a previous system or process
audit.
Audits must be performed by staff independent (i.e., having no direct line of
responsibility for the activity or area being audited) of the activities and functional areas
being examined to ensure objectivity and impartiality of the audit process. Auditors
must not audit their own work. The Quality Coordinator is normally responsible for
performing audits.
perform the internal audits and have a senior management team member or
designated staff member review the activities s/he is responsible for. Additionally, a
qualified person external to the organization may be secured to perform the internal
audit.
A combination of Test Protocol inspections, reviews and spot checks of management
and staff, including agents administering tests and agents performing other business
functions, must be planned, scheduled and conducted on an annual basis. This
includes temporary or one-time agents. To achieve and maintain accreditation, twentyfive (25) percent of agents administering tests and twenty-five (25) percent of agents
performing other business functions must be audited, inspected/reviewed/spot
checked, annually as applicable, based on the respective average number of agents
per fiscal year. For those organizations having less than four (4) staff, including
agent(s), the Course Provider shall schedule and perform audits and test protocol
inspections/reviews/spot checks for a minimum of one (1) agent administering tests
and a minimum of one (1) agent performing other business functions annually.
Please refer to the Pleasure Craft Operator Competency Program - Internal Audit
Guide for Course Providers for specific details and guidance.
The QMS Self-Assessment Checklist, found at Appendix B to this Quality Manual, is a
useful tool to assess overall accreditation readiness and in preparing for audits.
Records from internal audits (e.g. completed QMS Self-Assessment Checklists, original
audit report, follow-up audit report, completed audit checklists) must be maintained.
Internal audit results are required to be maintained as Transport Canada reserves the
right to request documentation in order to verify that the conditions for accreditation
continue to be met. In exceptional circumstances, as indicated in Section 8.2 of the
Transport Canada Pleasure Craft Operator Competency Program Accreditation
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Requirements document, Transport Canada may perform a Transport Canada Audit

anytime throughout the accreditation period.
The operation of the <Company Name Here>s quality management system (QMS) will
be audited internally at least once per year to determine its adequacy and effectiveness,
and to verify staff compliance with policies and procedures. All management and staff,
including agents administering tests and agents performing other business functions, will
be audited, inspected, reviewed and/or spot checked, as applicable, for compliance with
the Transport Canada Pleasure Craft Operator Competency Program requirements and
delivery of Course Provider services as outlined in section 3.0 of this Manual. To
achieve and maintain accreditation, twenty-five (25) percent of agents administering
tests and twenty-five (25) percent of agents performing other business functions will be
audited, inspected/reviewed/spot checked, annually as applicable, based on the
respective average number of agents per fiscal year.
The Quality Coordinator develops and maintains a schedule of internal audits. Internal
audits are scheduled for each activity and functional area within the scope of the QMS.
Activities to be audited include:
Control of documents;
Control of records;
Records submissions to Transport Canada;
Management commitment;
Management review;
Transport Canada supplied materials;
Test Protocol;
Client satisfaction and feedback;
Transport Canada requirements and feedback;
Internal audits;
Control of non-conformances;
Corrective action; and
Preventive action.
Functional areas to be audited will include, at a minimum:
Preface to Responsibilities Functional Areas
All roles, responsibilities and authorities specified in your organizational chart and
section 2.2 of your Quality Manual must be identified and audited.
Business Owner or Designated Senior Manager;

Quality Coordinator;
Agents performing test administration activities;
Agents performing other business functions; and
Other Staff, where appropriate.
The schedule will take into account the status and importance of the activities and
functional areas to be audited. The audits may be conducted by the Quality Coordinator,
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Business Owner, or qualified external person (i.e., having no direct line responsibility for
the activity or functional area being audited) of the activities and functional areas being
examined. When a qualified person external to our organization is employed, the
<Company Name Here> <Business Owner or Designated Senior Manager> is
accountable and responsible for the audit and audit results of the internal audit.
During the internal audits of the QMS, the Quality Coordinator, Business Owner, or
designated qualified person external to our organization will examine objective evidence
(e.g., records) and make findings on:
Compliance to applicable policies and procedures;

Weaknesses in existing policies and procedures; and
Inefficiencies in actual practices.
The Quality Coordinator, Business Owner, or designated qualified external person will
submit audit reports which include action items to correct weaknesses or nonconformances. Each action item will be assigned to a specific individual and will have a
date specified by which the preventive or corrective action should be complete. The
Quality Coordinator, Business Owner, or designated qualified external person may make
recommendations for the resolution of weaknesses in policies and procedures and
inefficiencies in practices.
Auditees are required to take timely post-audit corrective action. Follow-up audit
activities will be arranged by the Quality Coordinator, Business Owner, or designated
qualified external person to verify corrective action has been taken, and record the
implementation and effectiveness of corrective action. Sufficient time will be allowed for
corrective action and is determined by the Quality Coordinator, Business Owner, or
designated qualified external person based on the seriousness and impact on service
quality and in accordance with the guidance provided in the Transport Canada Pleasure
Craft Operator Competency Program - Internal Audit Guide for Course Providers.
Activities or functional areas showing repeated non-conformances will be audited more
frequently until the non-conformances are corrected. Internal audits will be conducted
using an internal audit report form, checklists, and/or procedures by the auditor.
The original audit report will be kept in controlled files. Copies will be distributed to the
<Business Owner, Designated Senior Manager and/or senior management> and audit
participants.
The results of all internal audits will be reviewed by the Quality Coordinator, Business
Owner or Designated Senior Manager and raised as an agenda item at management
review meetings or in management review reports. Additionally, internal audit results,
including completed corrective action, must be retained by the <Business Owner or
Designated Senior Manager> as Transport Canada reserves the right to request
documentation in order to verify that the conditions for accreditation continue to be met.
4.6 External Audit

The external audit is a key element in assuring that your Course Provider services are
being provided in compliance with the Competency of Operators of Pleasure Craft
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Regulations and Transport Canada Pleasure Craft Operator Competency Program Accreditation Requirements, and in a consistent and controlled manner.
External audits must be performed by a qualified person external to your organization
and include the conduct of a full system audit of your quality management system
(QMS) to the requirements of this Quality Manual and associated documentation.
An external audit of your QMS is required as part of initial accreditation.
External audits are also part of the on-going Transport Canada accreditation program
and must be performed every 4 years from initial accreditation in order to support
accreditation renewal.
Follow-up audits, re-audits and/or extraordinary audits are performed only if applicable.
An independent external audit <will be/was> conducted for our initial Transport Canada
accreditation. Periodic external audits must be scheduled and successfully passed for
accreditation renewal.
External audits will be performed every four (4) years to verify and assure that
<Company Name Here> continues to meet the requirements of the Competency of
Operators of Pleasure Craft Regulations and Transport Canada Pleasure Craft Operator
Competency Program - Accreditation Requirements and to assess the effectiveness of
<Company Name Here>s quality management system (QMS).
In compliance with the Transport Canada Pleasure Craft Operator Competency Program
- Accreditation Requirements, for each audit, an audit report will be prepared by the
qualified person external to our organization. Each report includes audit details,
discussion of non-conformances and concerns identified, and conclusions reached by
the auditor. Concerns and opportunities for improvement are also identified in the audit
report, however they do not necessarily require a formal response from <Company
Name Here> for corrective action.
If the qualified person external to our organization determines that <Company Name
Here> is not in conformance with Transport Canada Pleasure Craft Operator
Competency Program - Accreditation Requirements or our own policies and procedures,
the qualified person external to our organization may give <Company Name Here> the
opportunity to take correction, determine cause, and take corrective action within a
period determined by the qualified person external to our organization without prejudice
to right of immediate termination of accreditation. Evidence of implementation of
acceptable correction and corrective action for all non-conformances is required before
suspension of accreditation is removed by Transport Canada. The <Business Owner or
Designated Senior Manager> will be required to take timely post-audit correction and
corrective action.
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4.7 Control of Non-conformances

A non-conformance is the non-fulfillment of a requirement.
When non-conformances occur during delivery of your Course Provider services, staff
members must take immediate action to address and resolve the non-conformance
immediately.
Records of all non-conformances must be controlled and maintained.
One example of a non-conformance is provided below and this example will be carried
over to Section 4.8.
Example of a non-conformance during a test protocol inspection, conducted in
accordance with Section 2.2.2 of the Pleasure Craft Operator Competency Program
Internal Audit Guide for Course Providers, the auditor observed that the agent
administering the test did not collect and handle the information and records created
before, during and after the test event in accordance with the established Test Protocol.
When possible, any non-conformance with regard to the provision of Course Provider
services to <Company Name Here>s clients, will be dealt with by the staff or
management member(s) or Business Owner who are directly involved. Staff members
are required to identify, document, and take timely action to address, non-conformances
that fall within the scope of the quality management system (QMS). Recommendations
for corrective action for these non-conformances may be identified by the client,
Transport Canada Inspectors, qualified persons external to the organization, <Company
Name Here> staff or other parties as appropriate. Any staff member can initiate a
corrective action, to address any non-conformance they become aware of.
Non-conforming services are corrected and subject to re-verification after correction to
demonstrate conformance. Correction is undertaken immediately if the nonconformance is a result of a Test Protocol failure.
4.8 Corrective Action

Corrective action is an action taken to correct and eliminate the actual cause of a
procedure, service or product that has resulted in an identified non-conformance.
Corrective action is directed at revising your organizations quality management system
(QMS).
Records of corrective actions are to be maintained.
A corrective action is related to a non-conformance and is reactive. A corrective action
includes an analysis of the cause of the non-conformance, the identification of a root
cause, the development/implementation of the action to correct the non-conformance
and ongoing monitoring to ensure that the corrective action was effective.
An example of a Corrective Action carried over from Section 4.7 is provided below for
clarification and guidance:
non-conformance was identified and documented (as per Section 4.7);
the root cause was identified in that this agent was hired at a particularly busy
period and although he/she did receive the requisite training/orientation, it appears
as though one key staff member was not available for these training sessions and
as a result training in this area was not completed;
in addition, it was discovered that three (3) other agents attended the same training
sessions; and
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the corrective action is to reschedule this portion of the training for all four (4)
agents and to monitor their performance on subsequent Test Protocol reviews and
spot checks.
<Company Name Here> will take corrective action to eliminate the causes of nonconformances in order to prevent recurrence. Corrective actions are identified during
internal and external audits, or as a result of formal client and Transport Canada
complaints about a serious breakdown in <Company Name Here>s quality management
system (QMS). Corrective action taken is appropriate to the effects of the nonconformances encountered.
The Quality Coordinator, Business Owner or Designated Senior Manager is responsible
for coordination and administration of the corrective action effort and will take action as
required to assure adequate corrective measures are being performed. All corrective
actions will be recorded, controlled and tracked until resolution. For each corrective
action, the following information will be identified:

A clear and concise written description of the non-conformance requiring
corrective action;
The source of the corrective action (e.g., audit identifier, title and date);
The responsible manager;
A description of the action taken to address the non-conformance, such as
describing and committing to who will do what by when to correct the problem
and prevent its recurrence; and
The status of the corrective actions (e.g., where the action to address a
corrective action has not been completed, the deadline is identified. Corrective
actions that have been fully addressed are marked as closed.).
The Quality Coordinator, Business Owner or Designated Senior Manager will also
ensure that follow-up on the progress of the corrective action effort and activities is
completed by the target completion date and verifies that all corrective action activities
are completed by the target completion date, and that the root cause of the problem has
been eliminated.
Responsibility for undertaking the corrective action lies with the manager or agent
responsible for the related procedure, service or product. For each corrective action, the
manager or agent is responsible for:
Investigating the extent of the problem;

Determining the root causes of the problem;
Deciding on corrective action;
Implementing the corrective action; and
Initiating permanent changes in any related documentation (e.g., Quality Manual,
procedure, Test Protocol), if appropriate.
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The Quality Coordinator, Business Owner or Designated Senior Manager will review the
completed corrective actions monthly.
4.9 Preventive Action

Preventive action is an action taken to identify and eliminate the cause of a potential
problem, undesirable event or non-conformance.
Preventive action is directed at revising the organizations quality management system
(QMS) in order to eliminate potential breakdowns or weaknesses and implement
process improvement.
Records of preventive actions are to be maintained.
Preventive action is related to weakness of the QMS and is proactive.
An example of a preventive action is provided here to assist with the understanding of
this term.
Example of a Preventive Action your organizations staff quality management
system (QMS) orientation and training sessions were conducted prior to any client
services being provided, however, due to no fault of your own, your computer system
was not available for on-line demonstrations during the training sessions.
In order to preclude any potential problems in preparing for and administering tests,
in accordance with the established Test Protocol, a Preventive Action could be the
scheduling of one-on-one training sessions for staff/agents and/or the assignment of
someone with the requisite expertise to assist in the preparation and administration of
initial test events.
The Quality Coordinator, Business Owner or Designated Senior Manager is responsible

for coordination and administration of the preventive action effort and will take action as
required to assure adequate proactive measures are being performed. All preventive
actions will be recorded, controlled and tracked until resolution. Preventive actions are
appropriate to the potential impact of the weakness.
For each preventive action, the following information will be identified:
A clear and concise written description of the potential problem (deficiency or

non-conformity) requiring preventive action;
The source of the preventive action (e.g., audit identifier, title and date);
The responsible manager or agent;
A description of the action taken to address the weakness, such as describing

and committing to who will do what by when to correct the problem and prevent
its occurrence; and
The status of the preventive actions.
The Quality Coordinator, Business Owner or Designated Senior Manager will also
ensure that follow-up on the progress of the preventive action effort and activities is
completed by the target completion date and verifies that all preventive action activities
have helped eliminate the weakness.
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All management and staff, including agents administering tests and agents performing
other business functions, are encouraged to pass on comments or suggestions for
improvement they may have concerning the QMS or any aspect of <Company Name
Here> operations that may potentially affect the service provided to the clients.
Internal audit reports will include a section where the Quality Coordinator, Business
Owner or qualified person external to the organization can provide recommendations or
make observations for the benefit of those being audited.
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APPENDICES
Appendix A Glossary
Acronyms and Abbreviations
ISO
International Organization for Standardization
PCODS
Pleasure Craft Operator Database System
QMS
Quality Management System
Terminology
Accountability/
Accountable
The state of being answerable. Individual has the

authority/control over the resources necessary for the
respective activity or identified outcome.
Agent
A person who administers a test and/or a person who

carries out business on behalf of the Course Provider.
The former (agents administering tests) could include
Course Instructors, Internet Test proctors and other
persons responsible for administering a test. The latter
(agents performing other business functions) could
include, but is not limited, to those responding to requests
from the public or processing cards. This includes
temporary or one-time agents.
Annual Internal Audit

Schedule
Schedule of the set of forecast Internal Audits to be

conducted by the Course Provider within one year.
Assure
To provide confidence or assurance in something.
Audit
Systematic, independent and documented process for

obtaining objective evidence and evaluating it objectively
to determine the extent to which evaluation criteria are
fulfilled.
Auditee (Adapted from

ISO 9001:2005)
Organization or member of the organization being

audited.
Auditor (Adapted from

ISO 9001:2005)
Person with the demonstrated personal attributes and

demonstrated ability to apply knowledge and skills to
conduct an audit.
Audit Plan
Plan gathering information related to an audit; information

includes audit date, location, purpose, objectives, scope
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and schedule, as well as auditees and audit team
members.
Audit Program
Set of one or more audits planned for a specific timeframe

and directed towards a specific purpose.
Audit Team
One or more internal auditors conducting an audit.
Authority
The vested power to expend resources material,

technical, financial and human as required to achieve
the deliverable in a manageable and effective manner.
Candidate
The person presenting themselves at a test site to take

the test or a person taking the test for a Pleasure Craft
Operator Card.
Cardholder
Pleasure Craft Operator holder of Pleasure Craft Operator

Card delivered by a Course Provider under the
Competency of Operators of Pleasure Craft Regulations.
Client
Candidate or Pleasure Craft Operator.
Client Satisfaction
The clients perception of the degree to which the clients

expectations have been met.
Controlled
To manage, restrict or keep within certain bounds to

protect, prevent from damage, loss, deterioration,
unintended use.
Correction
Action to eliminate a problem.
Corrective Action
Action to eliminate the cause of a detected nonconformance.
Document
Written information and the medium (paper, magnetic,

electronic, photograph, or a combination thereof) that is
used to bring the information into existence.
Document Control/
Control of Documents
Process carried out:

on internal documentation to review, approve for
adequacy prior to issue, updated as necessary,
re-approve prior to reissue, identify changes,
identify current revision status, and assure
legibility.
on external documentation to identify current
application version
on both to identify obsolete documents retained
and kept them in a secure location to avoid
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unintended use
The extent to which planned activities are realized and
planned results achieved.
Ensure
To make certain that something happens. Ensure implies

the authority to make it happen (e.g., the Business Owner
has the authority to ensure that the staff members
perform corrective action; the Quality Coordinator, on the
other hand, does not have the authority to ensure
corrective actions occur, but can audit and evaluate them
and thus assure that they were conducted in accordance
with the established requirements, standards and
procedures).
Evaluation Criteria
Characteristics on which the evaluation of Course

Provider's practices, processes and procedures are used
to demonstrate compliance with the quality management
system (QMS).
External Audit
An audit conducted by independent external quality

consultants/companies or other qualified persons that are
not members of the organization and not involved in the
quality management system (QMS) activities and
functions begin evaluated.
Findings (Adapted from

ISO 9001:2005)
Results of evaluation of the collected objective evidences

against evaluation criteria.
Inefficiencies
Something that does not produce the effect intended or

desired, wastes time or energy during operation, and/or
adds non-value adding steps to a process/procedure/
protocol.
Internal Audit
An audit conducted by staff members independent of the

quality management system (QMS) activities and
functions being evaluated.
Internal Auditor
Auditor conducting an Internal Audit. An internal auditor

is either a member of the audited organization or a
qualified person external to the Course Provider
organization.
Lead Auditor
Person who plans, schedules and coordinates the internal

audit work to be performed by an audit team.
Management Review
Routine review of the status and performance of the

organizations quality management system, the status of
the quality of the organizations services and evaluation
and determination whether the quality management
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system should be improved.
Management System
(Adapted from ISO
9001:2005)
Set of interrelated or interacting elements to establish

policy and objectives and to achieve those objectives.
Non-conformance
Non fulfillment of a requirement. Non-conformances are

classified into two groups according to the nature of
finding:
Major Non-conformance Objective evidence, or

lack of evidence, demonstrates that the evaluation
criterion or the requirement is not met;
Minor Non-conformance Although objective
evidence demonstrates that the requirements are
generally met, some lapses mean that the
evaluation criterion has not been met.
Objective Evidence
Qualitative or quantitative observations, information,

records or statements of fact which are verifiable by
independent observers (e.g., internal or external
auditors), concerning the quality of an item or service, or
the existence and implementation of a quality
management system (QMS) element.
Pleasure Craft Operator
Candidate having successfully passed the test

administered by a Course Provider under the
Competency of Operators of Pleasure Craft Regulations.
Preventive Action
Action to eliminate the cause of a weakness or potential

non-conformance.
Quality Assurance
Part of quality management focused on providing

confidence that quality requirements will be fulfilled.
Quality Control
Part of quality management focused on fulfilling quality

requirements.
Quality Improvement
Part of quality management focusing on increasing the

ability to fulfill quality requirements.
Quality Management
Coordinated activities to direct and control and

organization with regard to quality.
Quality Management
System (From ISO
9001:2005)
Management System to direct and control an organization

with regard to quality.
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Quality Management
System Audit
Audit whose scope is the whole quality management

system (QMS)
Record
A special type of document stating results achieved or

providing evidence of activities and functions performed.
Records may result from execution of QMS processes
and procedures including internal audit results.
Record Control/ Control

of Records
Process carried out as a means of providing evidence of

conformance to Privacy legislation, regulatory and
accreditation requirements, of the effective operation of
the quality management system (QMS), to minimize the
risk of deterioration and manage access.
The individual/function having a specific duty to complete
as demanded by a role.
Responsibility/
Responsible
Self Audit
Audit performed by an (or several) auditee(s) itself

(themselves) prior to the formal internal audit, answering
to the audit checklist and walking through evaluation
criteria provided by the Quality Coordinator.
Staff
A group of people who are involved in the administration

of tests and management of the quality management
system (QMS). Staff includes agents, organization
management, volunteers, and salaried employees.
Strength
Positive finding demonstrating that the continuous

improvement is strongly implemented.
Test Protocol Inspection
An in-process review and evaluation of the Course

Providers Transport Canada approved Test Protocol
conducted for the purpose of finding and eliminating
weaknesses and non-conformances observed during the
execution of the test protocol procedures by the Course
Providers staff, including agents.
Test Protocol Review
A confirmation through follow-up and verification with the

Candidate that the test administration services provided
by the Course Providers staff, including agents, were
administered according to the procedures specified in the
Transport Canada approved Test Protocol.
Test Protocol Spot Check
A quick random verification usually made without prior

notice to the Course Providers staff, including agents, to
examine and compare the test administration practices of
staff against the Test Protocol to conclude how closely
these practices conform to the Test Protocol.
Weakness
Finding demonstrating that a potential problem could

occur and often should require a preventive action.
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Appendix B QMS Self-Assessment Checklist

The QMS self-assessment checklist is a useful tool to assist in the preparation for
accreditation and for assessing accreditation readiness. Refer to the instructions and
guidance in the Preface to the Quality Manual; Section 1.1.3; and to the instructions and
guidance in Section 4.5 for additional information.
QMS Self-Assessment Checklist
Quality
Manual
Reference
A
Question
Answer
Quality Policy Statement

Has the Business Owner/senior management
defined and written a Quality Policy Statement?
Notes:
Yes No

Has the Business Owner/senior management
ensured the Quality Policy Statement:
Is appropriate to the purpose of the
Yes No
organization?
Includes a commitment to comply with
Yes No
requirements of and continually improve

the effectiveness of the QMS?
Provides a framework for establishing and
Yes No
reviewing quality goals and objectives?
Is communicated and understood within
Yes No
the organization?
Is reviewed for continuing suitability?

Is the Quality Policy Statement written in language
that is easy to understand?
Yes No
Documentation Requirements
Does the quality management system (QMS) include
a documented Quality Policy Statement, Quality
Manual and documented procedures and records
required for ensuring effective operation and control
of its processes and required for accreditation?
B 1.1
Yes No

Is the Quality Policy Statement effective date
correct?
B 1.1
Yes No
Yes No
Documentation Requirements
Is the extent of the quality management system
(QMS) documentation appropriate to:
Yes No
Quality Manual
Size and type of the organization?
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Quality
Manual
Reference
Question
Answer
Complexity and interaction of the
Yes No
Notes:
processes?
B 1.1.1
Quality Manual
Has a quality manual been established which
includes?
A description of the scope of the quality
Yes No
Yes No
management system (QMS)?
Procedures or reference to procedures
Yes No
and protocols?
B 1.1.2
Control of Documents
Are documents required for the quality management
system (QMS) controlled?
B 1.1.3
Control of Records
Are quality records available and controlled?
B 1.1.3
Yes No
Record Submissions to Transport Canada

At the completion of each test cycle, has all required
client information been submitted in the Transport
Canada Pleasure Craft Operator Database System
(PCODS)?
B 2.1
Yes No
Control of Records
Do these records provide evidence of conformance
to requirements and of effective operation of the
quality management system (QMS)?
B 1.1.4
Yes No
Yes No
Management Commitment
How has senior management demonstrated
commitment to the development, implementation
and improvement of the quality management system
(QMS)?
Communicating to the organization the
Yes No
importance of meeting client

requirements?
Communicating to the organization the
Yes No
importance of meeting Transport Canada

accreditation commitments?
Quality Manual
Establishing a Quality Policy Statement?
Yes No
Performing management reviews?
Yes No
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Quality
Manual
Reference
Question
Answer
Ensuring the availability of resources?
Yes No
Ensuring staff awareness about the quality
Yes No
Notes:
management system (QMS)?

B 2.2
Roles, Responsibilities and Authorities

Are the functions and their interrelations within the
organization, including responsibilities and
authorities, defined and communicated? Has an
organizational chart been established?
B 2.2
Roles, Responsibilities and Authorities

Is responsibility and authority defined? Have all
applicable roles, responsibilities and authorities
been defined?
B 2.3
Yes No
Management Review
Does the review evaluate the need for changes to
the quality management system (QMS), including
Quality Policy Statement?
B 2.3
Yes No
Management Review
Are opportunities for improvement and changes
needed to the quality management system (QMS)
evaluated and documented?
B 2.3
Yes No
Management Review
What is the interval? Once per year?
B 2.3
Yes No
Management Review
Does the Business Owner/senior management
review the quality management system (QMS), at
planned intervals, to ensure its continuing suitability,
adequacy, and effectiveness?
B 2.3
Yes No
Yes No
Management Review
Do records from management reviews include
current performance and improvement opportunities
related to the following:
Improvement of the effectiveness of the
Yes No
Yes No
quality management system (QMS) and its

processes?
Improvement of the processes and
Yes No
services relative to accreditation

requirements?
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Quality
Manual
Reference
Question
B 3.1
Answer
Resources needed to effect improvement?
Yes No
Transport Canada Requirements

Is it ensured that Transport Canada requirements
are met?
B 4.3
Yes No
Client Satisfaction
Have measurement and monitoring activities needed
to ensure effective improvement in Course Provider
services and relationships with clients been
established?
B 4.2
Yes No
Test Agent Notification Protocol

Has reference to the Test Agent Notification Protocol
procedures been made in the Quality Manual?
B 4.1
Yes No
Test Protocol
Has reference to the Transport Canada approved
Test Protocol procedures been made in the Quality
Manual?
B 3.5
Yes No
Transport Canada Supplied Materials

Are records of verification of Transport Canada tests
and any associated materials available and
maintained?
B 3.4
Yes No
Transport Canada Supplied Materials

Have controls and activities necessary for the
verification of Transport Canada tests and any
associated materials as appropriate been identified
and implemented?
B 3.3
Yes No
Transport Canada Communication

Have communication channels and arrangements
been established with Transport Canada within the
organization relating accreditation requirements,
enquiries, and Transport Canada feedback?
B 3.3
Yes No
Client Communication
Have communication channels and arrangements
been established with clients within the organization
relating to Course Provider services, contacts,
enquiries, and client feedback?
B 3.2
Notes:
Yes No
Client Feedback
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Quality
Manual
Reference
Question
Answer
Is client feedback information captured and used?

B 4.4
Yes No
External Audit
Are audits conducted by independent external
auditor?
B 4.6
Yes No
External Audit
Are external audits conducted to determine whether
the quality management system (QMS) has been
effectively implemented and maintained and provide
assurance to Transport Canada?
B 4.6
Yes No
External Audit
Are periodic (performed every 3 years) external
audits conducted to determine whether the quality
management system (QMS) has been effectively
implemented and maintained?
B 4.6
Yes No
Internal Audit
Do follow-up actions include verification of the
implementation of corrective action and the reporting
of verification results (i.e. follow-up audit reports)?
B 4.6
Yes No
Internal Audit
Does the Business Owner/senior management take
timely corrective action on the non-conformances
found during the internal audit?
B 4.5
Yes No
Internal Audit
Are audits conducted by staff other than those who
performed the activity being audited?
B 4.5
Yes No
Internal Audit
Are internal audits planned and scheduled?
B 4.5
Yes No
Internal Audit
Are periodic internal audits conducted to determine
whether the quality management system (QMS) has
been effectively implemented and maintained?
B 4.5
Yes No
Transport Canada Feedback

Is Transport Canada feedback information captured
and used?
B 4.5
Notes:
Yes No
External Audit
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Quality
Manual
Reference
Question
Answer
Are audits conducted by independent external

auditor?
B 4.6
Yes No
Preventive Action
Is preventive action taken to eliminate the cause of
potential problems in order to prevent occurrence?
B 4.9
Yes No
Corrective Action
Is corrective action appropriate to the impact of the
non-conformances encountered?
B 4.9
Yes No
Corrective Action
Is corrective action taken to eliminate the cause of
non-conformances in order to prevent recurrence?
B 4.8
Yes No
Control of Non-conformances
When a non-conforming test service is detected
after delivery or use has started, is appropriate
action taken regarding the consequences of the nonconformance?
B 4.8
Yes No
Are non-conforming Course Provider services
corrected and subjected to re-verification after
correction to demonstrate conformity? How?
B 4.7
Yes No
Are non-conformances, which do not conform to the
requirements for provision of Course Provider
services, clearly identified and controlled? How?
B 4.7
Yes No
External Audit
Do follow-up actions include verification of the
implementation of corrective action and the reporting
of verification results (i.e. follow-up audit reports)?
B 4.7
Yes No
External Audit
Does the Business Owner/senior management take
timely corrective action on the non-conformances
found during the external audit?
B 4.6
Notes:
Yes No
Preventive Action
Are preventive actions taken appropriate to the
impact of the potential problems?
Quality Manual
Revision 0
Yes No
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QUALITY MANUAL
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APPENDICES
Quality
Manual
Reference
General
Question
Answer
Document Cover Page

Does the Quality Manual contain a Cover Page?
General
Yes No
Approved By
Has the Quality Manual been reviewed and
approved by the organizations approval authorities?
General
Yes No
Approved By
Does the Quality Manual contain an Approved By
section?
General
Yes No
Responsible Authority
Has the Responsible Authority for the Quality
Manual been accurately identified?
General
Yes No
Document Cover Page

Is the revision number on the Cover Page
consistently applied throughout the Quality Manual?
General
Yes No
Document Cover Page

Is the document number on the Cover Page
consistently applied throughout the Quality Manual?
General
Yes No
Document Cover Page

Does the Cover Page conform to the Quality Manual
template standards?
General
Notes:
Yes No
Record of Revisions
Is the Quality Manual dated? Does that issue date
Yes No
correspond to the Record of Revisions Page?

General
Table of Contents
Does the Quality Manual contain a Table of
Yes No
Contents?
General
Table of Contents
Does the Table of Contents conform to the Quality
Yes No
Manual template standard?

General
Headers
Do headers adhere to the format and style specified
Yes No
in the Quality Manual template standard?
Quality Manual
Revision 0
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QUALITY MANUAL
Revision 0
APPENDICES
Quality
Manual
Reference
General
Question
Answer
Notes:
Headers
Is the revision number specified in the header
Yes No
correspond to the revision number on the Cover

Page and in the Record of Revisions Page?
General
Body
Do the header and paragraph styles conform to the
Yes No
Quality Manual template standard?

General
Body
Do the font sizes conform to the Quality Manual
Yes No
template standard?
General
Body
Do the page numbers correspond of the Table of
Yes No
Contents?
General
Body
Does the Quality Manual meet the technical
specifications shown in the Quality Manual
template?
For style, spelling, word use and
Yes No
punctuation;
For organization chart illustration
Yes No
conventions;
General
General
For layout conventions;
Yes No
For typographic conventions.
Yes No
Are all sequences of numbers correct?
Yes No
Body
Body
Are all roles, responsibilities and authorities
consistently defined and documented throughout the
Quality Manual?
General
Yes No
Appendices
Are all inclusions (e.g. appendices, attachments)
Yes No
present?
General
Appendices
Are all inclusions properly identified in the Table of
Yes No
Contents?
Quality Manual
Revision 0
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Document No xx
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QUALITY MANUAL
Revision 0
APPENDICES
Quality
Manual
Reference
General
Question
Answer
Notes:
Appendices
Do the inclusions conform to the Quality Manual
Yes No
Template standard?
General
Has the original signed document been logged and

controlled?
Yes No
Appendix C Required Documentation Checklist

Refer to Section 1.1 of this Quality Manual for additional information.
Required Documentation Checklist
Question
Answer
Are documents required by the quality management

system (QMS) controlled?
Yes No
Yes No
Quality Manual
Yes No
Transport Canada approved Test Protocol
Yes No
Boating Safety Course Manual and/or
Yes No
Notes:
Study Guide prepared in accordance with

the Pleasure Craft Operator Program
Boating Safety Test Syllabus
Transport Canada supplied tests / test
Yes No
questions
Transport Canada supplied policies
Yes No
Transport Canada supplied templates
Yes No
Transport Canada supplied reference
Yes No
documentation
Copy of Competency of Operators of
Yes No
Pleasure Craft Regulations
Quality Manual
Revision 0
<Company Logo Here>

Document No xx
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QUALITY MANUAL
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APPENDICES
Appendix D Required Records Checklist

Refer to Section 1.1.2 of this Quality Manual for additional information.
Required Records Checklist
Question
Answer
Are quality records required by the quality

management system (QMS) controlled?
Yes No
Master List of All QMS Documentation
Yes No
Internal Audit Schedules
Yes No
Internal Audit Reports, including internal
Yes No
Notes:
audit report form, checklists and

procedures
External Audit Reports
Yes No
Results of Test Protocol
Yes No
Inspections/Reviews/Spot Checks
Corrective Actions, including analysis
Yes No
Preventive Actions, including analysis
Yes No
Management Review Minutes and Follow-
Yes No
up Minutes, including meeting agendas
Cardholder information
Yes No
Course Provider Records
Yes No
Client feedback
Yes No
Quality Manual
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Document No xx
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QUALITY MANUAL
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REFERENCES
Appendix E References
Federal Access to Information Act;

Federal Privacy Act;
Alberta Freedom of Information and Protection of Privacy Act;
Alberta Personal Information Protection Act (PIPA);
British Columbia Freedom of Information and Protection of Privacy Act;
British Columbia - Personal Information Protection Act (PIPA);
Canada Shipping Act, 2001;
Competency of Operators of Pleasure Craft Regulations;
ISO 9001:2000 International Standard for Quality Management Systems
Requirements;
Manitoba - Freedom of Information and Protection of Privacy Act;
Marine Safety Management System, Tier 1 Policy, Authorization for Course
Providers to Issue Pleasure Craft Operator Cards to Persons who Hold a Marine
Safety Certificate;
New Brunswick Protection of Personal Information Act;
Newfoundland Access to Information and Protection of Privacy Act;
Northwest Territories Access to Information and Protection of Privacy Act;
Nova Scotia Freedom of Information and Protection of Privacy Act;
Nunavut Access to Information and Protection of Privacy Act;
Office of Boating Safety Canadian Coast Guard Boating Safety Course
Standard, Responsibilities of Course Providers to Provide all Services in the
Official Language as Advertised, Ref. Policy 0015;
Ontario Freedom of Information and Protection of Privacy Act;
Personal Information Protection and Electronic Documents Act;
Prince Edward Island Freedom of Information and Protection of Privacy Act;
Quebec Act Respecting the Protection of Personal Information in the Private
Sector;
Saskatchewan Freedom of Information and Protection of Privacy Act;
Saskatchewan Local Freedom of Information and Protection of Privacy Act;
Transport Canada Marine Safety Operator Competency Program Accreditation
Requirements;
Transport Canada Marine Safety Operator Competency Program Internal Audit
Guide for Course Providers; and
Yukon Access to Information and Protection of Privacy Act.
Quality Manual
Revision 0

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TRANSPORT CANADA MARINE SAFETY

PLEASURE CRAFT OPERATOR COMPETENCY PROGRAM

<Company Name Here>

Dos and Donts to Facilitate Preparation of Your Quality Manual

<Company Logo Here>

QUALITY MANAGEMENT SYSTEM

7. Do amend the list of QMS documentation and documentation mediums, as

Date Issued: 31 July 2008

Date Issued: 31 July 2008

Date Issued: 31 July 2008

<Company Logo Here>

QUALITY POLICY STATEMENT............................................................................... 2

POLICIES AND PROCEDURES ............................................................................... 4

QUALITY MANAGEMENT SYSTEM ......................................................................... 4

DELIVERY OF COURSE PROVIDER SERVICES.................................................. 19

MEASUREMENT, ANALYSIS AND IMPROVEMENT ............................................. 22

Client Satisfaction ........................................................................................................... 22

APPENDIX B QMS SELF-ASSESSMENT CHECKLIST ............................................. 38

Date Issued: 31 July 2008

<Company Logo Here>

Development, implementation and continual improvement of the QMS;

Date Issued: 31 July 2008

<Company Logo Here>

QUALITY POLICY STATEMENT

Meet or exceed client satisfaction with your Course Provider services;

Continually comply with the Transport Canada Pleasure Craft Operator

Continually improve the effectiveness of the quality management system (QMS);

Communicate the Quality Policy Statement within your organization, including

Review the Quality Policy Statement for continuing suitability.

The <Company Name Here> Quality Policy Statement states:

Linked to your organizational goals;

State your organizations quality objectives.

Date Issued: 31 July 2008

<Company Logo Here>

Our policy will be achieved through:

Exceeding client expectations with our services;

Date Issued: 31 July 2008

<Company Logo Here>

POLICIES AND PROCEDURES

Quality Management System

By a program of planned internal audits, covering all aspects of the operation of

1.1 Documentation Requirements

A Quality Policy Statement (included in this document);

A Quality Manual (this document),

Procedures and documents required to ensure compliance with the Transport

Records required as part of your accreditation (e.g., client records, internal

Records required to demonstrate conformance to and effective operation of

Records required to manage, to operate and to administer your Course

Date Issued: 31 July 2008

<Company Logo Here>

<Company Name Here> has implemented and maintains a documented quality

A Quality Policy Statement (included in section A of this Manual);

1.1.1 Quality Manual

Date Issued: 31 July 2008

<Company Logo Here>

1.1.2 Control of Documents

has been approved for adequacy prior to issue;

has its changes and current revision status identified; and

remains legible and readily identifiable.

applicable documents of external origins are identified and their distribution

Responsible authority/document owner;

Approved by; and

Date Issued: 31 July 2008