Decision of the European Central Bank of 25 November 2010 on the quality accreditation procedure for manufacturers of euro banknotes (ECB/2010/22) (2010/773/EU) (repealed)

SECTION II PROCEDURE FOR FULL QUALITY ACCREDITATION

Article 5 Initiation request and appointment of a quality audit team

1. A manufacturer with temporary quality accreditation for a planned euro banknote production activity who wishes to carry out this activity, or who has carried out a euro banknote production activity in the last 24 months and wishes to continue carrying out this activity, shall make a written request to the ECB to initiate the procedure for full quality accreditation. This request shall include all of the following:

(a) a specification of the manufacturing site and its location and the euro banknote production activity for which the manufacturer seeks full quality accreditation;

(b) information on the euro banknote production activity carried out;

(c) a copy of the certificate referred to in Article 3(2)(b).

2. The ECB shall check whether the manufacturer has conformed with the requirements laid down in paragraph 1 and inform the manufacturer of the outcome of this evaluation within 30 ECB working days from the date of receipt of the initiation request. The ECB may extend this time limit once, with written notice to the manufacturer. While the ECB is carrying out this evaluation, it may request additional information from the manufacturer in relation to the requirements listed in paragraph 1. If the ECB requests additional information, it shall inform the manufacturer of the outcome of the evaluation within 20 ECB working days from the date of receipt of the additional information. The ECB may agree with the manufacturer to extend the deadlines mentioned in this paragraph.

3. In the event of a positive evaluation, the ECB shall inform the manufacturer that a quality audit will be carried out at the manufacturer’s premises. The ECB shall appoint a quality audit team composed of experts from the ECB and NCBs. Such appointments shall avoid conflicts of interest. If a conflict of interest arises after an appointment, the ECB shall immediately replace the expert in question with an expert who does not have a conflict of interest.

4. The ECB shall reject the initiation request and inform the manufacturer in writing of its decision to do so and the reasons if any of the following applies:

(a) the manufacturer fails to provide the information required pursuant to paragraph 1;

(b) it fails to supply any additional information requested by the ECB pursuant to paragraph 2 within a reasonable period to be mutually agreed;

(c) the ECB has revoked the manufacturer’s full quality accreditation and the period of prohibition on reapplication specified in the revocation decision has not elapsed;

(d) the location of the manufacturing site does not meet the requirements laid down in Article 3(2)(e) or (f);

(e) the manufacturer produces euro secure items and the ECB has not granted it security accreditation as referred to in Article 3(2)(d).

5. If an accredited manufacturer wishes to have its quality accreditation renewed, and provided it re-applies for full quality accreditation before the date established in accordance with Article 7(2)(c), its quality accreditation shall remain valid until the ECB has taken a decision pursuant to Article 7(1).

Article 6 Quality audit

1. The quality audit shall commence on a date that has been mutually agreed between the manufacturer and the ECB. If the manufacturer is a printing works, the quality audit shall take place during euro banknote production.

2. At the latest two weeks before the quality audit, the ECB shall provide the manufacturer with a pre-audit questionnaire which it shall complete and send back to the ECB at least one week before the quality audit.

3. The quality audit shall take place at the manufacturing site for which the manufacturer seeks quality accreditation.

4. The quality audit team shall assess whether the manufacturer’s quality arrangements conform with the quality requirements. If the manufacturer proposes improvements to conform with the quality requirements, quality accreditation shall not be granted until such improvements are in place. The quality audit team may conduct a follow-up quality audit to verify whether, following such improvements, the quality arrangements conform with the quality requirements, before submitting to the manufacturer the draft audit report referred to in paragraph 6.

5. On completion of the quality audit, and, where applicable, the follow-up quality audit, and before leaving the manufacturing site, the quality audit team shall set out its findings, including any non-conformity with the quality requirements and any improvements proposed by the manufacturer, in a preliminary summary, agreed and signed by both the quality audit team and the manufacturer.

6. The quality audit team shall prepare a draft audit report based on the preliminary summary. This report shall in particular contain details of:

(a) the quality arrangements in place at the manufacturing site that conform with the quality requirements;

(b) any instances of non-conformity with the quality requirements that the quality audit team has identified;

(c) any action taken by the manufacturer during the quality audit;

(d) any improvements proposed by the manufacturer and, in cases where a follow-up quality audit is carried out, the quality audit team’s assessment of whether such improvements have been carried out;

(e) the quality audit team’s assessment of whether full quality accreditation should be granted.

7. The draft audit report shall be sent to the manufacturer within 30 ECB working days from the date of completion of the quality audit or, where applicable, the follow-up quality audit. The manufacturer may comment on the draft audit report within 30 ECB working days from receipt. The ECB shall finalise the draft audit report taking into account the manufacturer’s comments before taking a decision pursuant to Article 7. The ECB may agree with the manufacturer to extend the deadlines mentioned in this paragraph.

8. Notwithstanding the provisions of this Article, in the event of a quality problem affecting the quality of euro banknotes or of euro banknote raw materials, the ECB may organise an ad hoc quality audit to investigate the issue. Paragraphs 5 to 7 shall apply accordingly.

Article 7 Decision on full quality accreditation

1. The ECB shall notify the manufacturer in writing of its decision on the request for full quality accreditation within 30 ECB working days from receipt of the manufacturer’s comments on the draft audit report, or from the expiry of the time limit for providing such comments.

2. In the event of a positive decision, the ECB shall grant the manufacturer full quality accreditation. The decision shall clearly identify:

(a) the manufacturer;

(b) the euro banknote production activity and the manufacturing site for which full quality accreditation is granted;

(c) the date of expiry of the full quality accreditation;

(d) any specific conditions relating to points (a) to (c).

The decision shall be based on the information set out in the final audit report, which shall be attached to the decision.

3. If full quality accreditation is not granted to the manufacturer, the ECB shall specify the reasons and the manufacturer may initiate the review procedure laid down in Article 18.