RESOLUTION MEPC.237(65)
(Adopted on 17 May 2013)
CODE FOR RECOGNIZED ORGANIZATIONS (RO CODE)
THE MARINE ENVIRONMENT PROTECTION
COMMITTEE,
RECALLING Article 38(a) of the
Convention on the International Maritime Organization concerning the functions
of the Marine Environment Protection Committee (the Committee) conferred upon
it by international conventions for the prevention and control of marine
pollution,
RECALLING ALSO resolution A.739(18) entitled Guidelines
for the authorization of organizations acting on behalf of the Administration
and resolution A.789(19)
entitled Specifications on the survey and certification functions of
recognized organizations acting on behalf of the Administration, which have
become mandatory under both chapter 2 of annex I and chapter 3 of annex II to
the International Convention for the Prevention of Pollution from Ships, 1973,
as modified by the Protocol of 1978 relating hereto (MARPOL), and under the
1974 SOLAS Convention and the 1988 Load Lines Protocol,
RECOGNIZING the need to update the
aforementioned resolutions, gather all the applicable requirements for
recognized organizations in a single IMO mandatory and assist in achieving
harmonized and consistent global implementation of requirements established by
IMO instruments for the assessment and authorization of recognized
organizations,
RECOGNIZING ALSO the need for a code to
provide, as far as national laws allow, a standard approach to assist the
Administrations in meeting their responsibilities in recognizing, authorizing
and monitoring their recognized organizations,
NOTING resolution MEPC.238(65), by
which it adopted, inter alia, amendments to Annexes I and II of the Protocol of
1978 relating to the International Convention for the Prevention of Pollution
from Ships, 1973 (hereafter referred to as the 1978 Protocol) to make the
provisions of part 1 and part 2 of the Code for recognized organizations (RO
Code) mandatory under MARPOL,
HAVING CONSIDERED, at its sixty-fifth
session, the text of the proposed Code for recognized organizations,
CONSIDERING that it is highly desirable
for the Code for recognized organizations to be made mandatory under the 1974
SOLAS Convention, the 1988 Load Lines Protocol and MARPOL to remain identical,
1. ADOPTS
the Code for recognized organizations, the text of which is set out in the
annex to the present resolution;
2. INVITES
all Parties to the 1978 Protocol to note that the RO Code will take effect on 1
January 2015 upon the entry into force of the respective amendments to Annex I
and Annex II of MARPOL;
3. REQUESTS
the Secretary-General to transmit certified copies of the present resolution
and the text of the RO Code contained in the annex to all Parties to the 1978
Protocol;
4. FURTHER
REQUESTS the Secretary-General to transmit copies of this resolution and the
annex to all Members of the Organization which are not Parties to the 1978
Protocol;
5. RECOMMENDS
Governments concerned to use the recommendatory provisions contained in part 3
of the RO Code as a basis for relevant standards, unless their national
requirements provide at least an equivalent degree.
ANNEX
CODE FOR RECOGNIZED ORGANIZATIONS (RO CODE)
Contents
PREAMBLE
PART 1 – GENERAL
1 PURPOSE
2 SCOPE
3 CONTENTS
4 DELEGATION OF
AUTHORITY
5 COMMUNICATION OF
INFORMATION
6 REFERENCES
PART 2 – RECOGNITION AND AUTHORIZATION REQUIREMENTS FOR
ORGANIZATIONS
1 TERMS AND
DEFINITIONS
2 GENERAL
REQUIREMENTS FOR RECOGNIZED ORGANIZATIONS
2.1 General
2.2 Rules and Regulations
2.3 Independence
2.4 Impartiality
2.5 Integrity
2.6 Competence
2.7 Responsibility
2.8 Transparency
3 MANAGEMENT AND
ORGANIZATION
3.1 General
3.2 Quality safety and pollution prevention
policy
3.3 Documentation requirements
3.4 Quality manual
3.5 Control of documents
3.6 Control of records
3.7 Planning
3.8 Organization
3.9 Communication
3.9.1 Internal communication
3.9.2 Communication/cooperation with flag State
3.9.3 Cooperation between ROs
3.10 Management review
3.10.1
General
3.10.2
Review input
3.10.3
Review output
4 RESOURCES
4.1 General
4.2 Personnel
4.3 Infrastructure
4.4 Work environment
5 STATUTORY
CERTIFICATION AND SERVICES PROCESSES
5.1 General
5.2 Design and development
5.3 Design and development inputs
5.4 Design and development outputs
5.5 Design and development verification
5.6 Control of design and development changes
5.7 Control of production and service
provisions
5.8 Property of clients
5.9 Subcontracting and service suppliers
5.10 Control of monitoring and measuring devices
5.11 Complaints
5.12 Appeals
6 PERFORMANCE
MEASUREMENT, ANALYSIS AND IMPROVEMENT
6.1 General
6.2 Internal audit
6.3 Vertical contract audit
6.4 Monitoring and measurement of processes
6.5 Control, monitoring and measurement of
non-conformities; including statutory deficiencies
6.6 Improvement
6.6.1 General
6.6.2 Data analysis
6.6.3 Sources of information
6.6.4 Corrective action
6.6.5 Preventative action
7 QUALITY
MANAGEMENT SYSTEM CERTIFICATION
8 AUTHORIZATION OF
RECOGNIZED ORGANIZATIONS
8.1 General
8.2 Legal basis of the functions under
authorization
8.3 Specification of authorization
8.4 Resources
8.5 Instruments
8.6 Instructions
8.7 Records
PART 3 – OVERSIGHT OF RECOGNIZED ORGANIZATIONS
1 PURPOSE
2 SCOPE
3 REFERENCES
4 TERMS AND
DEFINITIONS
5 ESTABLISHING AN
OVERSIGHT PROGRAMME
5.1 Oversight
5.2 The flag State's
supervision of duties delegated to an RO
5.3 Verification and
monitoring
6 PRINCIPLES OF
AUDITING
7 MANAGING AN
OVERSIGHT PROGRAMME
7.1 General
7.2 Oversight
programme objectives and extent
7.2.1
Objectives of an oversight programme
7.2.2
Extent of an oversight programme
7.3 Oversight
programme responsibilities, resources and procedures
7.3.1
Oversight programme responsibilities
7.3.2
Oversight programme resources
7.3.3
Oversight programme procedures
7.3.4
Oversight programme implementation
7.3.5
Oversight programme records
7.4 Oversight programme
monitoring and reviewing
APPENDIX 1 – REQUIREMENTS
FOR TRAINING AND QUALIFICATION OF RECOGNIZED ORGANIZATION'S TECHNICAL STAFF
A1.1 Definitions
A1.2 Trainee entry requirements
A1.3 Modules
A1.4 Theoretical training for survey and plan approval staff
A1.5 Practical training for survey and plan approval staff
A1.5.1
General
A1.5.2
Plan approval staff
A1.5.3
Survey staff
A1.5.4
Examinations and tests for survey and plan approval staff
A1.5.5
Audit Staff
A1.6 Qualification
A1.7 Assessment of training effectiveness
A1.8 Maintenance of qualification
A1.9 Activity monitoring
A1.9.1
Purpose
A1.9.2
Monitoring
A1.9.3
Method
A1.9.4
Reporting
A1.9.5
Evaluation
A1.9.6
Implementation
A1.11 Training of support staff
A1.12 Records
APPENDIX 2 – SPECIFICATIONS
ON THE SURVEY AND CERTIFICATION FUNCTIONS OF RECOGNIZED ORGANIZATIONS ACTING ON
BEHALF OF THE FLAG STATE
A2.1 SCOPE
A2.2 AREAS OF INTEREST COVERED BY ELEMENTARY MODULES
A2.2.1
MANAGEMENT
Module
1A: Management functions
A2.2.2
TECHNICAL APPRAISAL
Module
2A: Hull structure
Module
2B: Machinery systems
Module
2C: Subdivision and stability
Module
2D: Load line
Module
2E: Tonnage
Module
2F: Structural fire protection
Module
2G: Safety equipment
Module
2H: Oil pollution prevention
Module
2I: NLS pollution prevention
Module
2J: Radio
Module
2K: Carriage of dangerous chemicals in bulk
Module
2L: Carriage of liquefied gases in bulk
A2.2.3
SURVEYS
Module
3A: Survey functions
A2.2.4
QUALIFICATIONS AND TRAINING
Module
4A: General qualifications
Module
4B: Radio survey qualifications
A2.3 SPECIFICATIONS PERTAINING TO THE VARIOUS CERTIFICATES
A2.3.1 PASSENGER
SHIP SAFETY CERTIFICATE
Initial
certification, renewal survey
A2.3.2 CARGO SHIP
SAFETY CONSTRUCTION CERTIFICATE
Initial
certification, annual/intermediate, renewal surveys
A2.3.3 CARGO SHIP
SAFETY EQUIPMENT CERTIFICATE
Initial
certification, annual, periodical, renewal surveys
A2.3.4 CARGO SHIP
SAFETY RADIO CERTIFICATE
Initial
certification, periodical, renewal surveys
A2.3.5 INTERNATIONAL
SAFETY MANAGEMENT CODE CERTIFICATION
Initial
certification, annual/intermediate verifications, renewal certification
A2.3.6 INTERNATIONAL
LOAD LINE CERTIFICATE
Initial
certification, annual, renewal surveys
A2.3.7 INTERNATIONAL
OIL POLLUTION PREVENTION CERTIFICATE
Initial
certification, annual, intermediate, renewal surveys
A2.3.8 INTERNATIONAL
POLLUTION PREVENTION CERTIFICATE FOR THE CARRIAGE OF NOXIOUS LIQUID SUBSTANCES
IN BULK
Initial
certification, annual, intermediate, renewal surveys
A2.3.9 INTERNATIONAL
CERTIFICATE OF FITNESS FOR THE CARRIAGE OF DANGEROUS CHEMICALS IN BULK
Initial
certification, annual, intermediate, renewal surveys
A2.3.10 INTERNATIONAL
CERTIFICATE OF FITNESS FOR THE CARRIAGE OF LIQUEFIED GASES IN BULK
Initial
certification, annual, intermediate, renewal surveys
A2.3.11 INTERNATIONAL
TONNAGE CERTIFICATE (1969)
Initial
certification
APPENDIX 3 – ELEMENTS TO BE
INCLUDED IN AN AGREEMENT
PREAMBLE
The Code for Recognized Organizations
(RO Code) was adopted by the Organization by resolutions MSC.349(92) and MEPC.237(65).
This Code:
.1
provides flag States with a standard that will assist in achieving harmonized
and consistent global implementation of requirements established by the
instrument of the International Maritime Organization (IMO) for the assessment
and authorization of recognized organizations (ROs);
.2
provides flag States with harmonized, transparent and independent mechanisms,
which can assist in the consistent oversight of ROs in an efficient and
effective manner; and
.3
clarifies the responsibilities of organizations authorized as ROs for a flag
State and overall scope of authorization.
PART 1
GENERAL
1 PURPOSE
The Code serves as the international
standard and consolidated instrument containing minimum criteria against which
organizations are assessed towards recognition and authorization and the
guidelines for the oversight by flag States.
2 SCOPE
2.1 The Code applies to:
.1
all organizations being considered for recognition or that are recognized by a
flag State to perform, on its behalf, statutory certification and services
under mandatory IMO instruments and national legislation; and
.2
all flag States that intend to recognize an organization to perform, on
their behalf, statutory certification and services under mandatory IMO
instruments.
2.2 The Code establishes:
.1
the mandatory requirements that an organization shall fulfil to be recognized
by a flag State (part 1);
.2
the mandatory requirements that an RO shall fulfil when performing statutory
certification and services on behalf of its authorizing flag States (part 2);
.3
the mandatory requirements that flag States shall adhere to when authorizing an
RO (part 2); and
.4
guidelines for flag State oversight of ROs (part 3).
2.3 The Code defines the functional,
organizational and control requirements that apply to ROs conducting statutory
certification and services performed under mandatory IMO instruments, such as,
but not limited to, SOLAS, MARPOL and the Load Lines Conventions.
2.4 All requirements of the Code are
generic and applicable to all ROs, regardless of their type and size and the
statutory certification and services provided.
2.5 ROs subject to this Code need not
offer all types of statutory certification and services and may have a limited
scope of recognition, provided that the requirements of this Code are applied
in a manner that is compatible with the limited scope of recognition. Where any
requirement of this Code cannot be applied due to the scope of services
delivered by an RO, this shall be clearly identified by the flag State and
recorded in the RO's quality management system.
3 CONTENTS
The Code consists of three parts. Part 1
contains general provisions. Part 2 contains mandatory provisions for the flag
State and RO as already contained in relevant IMO instruments and applicable
international standards. Part 3 contains guidelines for the oversight of ROs by
flag States.
4
DELEGATION OF AUTHORITY
4.1 A flag State may delegate authority
to an organization recognized as complying with the provisions of this Code to
perform, on its behalf, statutory certification and services under mandatory
IMO instruments and its national legislation.
4.2 The flag State shall not authorize
functions beyond RO's capabilities. In this respect, the flag State shall take
into consideration appendix 2 of this Code for authorization.
4.3 Flag States should cooperate with
each other with the objective of ensuring that ROs to whom they delegate
authority adhere to the provisions of this Code.
5
COMMUNICATION OF INFORMATION
The flag State shall communicate to, and
deposit with, the Secretary-General of IMO a list of ROs for circulation to the
interested parties for information of their officers, and a notification of the
specific responsibilities and conditions of the authority delegated to ROs.
6
REFERENCES
The Code is based on the following
referenced documents:
.1
mandatory IMO instruments and IMO Guidelines and recommendations (i.e. Codes,
guidelines and standards recommended by the Organization);
.2
ISO 9000:2005, Quality Management Systems – Fundamentals and vocabulary;
.3
ISO 9001:2008, Quality Management Systems – Requirements;
.4
ISO/IEC 17020:1998, General criteria for the operation of various types of
bodies performing inspection;
.5 ISO 19011:2002, Guidelines for quality and/or environmental
management systems auditing;
.6
International Association of Classification Societies (IACS) Quality Management
System Requirements (QMSR); and
.7 national legislation.
PART 2
RECOGNITION AND
AUTHORIZATION REQUIREMENTS FOR ORGANIZATIONS
1 TERMS AND
DEFINITIONS
1.1 Recognized organization (RO) means
an organization that has been assessed by a flag State, and found to comply
with this part of the RO Code.
1.2 Authorization means the
delegation of authority to an RO to perform statutory certification and
services on behalf of a flag State as detailed in an agreement or equivalent
legal arrangement taking into account the " Elements to be included in an
Agreement" as set out in appendix 3 of this Code.
1.3 Statutory certification and
services means certificates issued, and services provided, on the authority
of laws, rules and regulations set down by the Government of a sovereign State.
This includes plan review, survey, and/or audit leading to the issuance of,
or in support of the issuance of, a certificate by or on behalf of a flag State
as evidence of compliance with requirements contained in an international
convention or national legislation. This includes certificates issued by an
organization recognized by the flag State in accordance with the provisions of
SOLAS regulation XI-1/1, and which may incorporate demonstrated compliance with
the structural, mechanical and electrical requirements of the RO under the
terms of its agreement of recognition with the flag State.
1.4 Assessment means any activity
to determine that the assessed entity fulfils the requirements of the relevant
rules and regulations.
1.5 Interested parties means any
person or legal entity who can demonstrate a justified interest in the survey
and certification process and includes, inter alia, clients of the RO, shipowners,
ship operators, shipbuilders, equipment manufacturers, shipping industry
interests or associations, marine insurance interests or associations, trade
associations, governmental regulatory bodies or other governmental services and
non-governmental organizations.
1.6 Location is a place from
which surveys are carried out and managed, or where plan approval is carried
out, or from which processes are managed.
1.7 Site is the place at which a surveyor is based to cover
a specific contract or a series of contracts including; but not limited to, a
port, shipyard, firm, and company. All statutory certification and services at
sites are to be controlled by a location.
1.8 A Vertical Contract Audit (VCA)
is a contract/order specific audit of production processes, including
witnessing work during attendance at a survey, audit or plan approval in
progress and, as applicable, including relevant sub-processes. A VCA is carried
out at a location or a site (Survey Station/Approval Office/Site) to verify the
correct application of relevant requirements in service realization for the
specific work in that contract/order, and their interactions (relevant
sub-processes include e.g. previous part surveys or UTM processes connected to
the survey). Plan approval VCA may be carried out for completed tasks.
2 GENERAL
REQUIREMENTS FOR RECOGNIZED ORGANIZATIONS
2.1 General
Delegation of authority by a flag State
to an organization shall be subject to the confirmation of the capability of
that organization to demonstrate that it has the capacity to deliver high
standards of service and its compliance with the requirements of this Code and
applicable national legislation.
2.2 Rules
and regulations
The RO shall establish, publish and
systematically maintain its rules or regulations, a version of which shall be
provided in the English language, for the design, construction and
certification of ships and their associated essential engineering systems as
well as provide for adequate research capability to ensure appropriate updating
of the published criteria.
2.3
Independence
The RO and its staff shall not engage in
any activities that may conflict with their independence of judgement and
integrity in relation to their statutory certification and services. The RO and
its staff responsible for carrying out the statutory certification and services
shall not be the designer, manufacturer, supplier, installer, purchaser, owner,
user or maintainer of the item subject to the statutory certification and
services, nor the authorized representative of any of these parties. The RO
shall not be substantially dependent on a single commercial enterprise for its
revenue.
2.4
Impartiality
2.4.1 The personnel of ROs shall be free
from any pressures, which might affect their judgement in performing statutory
certification and services. Procedures shall be implemented to prevent persons
or organizations external to the organization from influencing the results of
services carried out.
2.4.2 All potential customers shall have
access to statutory certification and services provided by the RO without undue
financial or other conditions. The procedures under which the RO operates shall
be administered in a non-discriminatory manner.
2.5
Integrity
The RO shall be governed by the
principles of ethical behaviour, which shall be contained in a Code of Ethics.
The Code of Ethics shall recognize the inherent responsibility associated with
a delegation of authority to include assurance of adequate performance of
services.
2.6
Competence
The RO shall perform statutory
certification and services by the use of competent surveyors and auditors who
are duly qualified, trained and authorized to execute all duties and activities
incumbent upon their employer, within their level of work responsibility.
2.7
Responsibility
The RO shall define and document the
responsibilities, authorities, qualifications and interrelation of personnel
whose work affects the quality of its services.
2.8
Transparency
2.8.1 Transparency reflects the
principle of access to, or disclosure of, all information related to the
statutory certification and services carried out by the RO on behalf of a flag
State.
2.8.2 The ROs shall communicate
information to the flag State as described in the section on
communication/cooperation with the flag State.
2.8.3 Information concerning the status
of ships certified by ROs shall be made available to the public.
3
MANAGEMENT AND ORGANIZATION
3.1 General
The RO shall, based on the provisions of
this Code, develop and implement a quality management system and shall
continually improve its effectiveness.
3.2
Quality, safety and pollution prevention policy
The RO shall define and document its
policy and objectives for, and commitment to, quality, safety and pollution
prevention. In particular, the RO's management shall:
.1
ensure that the policy and objectives are established;
.2
ensure the policy and objectives are appropriate for the purpose of the
organization;
.3
communicate the policy and objectives; including provisions applicable to the
statutory certification and services, to the organization and ensure that it is
understood within the organization;
.4
ensure sufficient availability of resources;
.5
include a commitment to comply with all applicable requirements and continually
improve the effectiveness of the quality management system;
.6
conduct management reviews; which includes a framework for reviewing quality
objectives; and
.7
review the quality policy, objectives and the quality management system for
continuing suitability.
3.3
Documentation requirements
3.3.1 The quality management system
shall include the following documentation:
.1
quality policy and quality objectives;
.2
quality manual (refer to section 3.4);
.3 procedures
and records required by this Code and the national legislation of the
recognizing flag State;
.4
procedures to ensure the effective planning, operation, and control of the RO's
processes;
.5
rules and regulations as applicable to the RO's areas of authorization;
.6
list of ships for which statutory certification and services are provided;
.7
other documented process procedures that are considered necessary (these
include any circulars or letters, which provide the surveyors and
administrative staff with up-to-date information on classification, statutory
and related matters);
.8
specifications and diagrams defining or amplifying service processes; and
.9
pro-forma reports, checklists and certificates appropriate to the activities
covered by this certification.
3.3.2 The quality management system
shall also include external documents, such as:
.1
national and international standards necessary for the activities governed by
this instrument;
.2
IMO Conventions and resolutions;
.3
national shipping regulations and standards appropriate to the authorization of
the RO;
.4
documents and data submitted to the RO for verification and/or approval; and
.5
specified correspondence defined by the RO to be of an important nature.
3.4 Quality
manual
The RO shall establish and maintain a
quality manual that includes:
.1
scope of the quality management system, including details of, and justification
for any exclusions;
.2
management statement on its policy and objectives for, and commitment to, quality;
.3
description of the RO's areas of activity and competence;
.4
general information about the organization and its head office (name, address,
phone number, etc., and legal status);
.5
information on the RO's relationship to its parent or associated organizations
(where applicable);
.6
charts describing the organization's structure;
.7
management statement assigning a person designated who is responsible for the
organization's quality management system;
.8
relevant job descriptions;
.9
policy statement on qualification and training of personnel;
.10
documented procedures established for the quality management system, or
reference to them;
.11
description of the interaction between processes of the quality management
system; and
.12
description of all other documents required by the quality management system.
3.5 Control
of documents
3.5.1 Documents required by the
quality management system shall be controlled. The provision of document
control shall apply to any type of document, including but not limited to;
electronic media and IT applications where said electronic media may affect the
reliability of the service or of the recorded data.
3.5.2 A documented procedure
shall be established to define the controls needed to:
.1
approve documents for adequacy prior to issue;
.2
review and update as necessary and re-approve documents;
.3
ensure that changes and the current revision status of documents are
identified;
.4
ensure that relevant versions of applicable documents are available at points
of use;
.5
ensure that documents remain legible and readily identifiable;
.6
ensure that documents of external origin determined by the RO to be necessary
for the planning and operation of the quality management system are identified
and their distribution is controlled; and
.7
prevent the unintended use of obsolete documents, and to apply suitable
identification if they are retained for any purpose.
3.6 Control
of records
3.6.1 Records shall be
established to provide evidence of conformity to requirements of this Code and
of the effective operation of the quality management system. The records shall
be controlled.
3.6.2 The RO shall establish a
documented procedure to define the controls needed for the identification,
storage, protection, retrieval, retention, and disposition of records. Records
shall remain legible, readily identifiable and retrievable.
3.6.3 The RO shall ensure that records
are maintained, demonstrating achievement of the required standards in the
terms covered by the statutory certification and services performed as well as
the effective operation of the quality management system. Records, other than
those set out in 3.6.4.2, shall be retained at least for the period for which
statutory certification and services are provided by the RO. Records specified
in 3.6.4.2 for a ship shall be retained for a minimum period of three years
beyond the period for which statutory certification and services are provided
by the RO to that ship, or a longer period if specified in the agreement
between the flag State and the RO.
3.6.4 Records shall include at least
those relevant to:
.1
rules and regulations development and associated research;
.2
the application of the rules and regulations and statutory requirements
through:
.1
verification and/or approval of documents and/or drawings relevant to the
design;
.2
approval and survey of materials and equipment;
.3
survey during construction and installation;
.4
survey during service; and
.5
issuance of certificates;
.3
the list of ships; and
.4
all other records required by this quality management system and any additional
requirements established by the recognizing flag State.
3.7
Planning
3.7.1 The RO shall ensure that quality
objectives, including those needed to meet the requirements for statutory
certification and services are established at relevant functions and levels
within the organization.
3.7.2 The quality objectives shall be
measurable and consistent with the quality policy.
3.7.3 The RO shall in its planning
consider the elements identified below, and use the result to evaluate the
effectiveness of its standards and procedures and their impact on safety of
life and property and the marine environment:
.1
that the planning of the quality management system is carried out in order to
meet the requirements of the mandatory IMO Instruments, including but not
limited to this Code, its quality management system and the authorizing flag
State's national legislation;
.2
that the integrity of the quality management system is maintained when changes
to the quality management system are planned and implemented;
.3
that the needs and expectations of the customers and other interested parties
are taken into account, e.g. feedback from IMO, flag States and industry associations;
.4
the effectiveness of services based on statistics from port State control,
casualties, loss trends and feedback obtained from internal and external users;
.5
the performance of the quality management system processes based on feedback from
internal audits, non-conformities and internal comments;
.6
lessons learned from previous experience and deriving from an examination of
survey reports, casualty investigations or external sources; and
.7
other sources of information which identifies opportunities for improvement.
3.7.4 The RO shall identify and plan the
processes required for the quality management system, and determine the
sequence and interaction of these processes.
3.7.5 The RO shall determine the
requirements to be complied with and the criteria to ensure both the operation
and control of these processes, including the criteria for acceptance, and
evaluate the resources needed.
3.7.6 The RO shall plan and develop the
processes required for statutory certification and services. Planning of the
delivery of statutory certification and services shall be consistent with the
requirements of other processes of the quality management system.
3.7.7 In planning the delivery of
statutory certification and services, the RO shall determine the following as
appropriate:
.1
quality objectives and requirements for statutory certification and services;
.2
the need to establish processes and documents, and to provide resources
specific to the activity;
.3
required verification, validation, monitoring, measurement, inspection and test
activities and the criteria for acceptance; and
.4
records needed to provide evidence that statutory certification and services
meet the quality management system requirements; the requirements set out in the
Code and the national legislation of the recognizing flag State.
3.7.8 The output of this planning shall
be in a form suitable for the RO's structure and method of operations. The
output of the planning should consider:
.1
responsibility and authority for developing improvement plans;
.2
skills and knowledge needed;
.3
improvement approaches, methodology and tools;
.4
resource requirements;
.5
alternative planning needs;
.6
indicators for performance achievements; and
.7
the need for documentation and records.
3.8
Organization
3.8.1 The relative size, structure,
experience, and capability of the RO shall be commensurate with the type and
degree of the statutory certification and services authorized by the flag
State.
3.8.2 The RO shall demonstrate that it
has the technical, administrative, and managerial competence and capacity to
ensure the provision of quality services in a timely manner.
3.8.3 The RO shall appoint a
member of its management who, irrespective of other responsibilities, shall
have responsibility and authority that includes:
.1
ensuring that processes needed for the quality management system are
established, implemented, and maintained;
.2
ensuring that processes required for the effective delivery of statutory certification
and services are established, implemented and maintained;
.3
reporting to top management on the performance of the quality management
system; the delivery of statutory certification and services and any need for
improvement; and
.4
ensuring the promotion of awareness of all requirements throughout the RO.
3.8.4 The RO shall ensure that the
responsibilities and authorities are defined and communicated within the RO.
3.9
Communication
3.9.1
Internal communication
The RO shall ensure that appropriate
communication processes are established within the RO and that communication
takes place regarding the effectiveness of the quality management system and
statutory certification and services provided.
3.9.2
Communication/cooperation with flag State
3.9.2.1 The RO shall establish
appropriate communication processes with the authorizing flag State that, inter
alia, address the following:
.1
information specified by the flag State in terms of authorization;
.2
classification of ships (assignments of class, changes and withdrawals), as
applicable;
.3
cases where a ship did not in all respects remain fit to proceed to sea without
danger to the ship or persons on board or presenting unreasonable threat of
harm to the marine environment;
.4 information
on all overdue surveys, overdue recommendations or overdue conditions of class,
operating conditions or operating restrictions issued against their classed
ships that shall be made available upon request by the authorizing flag State;
and
.5 other
information as so specified by the authorizing flag State.
3.9.2.2 The RO shall allow participation
in the development of its rules and/or regulations by the flag State.
3.9.2.3 The RO shall determine, propose
and, if agreed by the flag State, implement effective arrangements for
communicating with a flag State in relation to:
.1
enquiries, contracts or other handling, including amendments; and
.2
flag State feedback, including conformity issues pertaining to statutory
certification and services.
3.9.3
Cooperation between ROs
3.9.3.1 Under the framework established
by the flag State, the ROs shall cooperate and share relevant experience with
other ROs with the view to standardizing processes concerning statutory
certification and services for the flag State, as appropriate.
3.9.3.2 Under the framework established
by a flag State or a group of flag States, the organizations recognized by this
State or these States shall establish and maintain appropriate technical and
safety-related cooperation processes regarding statutory certification and
services of ships, which may affect the validity of certificates issued by
other ROs either in whole or in part on behalf of the said flag State(s). Flag
States shall seek to mutually cooperate in order to ensure, as far as
practicable, the compatibility of their respective frameworks.
3.9.3.3 No flag State shall mandate its
ROs to apply to ships, other than those entitled to fly its flag, any
requirement pertaining to their classification rules, requirements, procedures
or performance of other statutory certification processes, beyond convention
requirements and the mandatory instruments of the IMO.
3.9.3.4 In cases of transfer of the
certification of the ship from one RO to another, the losing organization
shall, without undue delay, provide the gaining organization access to the
history file of the ship including:
.1
any overdue surveys;
.2
any overdue recommendations and overdue conditions of class;
.3
operating conditions issued against the ship;
.4
operating restrictions issued against the ship; and
.5
technical information, drawings, plans and documents taking into account the
relevant guidelines developed by the Organization1.
_____________________
1 MSC-MEPC.5/Circ.2 –
Guidelines for Administrations to ensure the adequacy of transfer of
class-related matters between recognized organizations (ROs).
3.9.3.5 New certificates for the ship
can be issued by the gaining organization only after all overdue surveys have
been satisfactorily completed and all overdue recommendations or overdue
conditions of class previously issued in respect of the ship have been
completed as specified by the losing organization.
3.9.3.6 Within one month from the
issuance of the certificates, the gaining organization shall advise the losing
organization of the date of issue of the certificates and confirm the date,
place and action taken to satisfy each overdue survey, overdue recommendation
and overdue condition of class.
3.9.3.7 ROs shall establish and
implement appropriate common requirements concerning cases of transfer of the
certification of a ship where special precautions are necessary. Those cases
shall, as a minimum, include the certification of ships of 15 years of age or
over and the transfer of a ship from an organization not recognized by the flag
State of the ship.
3.10
Management review
3.10.1 General
The management of an RO shall review its
quality management system; including a review of the RO's performance of
statutory certification and services, at planned intervals, which shall not
exceed 13 months, to ensure its continuing suitability, adequacy, and
effectiveness. This review shall include assessing opportunities for
improvement and the need for changes to the quality management system,
including the quality policy and quality objectives.
3.10.2 Review input
The input to management review shall
include the following information:
.1
results of audits;
.2
feedback from interested parties;
.3
process performance and consistency of compliance with statutory requirements;
.4
status of preventive and corrective actions;
.5
follow-up actions from previous management reviews;
.6
changes that could affect the quality management system; and
.7
recommendations for improvement.
Any output of management reviews
containing information relevant to quality objectives, customer complaints and
activity monitoring, throughout the RO, shall be used as input to the top
management review.
3.10.3 Review output
3.10.3.1 The output from
management review shall include any decisions and actions related to:
.1
improvement of the effectiveness of the quality management system and its
processes;
.2
improvement of services related to the requirements established in the
authorization agreement; and
.3
resource requirements.
3.10.3.2 Top management shall ensure
that the results of the top management review of the quality management system,
including the derived quality objectives, are documented and communicated
throughout the organization, as appropriate.
3.10.3.3 Records from management
reviews shall be maintained.
4 RESOURCES
4.1 General
4.1.1 The RO shall determine and
provide the adequate resources in terms of technical, managerial and survey
capabilities to accomplish the tasks being assigned and resources needed to
implement the quality management system and to continually improve its
effectiveness; and to enhance its performance in the delivery of statutory
certification and services.
4.1.2 The RO shall be able to document
extensive experience in assessing the design, construction and equipment of
ships and the capability to effectively perform statutory certification and
services on behalf of a flag State.
4.1.3 The RO shall have the capacity to:
.1
provide for the publication and systematic maintenance of rules and/or
regulations for the design, construction and certification of ships and their
associated essential engineering systems as well as the provision of an
adequate research capability to ensure appropriate updating of the published
criteria. The RO is required to maintain an up-to-date version of this
publication in the English language; and
.2
allow participation in the development of its rules and/or regulations by representatives
of the flag State and other interested parties.
4.2
Personnel
4.2.1 The RO shall be equipped, at all
times, with significant managerial, technical, support and research staff
commensurate with the size of the fleet in its class, its composition and the
organization's involvement in the construction, repair and conversion of ships.
The RO shall be capable of assigning to every place of work, when and as
needed, the means and staff commensurate with the tasks to be carried out in
accordance with the requirements of this Code and those of the flag State.
4.2.2 The management of an RO shall have
the competence, capability and capacity to organize, manage and control the
performance of statutory certification and services in order to verify compliance
with requirements relevant to the tasks delegated and shall, inter alia:
.1
possess an adequate number of competent supervisory, technical appraisal and
survey personnel;
.2
develop and maintain appropriate procedures and instructions;
.3
maintain up-to-date documentation on interpretation of the relevant
instruments;
.4
give technical and administrative support to field staff; and
.5
review survey reports and plan approval letters for accuracy, compliance with
requirements and to provide experience feedback for continual improvement.
4.2.3 The RO shall be established with a
qualified staff to provide the required service representing an adequate
geographical coverage and local representation as required.
4.2.4 The RO shall perform statutory
certification and services by the use of only exclusive surveyors and auditors,
being persons solely employed by the RO, duly qualified, trained and authorized
to execute all duties and activities incumbent upon their employer, within
their level of work responsibility. While still remaining responsible for the
certification on behalf of the flag State, the RO may subcontract radio surveys
to non-exclusive surveyors in accordance with section 5.9 of part 2 of this
Code.
4.2.5 The RO's personnel performing and
responsible for statutory certification and services shall have, as a minimum,
the following formal education:
.1
qualifications from a tertiary institution within a relevant field of
engineering or physical science (minimum two-year programme); or
.2
qualifications from a marine or nautical institution and relevant seagoing
experience as a certificated ship officer, and
.3
proficiency in the English language commensurate with the scope of statutory
certification and services.
4.2.6 Other personnel assisting in the
performance of statutory work shall have education, training and supervision
commensurate with the tasks they are authorized to perform.
4.2.7 The RO shall have a documented
system to track the qualifications of personnel; including continuous updating
of their knowledge as appropriate to the tasks they are authorized to
undertake. This system shall comprise appropriate training courses, including,
inter alia, international instruments and appropriate procedures related to the
delivery of statutory certification and services, as well as practical tutored
training; it shall provide documented evidence of satisfactory completion of
the training. As a minimum, the provisions in appendices 1 and 2 shall be met.
4.3
Infrastructure