RESOLUTION
MSC.349(92)
(Adopted
on 21 June 2013)
CODE
FOR RECOGNIZED ORGANIZATIONS (RO CODE)
THE
MARITIME SAFETY COMMITTEE,
RECALLING
Article 28(b) of the Convention on the International Maritime Organization
concerning the functions of the Committee,
RECALLING
ALSO resolution A.739(18)
entitled Guidelines for the authorization of organizations acting on behalf
of the Administration, as amended by resolution MSC.208(81), 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 chapter
XI-1 of the International Convention for the Safety of Life at Sea (SOLAS), 1974
(hereinafter referred to as "the 1974 SOLAS Convention"), under
chapter I of annex I to annex B of the Protocol of 1988 relating to the
International Convention on Load Lines, 1966 (hereinafter referred to as
"the 1988 Load Lines Protocol"), and under Annex I and Annex II of
the MARPOL Convention,
RECOGNIZING
the need to update the aforementioned resolutions, gather all the applicable
requirements for recognized organizations in a single IMO mandatory instrument
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
resolutions MSC.350(92)
and MSC.356(92),
by which it adopted, inter alia, amendments to the 1974 SOLAS Convention and to
the 1988 Load Lines Protocol, respectively, to make the provisions of part 1
and part 2 of the Code for recognized organizations mandatory under the 1974
SOLAS Convention and the 1988 Load Lines Protocol,
NOTING
ALSO resolution MEPC.237(65)
by which the Marine Environment Protection Committee adopted the Code for
recognized organizations to be made mandatory under annex I and annex II of the
Protocol of 1978 relating to the International Convention for the Prevention of
Pollution from Ships, 1973,
HAVING
CONSIDERED, at its ninety-second session, the text of the proposed Code for
recognized organizations,
CONSIDERING
that it is highly desirable for the Code for recognized organizations made
mandatory under the MARPOL Convention, the 1974 SOLAS Convention and the 1988
Load Lines Protocol to remain identical,
1. ADOPTS the Code for recognized
organizations (RO Code), the text of which is set out in the annex to the
present resolution;
2. INVITES Contracting Governments to the
1974 SOLAS Convention and Parties to the 1988 Load Lines Protocol to note that
the RO Code will take effect on 1 January 2015 upon the entry into force of the
respective amendments to the 1974 SOLAS Convention and 1988 Load Lines
Protocol;
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 Contracting Governments to the 1974 SOLAS
Convention and Parties to the 1988 Load Lines Protocol;
4. ALSO REQUESTS the Secretary-General to
transmit copies of this resolution and the annex to all Members of the
Organization which are not Contracting Governments to the 1974 SOLAS Convention
or Parties to the 1988 Load Lines 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 of safety.
*
* *
ANNEX
CODE
FOR RECOGNIZED ORGANIZATIONS (RO CODE)
Contents
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;