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;
.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
4.3.1
The RO shall determine, provide, and
maintain the infrastructure required to perform statutory certification and
services in accordance with the requirements of the mandatory IMO instruments.
Infrastructure includes, as applicable:
.1 building,
workspaces and associated utilities;
.2 process
equipment (both hardware and software); and
.3 supporting services, including but not
limited to transport, communication, training and information systems.
4.3.2 Systems
(hardware and software) provided to the surveyor shall be identified and
relevant training on their use shall be carried out and documented. Special
consideration should be given to the situation where a surveyor is working out
of a home-based office.
4.4
Work environment
4.4.1
The RO shall be satisfied that the work
environment is safe and effective to perform statutory certification and
services. While it is understood that such environmental conditions are not provided
by the RO, the environmental conditions under which the survey will be
permitted to take place shall be made clear to the customer prior to survey
commencing.
4.4.2
The RO shall determine the necessary
working procedures required to perform statutory certification and services
safely and effectively. Training of staff on personal safety shall be carried
out and documented.
4.4.3
Requirements for personal protective
equipment to be used while performing statutory certification and services and
procedures for personal safety of surveyors at work shall be established and
documented.
5
STATUTORY CERTIFICATION AND
SERVICES PROCESSES
5.1
General
It
should be recognized that statutory certification and services are service
delivery development processes for flag State and RO compliance verification
activities rather than the design process for a ship or its equipment.
5.2
Design and development
5.2.1
The RO shall plan and control the
design and development of statutory certification and services processes.
During the design and development planning, the organization shall
determine:
.1 the
design and development stages;
.2 the
review, verification and validation that are appropriate to each service design
and development stage; and
.3 the responsibilities and authorities for
design and development.
5.2.2
The RO shall allow participation in the
development and review of its rules, procedures and/or regulations,
specifically in the review process prior to finalization, by representatives of
the flag State and interested parties.
5.2.3
The RO shall include in its rules
and/or procedures:
.1 requirements
specified and communicated to ROs by the flag State, specifically for statutory
certification and services2;
___________________
2 Refer to the Code for the implementation of
mandatory IMO instruments, 2011, adopted by resolution A.1054(27), as may be amended.
.2 requirements not stated by the flag State
but necessary for specified or intended use, as determined by the RO.
5.2.4
Implementation of requirements may be
in the form of adoption into the RO's internal requirements or by use of the
original documents from IMO or the flag State.
5.2.5
The RO shall not issue statutory
certificates to a ship, irrespective of its flag, which has been declassed or
is changing class for safety reasons, before giving the opportunity to the
competent Administration of the flag State to give its opinion within a
reasonable time as to whether a full inspection is necessary.
5.3
Design and development inputs
5.3.1
Inputs relating to service requirements
shall be determined and records maintained.
These
inputs shall include:
.1 applicable
statutory and regulatory requirements;
.2 where
applicable, information derived from previous similar designs;
.3 other
requirements essential for design and development, such as functional and
performance requirements; and
.4 in-service experience with ships and
mobile offshore drilling units obtained from within the RO itself and external
sources.
5.3.2
The inputs shall be reviewed for
adequacy. Requirements shall be complete, unambiguous and not in conflict with
each other.
5.4
Design and development outputs
At
suitable stages, systematic reviews of design and development of rules and
standards shall be performed in accordance with planned arrangements to
evaluate the ability of the results to meet requirements; and to identify any
problems and propose necessary actions.
5.5
Design and development verification
Verification
shall be performed in accordance with planned arrangements to ensure that the
design and development outputs have met the design and development input
requirements. Records of the results of the verification and any necessary
actions shall be maintained.
5.6
Control of design and development
changes
Design
and development changes shall be identified and records maintained. The changes
shall be reviewed, verified and validated, as appropriate, and approved before
implementation. The review of the design and development changes shall include
evaluation of the effect of the changes on the constituent parts and product
already delivered. Records of the results of the review of changes and any
necessary actions shall be maintained.
5.7
Control of production and service
provisions
5.7.1
The RO shall ensure that all statutory
certification and services are carried out under controlled conditions.
5.7.2
Controlled conditions shall include, as
applicable:
.1 the
availability of information that describes the status and condition of ships
surveyed and certified;
.2 the
availability of rules, regulations, work instructions, and other applicable
standards, as necessary;
.3 the
use of suitable equipment;
.4 the
availability and use of monitoring and measuring equipment;
.5 the
implementation of monitoring and measurement;
.6 the
implementation of controls to ensure the accuracy of survey reports and
certificates both before and after issuance; and
.7 a safe work environment.
5.7.3
An RO shall conduct the statutory
certification and services of the ship in conformity with all relevant
international requirements and the requirements of this Code. When accepting a
ship on behalf of the flag State that was constructed originally without a
known flag State the RO shall verify that the ship complies with national
requirements of that flag State prior to certification.
5.8
Property of clients
The
RO shall identify, verify, protect and safeguard property provided by the
clients for performance of statutory certification and services. If property is
lost, damaged or otherwise found to be unsuitable for use, the RO shall report
this to the property owner and maintain relevant records.
5.9
Subcontracting and service suppliers
5.9.1
Where an RO chooses to outsource any
service that affects conformity to requirements or accepts work of a third
party approved by the RO, the RO shall ensure that it fully controls the performance
of such services. The flag State may increase the scope of control to be
applied to these outsourced services. The process for outsourcing shall be
defined within the RO's quality management system. For the purpose of
accountability to the flag State, the work performed by the sub-contracted
organization or service supplier constitutes the work of the RO and shall be
subject to the requirements incumbent upon the RO under this Code.
5.9.2 Firms providing services on behalf of the
owner of a ship or a mobile offshore drilling unit, the results of which are
used by the RO in making decisions affecting the statutory certification and
services shall be subject to approval and control by either the flag State or
the RO in accordance with the procedures under their respective quality
management system or the flag State requirements.
5.10
Control of monitoring and measuring
devices
5.10.1
The RO shall determine the monitoring and
measurement to be undertaken and the monitoring and measurement equipment
needed to provide evidence of conformity to the applicable requirements.
5.10.2
The RO shall establish processes to
ensure that monitoring and measurement can be carried out in a manner that is
consistent with the monitoring and measurement requirements.
5.10.3
Where necessary to ensure valid results,
measuring equipment shall:
.1 be
calibrated or verified, or both, at specified intervals, or prior to use,
against measurement standards traceable to international or national
measurement standards; where no such standards exist, the basis used for
calibration or verification shall be recorded;
.2 be
adjusted or re-adjusted as necessary;
.3 have
identification in order to determine its calibration status;
.4 be
safeguarded from adjustments that would invalidate the measurement result; and
.5 be protected from damage and deterioration
during handling, maintenance, and storage.
5.10.4
The RO shall assess and record the
validity of previous measuring results when the equipment is found not to
conform to requirements. The RO shall take appropriate action on the equipment
affected. Records of results of calibration and verification shall be
maintained.
5.10.5
When used in monitoring and measurement
of specific requirements, the ability of computer software to satisfy the
intended application shall be confirmed. This shall be undertaken prior to
initial use and reconfirmed as necessary.
5.10.6
Where an RO is verifying testing at
manufacturers, builders, repairers or owners premises and reporting the same,
the RO shall ensure that the measuring devices used in the process are
identified and that evidence of calibration is obtained. Where an RO is
witnessing testing of service equipment installed or available on board a ship,
a means shall be established so that the RO is satisfied as to the appropriate
accuracy of the measuring equipment.
5.11
Complaints
The
RO shall have a documented process to address complaints related to statutory
certification and services.
5.12
Appeals
The
RO shall have a documented process to address appeals related to statutory
certification and services in accordance with the requirements of the flag
State.
6
PERFORMANCE MEASUREMENT, ANALYSIS
AND IMPROVEMENT
6.1
General
6.1.1
The RO shall plan and implement the
monitoring, measurement, analysis and improvement processes needed to
demonstrate conformity to statutory certification and services requirements, to
ensure conformity of the quality management system, and to continually improve
the effectiveness of the quality management system. This shall include the
determination of applicable methods, including statistical techniques, and the
extent of their use. The measurements employed by the RO shall be reviewed
periodically, and data shall be verified on a continual basis for accuracy and
completeness.
6.1.2
The RO shall develop key performance
indicators with respect to the performance of statutory certification and
services.
6.2
Internal audit
6.2.1
The RO shall implement an audit programme;
including the completion of internal audits at planned intervals to determine
whether the authorized activity conforms to the planned arrangements and that
the quality management system is effectively implemented and maintained, and
that a supervisory system is in place, which monitors statutory certification
and services.
6.2.2
The audit programme shall take into
consideration the status and importance of the processes and areas to be
audited, as well as the results of previous audits, flag State feedback,
complaints and appeals including port State and flag State inspections. When
planning the internal audits, consideration shall be given to complaints
received in the past (either related to the location or in general) and to the
results of previous internal audits and to the operation of the locations.
6.2.3
The RO shall define the audit criteria,
scope, frequency, and methods. Auditors shall be suitably qualified and
selected in order to ensure objectivity and impartiality of the audit process.
Auditors shall not audit their own work. The audit scope shall cover the
processes for the statutory certification and services at various locations
with a focus on verification of the efficient and effective implementation of
the quality management system and applicable work processes at the individual
location. The audit periods, which may be established according to the
findings, shall ensure that each location is audited at least once per three
years. Audits at locations shall also include visits to selected sites, which
operate under the control of the location.
6.2.4
A documented procedure shall be
established to define the responsibilities and requirements for planning and
conducting audits, establishing records and reporting results. Records of
audits and their results shall be maintained.
6.2.5
The management responsible for the area
being audited shall ensure that any necessary corrections and corrective
actions are taken without undue delay to eliminate detected nonconformities,
observations (potential non-conformities) and their root causes.
6.3
Vertical Contract Audit
6.3.1
The RO shall carry out Vertical
Contract Audits annually for each of the following processes:
.1 plan
approval;
.2 new
construction survey;
.3 in-service
periodical survey/audit; and
.4 type
approval (where applicable) or survey of other materials and equipment.
6.3.2
Evidence of completion of VCAs and
findings thereof, shall be formally recorded.
6.4
Monitoring and measurement of
processes