6 Performance Measurement, Analysis and Improvement
Clasification Society 2024 - Version 9.40
Statutory Documents - IMO Publications and Documents - International Codes - RO Code - Code for Recognized Organizations – Resolution MSC.349(92) and Resolution MEPC.237(65) - Part 2 – Recognition and Authorization Requirements for Organizations - 6 Performance Measurement, Analysis and Improvement

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

  6.4.1 The RO shall apply suitable methods for monitoring, including a supervisory system that monitors the work activities carried out, and where applicable, measurement of the quality management system processes. These methods shall demonstrate the ability of the processes to achieve sustained compliance with the requirements of this Code and the agreement with the flag State, in particular that:

  • .1 the RO's rules and/or regulations are complied with; and

  • .2 the requirements of the statutory certification and services are satisfied.

  6.4.2 When planned results are not achieved, correction and corrective action shall be taken, as appropriate.

  6.4.3 The implemented methods should consider issues such as, but not limited to:

  • .1 port State control detentions;

  • .2 casualties; and

  • .3 rework of plan approval letters and survey reports.

  6.5 Control, monitoring and measurement of non-conformities, including statutory deficiencies

  6.5.1 The RO shall monitor and measure the service delivery with statutory requirements and the RO's rules to verify that all requirements have been met. This shall be carried out at appropriate stages of the statutory certification and services process in accordance with the planned arrangements. Evidence of conformity with the statutory requirements and RO rules shall be maintained. Records shall indicate the person(s) approving or verifying compliance with the statutory requirements and the RO's rules.

  6.5.2 The RO shall make provisions to ensure that non-conformities are identified and controlled. The controls and related responsibilities and authorities for dealing with non-conformities shall be defined in a documented procedure.

  6.5.3 Where applicable, the RO shall deal with a non-conformity by one or more of the following ways:

  • .1 by taking action to eliminate the detected non-conformity;

  • .2 by authorizing its use, release or acceptance under the terms determined by the flag State;

  • .3 when accepting with or without correction by exemption or equivalence, consideration should be given to the non-conformities with rules and regulations or statutory requirements during:

    • .1 drawing approval,

    • .2 survey of materials and equipment,

    • .3 survey during construction and installation,

    • .4 survey during service;

  • .4 by taking action to preclude its original intended use or application; and

  • .5 by taking action appropriate to the effects, or potential effects, of the non-conformity when a non-conformity is detected.

  6.5.4 When a non-conformity is corrected, it shall be subject to reverification to demonstrate conformity to the requirements.

  6.5.5 Records of the nature of non-conformities and any subsequent actions taken, including exemption or equivalences obtained, shall be maintained.

  6.5.6 The RO shall comply with the instructions of the flag State detailing actions to be followed in the event that a ship is found not fit to proceed to sea without danger to the ship or persons on board, or presenting unreasonable threat of harm to the marine environment.

  6.5.7 The ROs shall cooperate with port State control Administrations where a ship to which the RO issued the certificates is concerned, in particular, in order to facilitate the rectification of reported deficiencies or other discrepancies.

  6.5.8 The RO responsible for issuing the relevant certificate shall, upon receiving a report of an accident or discovering a defect to a ship which affects the safety of the ship or the efficiency or completeness of its life saving appliances or other equipment, cause investigations to be initiated to determine whether a survey is necessary.

  6.6 Improvement

  6.6.1 General

 The RO shall continually improve the effectiveness of its quality management system through the use of the quality policy, quality objectives, audit results, analysis of data, corrective and preventive actions and management review.

  6.6.2 Data analysis

  6.6.2.1 The objective of data analysis is to determine the cause of problems to guide effective corrective and preventive action. The RO shall:

  • .1 analyse data from various sources to assess performance against plans and goals and to identify areas for improvement;

  • .2 make use of statistical methodologies for data analysis, which can help in assessing, controlling, and improving performance of processes; and

  • .3 analyse the product requirements, as well as analysis of relevant processes, operations and quality records.

  6.6.2.2 Information and data from all parts of the RO shall be integrated and analysed to evaluate the overall performance of the quality management system.

  6.6.2.3 The results of analysis shall be documented and used to determine:

  • .1 trends;

  • .2 operational performance;

  • .3 customer satisfaction and/or dissatisfaction through complaints or other quality indicators (PSC detentions, flag State non-conformities, etc.);

  • .4 effectiveness and/or efficiency of processes; and

  • .5 performance of suppliers.

  6.6.3 Sources of information

 The RO shall identify sources of information and establish processes for collection of information for planning continual improvement, corrective and preventive actions. Such information shall include, inter alia:

  • .1 customer complaints;

  • .2 non-conformance reports;

  • .3 outputs from management reviews;

  • .4 internal audit reports;

  • .5 outputs from data analysis;

  • .6 relevant records;

  • .7 outputs from customer feedback and satisfaction measurements;

  • .8 process measurements;

  • .9 results of self-assessment; and

  • .10 in-service experience.

  6.6.4 Corrective action

  6.6.4.1 The RO shall without undue delay take action to eliminate the causes of non-conformities in order to prevent recurrence. Corrective actions shall be appropriate to the effects of the non-conformities encountered and address all actual or potential effects of these.

  6.6.4.2 A documented procedure shall be established to define requirements for:

  • .1 reviewing non-conformities (including complaints);

  • .2 determining the cause of non-conformities;

  • .3 evaluating the need for action to ensure that non-conformities do not recur;

  • .4 determining and implementing action needed;

  • .5 records of the results of action taken; and

  • .6 reviewing the effectiveness of the corrective action taken.

  6.6.5 Preventive action

  6.6.5.1 The RO shall take action to identify and eliminate the causes of potential non-conformities in order to prevent their occurrence. Preventive actions shall be appropriate to the nature and effects of the potential problems.

  6.6.5.2 A documented procedure shall be established to define requirements for:

  • .1 determining potential non-conformities and their causes;

  • .2 evaluating the need for action to prevent occurrence of non-conformities;

  • .3 determining and implementing action needed;

  • .4 records of results of action taken; and

  • .5 reviewing the effectiveness of the preventive action taken.

  6.6.5.3 Examples of such methodologies may include risk analyses, trend analyses, statistical process control, fault-tree analyses, failure modes and effects and criticality analyses.

Parent topic: Part 2 – Recognition and Authorization Requirements for Organizations
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