3 Management and Organization
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 - 3 Management and Organization

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

  • .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 Organizationfootnote.

  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.

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