5 Statutory Certification and Services Processes
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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 - 5 Statutory Certification and Services Processes

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 servicesfootnote;

  • .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.

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