RESOLUTION MSC.349(92)-RO-Code.pdf

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MSC 92/26/Add.1
Annex 1, page 1
ANNEX 1
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;
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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.
***
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ANNEX
CODE FOR RECOGNIZED ORGANIZATIONS (RO CODE)
Contents
PREAMBLE
PART 1 – GENERAL
1
2
3
4
5
6
PURPOSE
SCOPE
CONTENTS
DELEGATION OF AUTHORITY
COMMUNICATION OF INFORMATION
REFERENCES
PART 2 – RECOGNITION AND AUTHORIZATION REQUIREMENTS FOR ORGANIZATIONS
1
2
TERMS AND DEFINITIONS
GENERAL REQUIREMENTS FOR RECOGNIZED ORGANIZATIONS
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
3
General
Rules and Regulations
Independence
Impartiality
Integrity
Competence
Responsibility
Transparency
MANAGEMENT AND ORGANIZATION
3.1
3.2
3.3
3.4
3.5
3.6
3.7
3.8
3.9
General
Quality safety and pollution prevention policy
Documentation requirements
Quality manual
Control of documents
Control of records
Planning
Organization
Communication
3.9.1
Internal communication
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3.9.2
3.9.3
3.10
Communication/cooperation with flag State
Cooperation between ROs
Management review
3.10.1
3.10.2
3.10.3
General
Review input
Review output
4
RESOURCES
4.1
4.2
4.3
4.4
General
Personnel
Infrastructure
Work environment
5
STATUTORY CERTIFICATION AND SERVICES PROCESSES
5.1
5.2
5.3
5.4
5.5
5.6
5.7
5.8
5.9
5.10
5.11
5.12
General
Design and development
Design and development inputs
Design and development outputs
Design and development verification
Control of design and development changes
Control of production and service provisions
Property of clients
Subcontracting and service suppliers
Control of monitoring and measuring devices
Complaints
Appeals
6
PERFORMANCE MEASUREMENT, ANALYSIS AND IMPROVEMENT
6.1
6.2
6.3
6.4
6.5
General
Internal audit
Vertical contract audit
Monitoring and measurement of processes
Control, monitoring and measurement of non-conformities; including
statutory deficiencies
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6.6
Improvement
6.6.1
6.6.2
6.6.3
6.6.4
6.6.5
7
8
General
Data analysis
Sources of information
Corrective action
Preventative action
QUALITY MANAGEMENT SYSTEM CERTIFICATION
AUTHORIZATION OF RECOGNIZED ORGANIZATIONS
8.1
8.2
8.3
8.4
8.5
8.6
8.7
General
Legal basis of the functions under authorization
Specification of authorization
Resources
Instruments
Instructions
Records
PART 3 – OVERSIGHT OF RECOGNIZED ORGANIZATIONS
1
PURPOSE
2
3
4
5
SCOPE
REFERENCES
TERMS AND DEFINITIONS
ESTABLISHING AN OVERSIGHT PROGRAMME
5.1
5.2
5.3
Oversight
The flag State's supervision of duties delegated to an RO
Verification and monitoring
6
7
PRINCIPLES OF AUDITING
MANAGING AN OVERSIGHT PROGRAMME
7.1
7.2
General
Oversight programme objectives and extent
7.2.1
7.2.2
Objectives of an oversight programme
Extent of an oversight programme
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