What is a Recognized organization? What are the salient features of the R.O. Code?

How do
Administrations monitor R.O.s?
SCOPE
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.
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).

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.
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.
Recognized organization (RO) means an organization that has been assessed by a flag
State, and found to comply with this part(Part 2) of the RO Code.
GENERAL REQUIREMENTS FOR RECOGNIZED ORGANIZATIONS:
1. 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. 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.
 3. 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 – mo conflict of interest- not be manufacturer, supplier, installer etc.
4. The personnel of ROs shall be free from any pressures, which might affect their
judgement in performing statutory certification and services – impartial
5. The RO shall be governed by the principles of ethical behaviour, which shall be
contained in a Code of Ethics
6. 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
7. The RO shall define and document the responsibilities, authorities, qualifications and
interrelation of personnel whose work affects the quality of its services
8. Should be transparent.

The RO shall, based on the provisions of this Code, develop and implement a quality
management system and shall continually improve its effectiveness.
The RO shall define and document its policy and objectives for, and commitment to,
quality, safety and pollution prevention.

Records shall be established to provide evidence of conformity to requirements of

this Code and of the effective operation of the quality management system
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:
a) verification and/or approval of documents and/or drawings relevant to the design;
b) approval and survey of materials and equipment;
c) survey during construction and installation;
d) survey during service; and
e) 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.
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.

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.
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 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, that the quality management system is effectively implemented
and maintained, and that a supervisory system is in place, which monitors statutory
certification and services. 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.
Part 3 of the RO Code provides guidance on flag State's oversight of ROs authorized to
perform statutory certification and services on its behalf.
Part 3 of the RO code is applicable to all flag States that have authorized ROs to
perform statutory certification and services. Part 3 includes flag State oversight
provisions and provides guidance, which is non-mandatory, to assist flag States in the
development and implementation of an effective oversight programme of ROs.
Oversight means any activity by a flag State carried out to assure an RO's service
complies with IMO and national requirements of the recognizing flag State.
Oversight
The flag State should establish or participate in an oversight programme with adequate
resources for monitoring of, and communication with, its RO(s) in order to ensure that
its international obligations are fully met, by:
1. exercising its authority to conduct supplementary surveys to ensure that ships entitled
to fly its flag in fact comply with the requirements of the applicable international
instruments;
2. conducting supplementary surveys as it deems necessary to ensure that ships entitled to
fly its flag comply with national requirements, which supplement the international
mandatory requirements; and
3. providing staff who have a good knowledge of the rules and regulations of the flag State
and the ROs and who are available to carry out effective oversight of the ROs.
The flag State should establish a system to ensure the adequacy of statutory certification
and services provided. Such a system should, inter alia, include the following items:
1. procedures for communication with the RO;
2. procedures for reporting to the flag State by the RO and the processing of such
reports by the flag State.
3. additional ship's inspections by the flag State;
4. appropriate technical and/or safety related consultations between ROs
5. the flag State's evaluation/acceptance of the certification of the RO's quality
management system by an independent body of auditors
6. monitoring and verification of statutory certification and services
7. a flag State accepting ships constructed without its involvement should establish that
an RO conducting statutory certification and services of the ship conforms to this
Code
8. for ships constructed without an identified flag State, the flag State specific
requirements should be verified prior to certification
The flag State should be satisfied that the RO has an effective quality management system
in place. The flag State may rely upon the audits carried out by an accredited certification
body or equivalent organizations.
The flag State should develop, implement, and manage an effective oversight programme of
the ROs that act on its behalf.
An oversight programme should include various monitoring activities, which may consist of
audits, inspections and audit observations.
Under the provisions of regulation I/6 of SOLAS 1974, article 13 of LL 66, regulation 6 of
MARPOL Annex I and regulation 8 of MARPOL Annex II and article 6 of TONNAGE 69, a
flag State may authorize an RO to act on its behalf in statutory certification and services
and determination of tonnages only to ships entitled to fly its flag as required by these
conventions.
APPENDIX 1 – Requirements for training and qualification of recognized organization's
technical staff
APPENDIX 2 – Specifications on the survey and certification functions of recognized
organizations acting on behalf of the flag state
APPENDIX 3 – Elements to be included in an agreement