Section 5 Quality Assurance Scheme for Machinery
Clasification Society 2024 - Version 9.40
Clasifications Register Rules and Regulations - Rules and Regulations for the Classification of Offshore Units, July 2022 - Part 5 Main and Auxiliary Machinery - Chapter 1 General Requirements for Offshore Units - Section 5 Quality Assurance Scheme for Machinery

Section 5 Quality Assurance Scheme for Machinery

5.1 General

5.1.1 This certification scheme is applicable to both individual and series produced items manufactured under closely controlled conditions and will be restricted to works where the employment of quality control procedures is well established. LR will have to be satisfied that the practices employed will ensure that the quality of finished products is to standards which would be demanded when using traditional survey techniques.

5.1.2 The Classification Committee will consider proposed designs for compliance with LR’s Rules or other appropriate requirements and the extent to which the manufacturing processes and control procedure ensure conformity of the product to the design. A comprehensive survey will be made by the Surveyors of the actual operation of the quality control programme and of the adequacy and competence of the staff to implement it.

5.1.3 The procedures and practices of manufacturers which have been granted approval will be kept under review.

5.1.4 Approval by another organisation will not be accepted as sufficient evidence that a manufacturer’s arrangements comply with LR’s requirements.

5.2 Requirements for approval

5.2.1  Facilities. The manufacturer is required to have adequate equipment and facilities for those operations appropriate to the level of design, development and manufacture being undertaken.

5.2.2  Experience. The manufacturer is to demonstrate that the firm has experience consistent with technology and complexity of the product type for which approval is sought and that the firm’s products have been of a consistently high standard.

5.2.3  Quality policy. The manufacturer is to define management policies and objectives or quality and ensure that these policies and objectives are implemented and maintained throughout all phases of the work.

5.2.4  Quality system documentation. The manufacturer is to establish and maintain a documented quality system capable of ensuring that material or services conform to the specified requirements, including the requirements of this Section.

5.2.5  Management representative. The manufacturer is to appoint a management representative, preferably independent of other functions, who is to have defined authority and responsibilities for the implementation and maintenance of the quality system.

5.2.6  Responsibility and authority. The responsibilities and authorities of senior personnel within the quality system are to be clearly documented.

5.2.7  Internal audit. The manufacturer is to conduct internal audits to ensure continued adherence to the system. An audit programme is to be established with audit frequencies scheduled on the basis of the status and importance of the activity and adjusted on the basis of previous results.

5.2.8  Management review. The quality system established in accordance with the requirements of this Section is to be systematically reviewed at appropriate intervals by the manufacturer to ensure its continued effectiveness. Records of such management reviews are to be maintained and be made available to the Surveyors.

5.2.9  Contract review. The manufacturer is to establish and implement procedures for conducting a contract review prior to and after acceptance to ensure that:
  1. the requirements of the contract are adequately defined and documented;
  2. any requirements differing from those specified in the original enquiry/tender are resolved; and
  3. the manufacturer has the capability to meet and verify compliance to the specified requirements.

5.2.10  Work instruction. The manufacturer is to establish and maintain clear and complete written work instructions that prescribe the communication of specified requirements and the performance of work in design, development and manufacture which would be adversely affected by lack of such instructions.

5.2.11  Documentation and change control. The manufacturer is to establish and maintain control of all documentation that relates to the requirements of this scheme. This control is to ensure that:
  1. documents are reviewed and approved for adequacy by authorised personnel prior to use, are uniquely identified and include indication of approval and revision status;
  2. all changes to documentation are in writing and are processed in a manner that will ensure their availability at the appropriate location and preclude the use of nonapplicable documents;
  3. provision is made for the prompt removal of obsolete documentation from all points of issue or use; and
  4. documents are to be re-issued after a practical number of changes have been issued.

5.2.12  Records. The manufacturer is to develop and maintain a system for collection, use and storage of quality records. The period of retention of such records is to be established in writing and is to be subject to agreement by the Classification Committee.

5.2.13  Design. The manufacturer is to establish and maintain a design control system appropriate to the level of design being undertaken. Documented design procedures are to be established which:
  1. identify the design practices of the manufacturer’s organisation including departmental instructions to ensure the orderly and controlled preparation of design and subsequent verification;
  2. make provision for the identification, documentation and appropriate approval of all design change and modifications;
  3. prescribe methods for resolving incomplete, ambiguous or conflicting requirements; and
  4. identify design inputs such as sources of data, preferred standard parts or materials and design information and provide procedures for their selection and review by the manufacturer for adequacy.

5.2.14  Purchasing. The manufacturer is to ensure that purchased material and services conform to specified requirements.

5.2.15  Selection and approval of sub-contractors and suppliers. The manufacturer is to establish and maintain records of acceptable suppliers and sub-contractors. The selection of such sources, and the type and extent of control exercised, are to be appropriate to the type of product or service and the suppliers’ or sub-contractors’ previously demonstrated capability and performance. Documented procedures for approval of new suppliers are to be established and records of vendor assessments (where carried out) are to be maintained and made available to the Surveyors upon request.

5.2.16  Purchasing data. Each purchasing document should contain a clear description of the material or service ordered, including, as applicable, the following:
  1. The type, class, grade, or other precise identification;
  2. The title or other positive identification and applicable issue of specifications, drawings, process requirements, inspection instructions and other relevant data.

5.2.17  Verification of purchased material and services. The manufacturer is to ensure that the Surveyors are afforded the right to verify at source or upon receipt that purchased material and services conform to specified requirements. Verification by the Surveyors shall not relieve the manufacturer of his responsibility to provide acceptable material nor is it to preclude subsequent rejection.

5.2.18  Product identification. The manufacturer is to establish and maintain a system for identification of the product to relevant drawings, specifications or other documents during all stages of production, delivery and installation.

5.2.19  Manufacturing control. The manufacturer is to ensure that those operations which directly affect quality are carried out under controlled conditions. These are to include the following:
  1. Written work instructions wherever the absence of such instructions could adversely affect compliance with specified requirements. These should define the method of monitoring and control of product characteristics.
  2. Established criteria for workmanship through written standards or representative samples.

5.2.20  Special processes. Those processes where effectiveness cannot be verified by subsequent inspection and test of the product are to be subjected to continuous monitoring in accordance with documented procedures, in addition to the requirements specified in Pt 5, Ch 1, 6.2 Guidance for spare parts.

5.2.21  Receiving inspection. The manufacturer is to ensure that all incoming material is not to be used or processed until it has been inspected or otherwise verified as conforming to specified requirements. In establishing the amount and nature of receiving inspection, consideration is to be given to the control exercised by the supplier and documented evidence of quality conformance supplied.

5.2.22  In-process inspection. The manufacturer is to:
  1. perform inspection during manufacture on all characteristics that cannot be inspected at a later stage;
  2. inspect, test and identify products in accordance with specified requirements;
  3. establish product conformance to specified requirements by use of process monitoring and control methods where appropriate;
  4. hold products until the required inspections and tests are completed and verified; and
  5. clearly identify non-conforming products to prevent unauthorised use, shipment, or mixing with conforming material.
5.2.23  Final inspection. The manufacturer is to perform all inspections and tests on the finished product necessary to complete the evidence of conformance to the specified requirements. The procedures for final inspection and test are to ensure that:
  1. all activities defined in the specification, quality plan or other documented procedure have been completed;
  2. all inspections and tests that should have been conducted at earlier stages have been completed and that the data is acceptable; and
  3. no product is to be dispatched until all the activities defined in the specifications, quality plan or other documented procedure have been completed, unless products have been released with the permission of the Surveyors.

5.2.24  Inspection equipment. The manufacturer is to be responsible for providing, controlling, calibrating and maintaining the inspection, measuring and test equipment necessary to demonstrate the conformance of material and services to the specified requirements or used as part of the manufacturing control system required by Pt 5, Ch 1, 5.2 Requirements for approval 5.2.19 and Pt 5, Ch 1, 5.2 Requirements for approval 5.2.20.

5.2.25  Inspection and test status. The manufacturer is to establish and maintain a system for the identification of inspection status of all material, components and assemblies by suitable means which distinguish between conforming, non-conforming and uninspected items. The relevant inspection and test procedures and records are to identify the authority responsible for the release of conforming products.

5.2.26  Control of non-conforming material.
  1. The manufacturer is to establish and maintain procedures to ensure that material that does not conform to the specified requirements is controlled to prevent inadvertent use, mixing or shipment. Repair, rework or concessions on non-conforming material and re-inspection are to be in accordance with documented procedures.
  2. Records clearly identifying the material, the nature and extent of non-conformance and the disposition are to be maintained.

5.2.27  Sampling procedures. Where sampling techniques are used by the manufacturer to verify the acceptability of groups of products, the procedures adopted are to be in accordance with the specified requirements or are to be subject to agreement by the Surveyors.

5.2.28  Corrective action. The manufacturer is to establish and maintain documented procedures for the review of non-conformances and their disposition. These should provide for:
  1. monitoring of process and work operations and analysis of records to detect and eliminate potential causes of non-conforming material;
  2. continuing analysis of concessions granted and material scrapped or reworked to determine causes and the corrective action required;
  3. an analysis of customer complaints;
  4. the initiation of appropriate action with suppliers or subcontractors with regard to receipt of non-conforming material; and
  5. an assurance that corrective actions are effective.

5.2.29  Purchaser supplied material. The manufacturer is to establish and maintain documented procedures for the control of purchaser supplied material.

5.2.30  Handling, storage, and delivery:
  1. The manufacturer is to establish and maintain a system for the identification preservation, segregation and handling of all material from the time of receipt through the entire production process. The system is to include methods of handling that prevent abuse, misuse, damage or deterioration.
  2. Secure storage areas or rooms are to be provided to isolate and protect material pending use. To detect deterioration at an early stage, the condition of material is to be periodically assessed.
  3. The manufacturer is to arrange for the protection of the quality of his product during transit. The manufacturer is to ensure, in so far as it is practicable, the safe arrival and ready identification of the product at destination.

5.2.31  Training. The manufacturer is to follow a policy for recruitment and training which provides an adequate labour force with such skills as are required for each type of work operation. Appropriate records are to be maintained to demonstrate that all personnel performing process control, special processes inspection and test or quality system maintenance activities have appropriate experience or training.

5.3 Arrangements for acceptance and certification of purchased material

5.3.1 The manufacturer is to establish and maintain procedures and controls to ensure compliance with LR’s requirements for certification of materials and components at the supplier’s plant. The manufacturer’s system for control of such purchased material may be based on one of the following alternatives, subject to the approval of LR:

  1. Product certification by LR’s Surveyors at the supplier’s works in accordance with the requirements of the Rules for Materials.
  2. Agreed Inspection Procedures at the manufacturer’s plant combined with documentary evidence of vendor assessments, vendor rating records and annual surveillance visits to the suppliers.
  3. Recognition of quality agreements between the manufacturer and his suppliers which are to provide for initial vendor assessments and regular surveillance visits (a minimum of four per year). The quality agreement must identify the individual in the supplier’s plant who is charged with the responsibility for release of materials or components and the procedures to be adopted.
5.3.2 The alternatives proposed in Pt 5, Ch 1, 5.3 Arrangements for acceptance and certification of purchased material 5.3.1.(b) and Pt 5, Ch 1, 5.3 Arrangements for acceptance and certification of purchased material 5.3.1.(c) are not acceptable to LR for the following items:
  1. Engine components for which testing is a Rule requirement; and
    1. the cylinder bore is equal to or exceeds 300 mm; or
    2. which are made by open forging techniques.
  2. Cast crankshafts where the journal diameter exceeds 85 mm.

5.3.3 Where the manufacturer’s system for control of purchased material is based upon Pt 6, Ch 1, 3 Ergonomics of control stations, the Surveyors shall also make surveillance visits to the supplier’s works at the minimum specified intervals. The manufacturer is also to make available to the Surveyors documentary evidence of the operation of quality agreements or Agreed Inspection Procedures where applicable.

5.4 Information required for approval

5.4.1 Manufacturers applying for approval under this scheme are to submit the following information:
  1. A description of the products for which certification is required including, where applicable, model or type number.
  2. Applicable plans and details of material used.
  3. An outline description of all important manufacturing plant and equipment.
  4. A summary of equipment used for measuring and testing during manufacture and completion.
  5. The Quality Manual.
  6. A typical production flow chart and quality plan covering all stages from ordering of materials to delivery of the finished product.
  7. The system used for the identification of raw materials, semi-finished and finished products.
  8. The number and qualifications of all staff engaged in testing, inspection and quality control duties.
  9. A list of suppliers of components and manufacturers, proposed procedures to ensure compliance with LR’s requirements for certification of materials and components at the supplier’s plant.

5.5 Assessment of works

5.5.1 After receipt and appraisal of the information requested in Pt 5, Ch 1, 5.4 Information required for approval, an inspection of the works is to be carried out by the Surveyors to examine in detail all aspects of production, and in particular the arrangements for quality control.

5.5.2 The Surveyors will not specify in detail acceptable quality control procedures, but will consider the arrangements proposed by the works in relation to the manufacturing processes and products.

5.5.3 In the event of procedures being considered inadequate, the Surveyors will advise the manufacturer how such procedures are to be revised in order to be acceptable to LR.

5.5.4 Gauging, measuring and testing devices are to be made available to the Surveyors, and where appropriate, personnel for the operation of such devices.

5.6 Approval of works

5.6.1 If the initial assessment of the works confirms that the manufacturing and quality control procedures are satisfactory, the Classification Committee will issue to the manufacturer a Quality Assurance Approval Certificate which will include details of the products for which approval has been given. This Certificate will be valid for three years with renewal subject to satisfactory performance and to a satisfactory triennial reassessment.

5.6.2 An extension of approval in respect of product type may be given at the discretion of the Classification Committee without any additional survey of the works.

5.6.3 LR will publish a list of manufacturers whose works have been approved.

5.7 Maintenance of approval

5.7.1 The arrangements authorised at each works are to be kept under review by the Surveyors in order to ensure that the approved procedures for manufacture and quality control are being maintained in a satisfactory manner. This is to be carried out by:
  1. regular and systematic surveillance;
  2. intermediate audits at intervals of six months;
  3. triennial reassessment of the entire quality system.

5.7.2 For the purpose of regular and systematic surveillance, the Surveyors are to visit the works at intervals determined by the type of product and the rate of production. The Surveyors are to advise a senior member of the quality control department in regard to any matter with which they are not satisfied.

5.7.3 When minor deficiencies in the approved procedures are disclosed during the systematic surveillance the Surveyors may, at their discretion, apply more intensive supervision, including the direct inspection of products.

5.7.4 Any noteworthy departures from the approved plans of specifications are to be reported to the Surveyors and their written approval obtained prior to despatch of the item.

5.7.5 Minor alterations in the approved procedures may be permitted provided that the Surveyors are advised and their prior concurrence obtained.

5.7.6 In addition to the regular visits by the Surveyors, an intermediate audit is to be carried out every six months. This will normally be carried out by Surveyors other than those regularly in attendance at the works. This audit is to consist of an examination of part of the manufacturer’s quality system. An audit plan will be established indicating those areas of the quality system which will be examined during every intermediate audit and the frequency of examination of other areas such that all areas are subject to audit before reassessment is due.

5.7.7 The manufacturer’s entire quality system is to be subject to reassessment at three-yearly intervals. This is to be conducted by Surveyors nominated by LR.

5.8 Suspension or withdrawal of approval

5.8.1 When the Surveyors have drawn attention to significant faults or deficiencies in the manufacturing or quality control procedures and these have not been rectified, approval of the works will be suspended. In these circumstances, the manufacturer will be notified in writing of the Classification Committee’s reasons for the suspension of approval.

5.8.2 When approval has been suspended and the manufacturer does not effect corrective measures within a reasonable time, the Classification Committee will withdraw the Quality Assurance Approval Certificate.

5.9 Identification of products

5.9.1 In addition to the normal marking by the manufacturer, all certified products are to be hard stamped on a principal component with a suitable identification, LR’s brand and the number of the approved works.

5.9.2 After issue of the Quality Assurance Approval Certificate, products may be dispatched with certificates signed on behalf of the manufacturer by an authorised senior member of the quality control department or by an authorised deputy. These certificates are to be countersigned by the Surveyor to certify that the approved arrangements are being kept under review by regular and systematic auditing of the manufacturer’s quality system.

5.9.3 The following declarations are to be included on each certificate:
  1. ‘This is to certify that the items described above have been constructed and tested with satisfactory results in accordance with the Rules of LIoyd’s Register. Signed...................................................... Manager of QC Department.’
  2. ‘This certificate is issued by the manufacturer in accordance with the arrangements authorised by Lloyd’s Register in Quality Assurance Approval Certificate No. QA.M................................... I certify that these arrangements are being kept under review by regular and systematic auditing of the approved manufacturing and quality control procedures. Signed....................................................... Surveyor to Lloyd’s Register’.

5.9.4 In the event of noteworthy departures from the approved plan or specification being accepted, a standard ‘Concession’ form is to be completed and signed by the following authorised persons: the design Manager, the Quality Control Manager or their deputies. In all cases, where strength or functioning may be affected, the form is to be submitted to the Surveyors for approval and endorsement.


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