Section 4 Quality Assurance Scheme for components of lifting appliance systems

4.1.1 Quality assurance scheme for components of lifting appliance systems (QAL) is an alternative approach for product assurance to direct survey and certification of lifting appliance components and equipment required by the Code. Under the QAL LR will consider the extent to which manufacturing processes and control procedures ensure conformity of that component with the Code.

4.1.2 The QAL is part of the broader Quality Assurance Engineering Schemes (QAES), which is the overarching portfolio for all audit-based survey and certification services to manufacturers. Details of how these schemes are operated are provided in LR’sShipRight Procedure Approval of a Manufacturer according to Quality Assurance Engineering Schemes (QAES).

4.1.3 This QAL is applicable to items manufactured under closely controlled conditions. The products for which the QAL is applicable are provided in LR’s ShipRight Procedure Approval of a Manufacturer according to Quality Assurance Engineering Schemes (QAES) scoping all QA scheme services under the LR Quality Assurance Engineering Schemes (QAES). Examples for such components are provided in the following:

1. Items of loose gear, such as hooks, hook blocks, spreaders, lifting beams, shackles and swivels (see Ch 8 Fittings, Loose Gear and Ropes as applicable).
2. Items of machinery, such as winches, bearings and hydraulic cylinders (see Ch 9 Machinery as applicable).
3. Steel wire ropes (see Ch 8 Fittings, Loose Gear and Ropes as applicable).
4. Electrotechnical components (see Ch 10 Electrotechnical Systems as applicable and relevant Parts of applicable releases of LR’s Rules and Regulations for the Classification of Ships, July 2022).

4.1.4 The applicability of the QAL is to be agreed with LR in each case.

4.1.5 The QAL does not reduce or eliminate the requirements for design, survey, fabrication, marking and testing to be adhered to in accordance with the Code. The requirement for plan appraisal of individual components as listed in Ch 1, 4.1 General 4.1.3 remains applicable.

4.1.6 In addition to the QAL product certificates issued by the manufacturer, the required statutory certificates (e.g. LA.3 and LA.4) will still be issued by LR based on the issued QAL product certificates, as applicable.

4.2.1 The following definitions apply in the context of this Section.

4.2.2 QAL audit

An audit, conducted by LR at the manufacturer’s, or their supplier’s or sub-contractor’s, works, of their products and/or processes, which may include direct survey, to provide confidence that products are manufactured, tested and inspected in accordance with the requirements of the Code. Periodicity of surveillance audits is as agreed in the QAL Certification Schedule, see LR's ShipRight Procedure Approval of a Manufacturer according to Quality Assurance Engineering Schemes (QAES) .

4.2.3 Assessment

A review, conducted by LR, of evidence gained through several sources, such as documentation, submitted by the manufacturer, supplier or subcontractor, and regular QAL audit reports, to verify that products are manufactured, tested and inspected in accordance with the Code.

4.2.4 Manufacturer

A company who contracts to supply components or equipment products to a customer or user and applies for approval under the QAL.

4.2.5 Supplier

A company who contracts to supply materials, components or equipment products to the manufacturer applying for approval under the QAL.

4.2.6 Sub-contractor

A company who contracts to deliver a service to a supplier or manufacturer under the agreed QAL arrangements.

4.3.1 A manufacturer may apply to be approved under the QAL where the following requirements are met:

1. The manufacturer has a quality management system which has been certified as meeting the requirements of ISO 9001 Quality Management Systems - Requirements, or an industry-specific equivalent standard, by a certification body accredited by a member of the International Accreditation Forum and recognised by LR.
2. The manufacturer has processes in place suitable for the products to be certified under the QAL.
3. The manufacturer has a satisfactory and documented history of quality performance in the supply of products for which certification under the QAL is requested.

4.3.2 The scope and arrangements for survey, identification and certification of products covered by the QAL are to be agreed with LR and will be detailed in a Scheme Certification Schedule. The survey will be based on a technical process audit approach, focussing on product realisation. A direct survey may also be used where it is considered appropriate to do so.

4.3.3 The QAL procedures given in the applicable LR ShipRight Procedure Approval of a Manufacturer According to Quality Assurance Engineering Schemes (QAES) are to be complied with.

4.3.4 Where LR is satisfied that the manufacturer meets all the requirements of the QAL, and that it is appropriate for the products being manufactured, LR will issue the manufacturer with a QAL Certificate which will list products covered under QA scheme application.

4.3.5 LR reserves the right to carry out unscheduled audits, with appropriate notice, at the manufacturer’s works or their suppliers’ and sub-contractors’ works.

4.3.6 Once every three years, a full re-certification assessment of QAL compliance, including an audit of the manufacturer’s works, will be conducted by LR.

4.3.7 The manufacturer is to advise LR of changes to the product, processes, suppliers or sub-contractors which would affect compliance with the QAL or the Code. Any deviations from the approved plans or specifications are to be reported to LR and written approval obtained prior to dispatch of the items.

4.3.8 Where it is considered that the manufacturer no longer meets the approval requirements for the QAL, the QAL Approval Certificate will be suspended. In these circumstances, the manufacturer will be notified in writing of LR’s reasons for suspension of the scheme and the manufacturer will revert to direct survey.

4.3.9 QAL product certificates

Where the manufacturer is approved according to the QAL, they will be entitled to issue ‘QAL product certificates’. These certificates are to clearly detail the product being certified and are to be validated by an authorised representative of the manufacturer. They are to bear the QAL mark, QAL approval number and statements by the manufacturer cartifying that the product has been made by an approved process in accordance with LR's Rules and that the certificate is issued in accordance with the requirements of the QAL. Details regarding these statements are further described in LR's ShipRight Procedure Approval of a Manufacturer according to Quality Assurance Engineering Schemes (QAES).

4.3.10 The certificate format is to be approved by LR. Variations in the wording of the statements are permitted with written approval from LR.

4.3.11 The process of issue of the certificates, including if they are electronic or hardcopy, will be agreed by LR based on the systems in place at the manufacturer.

4.3.12 Copies of all certificates are to be supplied to LR by an agreed means and frequency.

4.3.13 Where a certificate is issued according to the QAL requirements it is considered equivalent to an LR Certificate issued under direct survey.

4.4.1 The manufacturer is to establish and maintain procedures and controls to ensure compliance with LR’s requirements for certification of products from its suppliers. The manufacturer is to ensure that purchased products that are required to be certified are in accordance with Ch 1, 1.6 Materials and fabrication and Ch 11 Materials and Fabrication of the Code.

4.4.2 The aspects of design, survey and testing of the components, as listed in Ch 1, 4.1 General 4.1.3, are required to comply with the requirements of the relevant Chapters of the Code.

4.4.3  For each product under the QAL it is required to consider whether the lifting appliance, such product will be supplied, is itself subject to certification or classification. The requirements for certification or classification also apply to the product under the QAL. For certification, reference is made to the requirements of the relevant product type related Chapters of the Code as well as Ch 1, 1.2 Certification, Ch 10 Electrotechnical Systems, Ch 11 Materials and Fabrication, Ch 12 Testing, Marking and Surveys, Ch 13, 2 Certification procedure and Table 13.2.1 Minimum requirements for the certification of lifting appliances. For classification, reference is made to the requirements of the relevant product type related Chapters of the Code as well as Ch 1, 1.3 Classification, Ch 10 Electrotechnical Systems, Ch 11 Materials and Fabrication, Ch 12 Testing, Marking and Surveys, Ch 13, 3 Classification procedure and Table 13.3.1 Minimum requirements for the classification of lifting appliances.