CONFLICT OF INTEREST MANAGEMENT FOR PLAN APPROVAL
INTRODUCTION
Introduction
An affiliate of Recognised Organisation (RO) SA, namely Recognised Organisation (RO) SOLUTIONS M&O, may provide consultancy services to shipowners, shipyards and design offices.
CONFLICT OF INTEREST may arise with Recognised Organisation (RO) M&O activities when Recognised Organisation (RO) SOLUTIONS M&O provides consultancy services to shipowners, shipyards or design offices engaged in the design, construction or operation particularly of a UNIT intended to be classed or certified by Recognised Organisation (RO) M&O. In such case, CONFLICT OF INTEREST shall be mitigated or prevented with regards to the criteria of Regulation (EC) N° 391/2009 of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations.
DEFINITIONS AND APPLICATION
Definitions
| Recognised Organisation (RO) M&O: Recognised Organisation (RO) M&O: | Recognised Organisation (RO) M&O Recognised Organisation (RO) M&O |
| Recognised Organisation (RO) SOLUTIONS M&O: Recognised Organisation (RO) SOLUTIONS M&O: | Recognised Organisation (RO) SOLUTIONS M&O. Recognised Organisation (RO) SOLUTIONS M&O. |
| CONFLICT OF INTEREST: CONFLICT OF INTEREST: | Loss of INDEPENDENCE and/or IMPARTIALITY
for surveyors during the performance of the classification and certification
activities. Loss of INDEPENDENCE and/or IMPARTIALITY for surveyors during the performance of the classification and certification activities. |
| DESIGN DESIGN | DESIGN is a stand-alone set of drawings
specifying scantlings and arrangements as well as mechanical and
electrical systems for the safe operation of a UNIT. Stability documentation
is part of the DESIGN.Within the present procedure,
the DESIGN does not include DESIGN EVALUATION or RISK ANALYSIS deliverables
(see below) that support the DESIGN. DESIGN is a stand-alone set of drawings specifying scantlings and arrangements as well as mechanical and electrical systems for the safe operation of a UNIT. Stability documentation is part of the DESIGN. Within the present procedure, the DESIGN does not include DESIGN EVALUATION or RISK ANALYSIS deliverables (see below) that support the DESIGN. |
| DESIGN EVALUATION DESIGN EVALUATION | Action of making a technical evaluation
on the DESIGN. The DESIGN EVALUATION activities are not part of
the DESIGN but support the DESIGN. The DESIGN EVALUATION activities
may be performed by the DESIGNER, or any experts contracted by the
DESIGNER.The DESIGN EVALUATION deliverables may be
reports, notes, calculation booklet, documents reporting the DESIGN
EVALUATION activities carried out. Action of making a technical evaluation on the DESIGN. The DESIGN EVALUATION activities are not part of the DESIGN but support the DESIGN. The DESIGN EVALUATION activities may be performed by the DESIGNER, or any experts contracted by the DESIGNER. The DESIGN EVALUATION deliverables may be reports, notes, calculation booklet, documents reporting the DESIGN EVALUATION activities carried out. |
| DESIGNER DESIGNER | Person / staff / organization who provides
the DESIGN as mentioned above, or part of it. Person / staff / organization who provides the DESIGN as mentioned above, or part of it. |
| INDEPENDENCE INDEPENDENCE | IMO RO Code 349(92)The
staff shall not engage in any activities that may conflict with
their independence of judgment and integrity in relation to their
statutory certification and services. The staff responsible for
carrying out the statutory certification shall not be the DESIGNER,
manufacturer, supplier, installer, purchaser, owner, user or maintainer
of the item subject to the statutory certification and services,
nor the authorized representative of any of these parties.
European Accreditation EA-2/20 G:2020 and ISO 17000Freedom
of a person or organization from the control or authority of another person
or organization. For example, a conformity assessment body is to
be independent from the person who is the object of conformity assessment
or from the organization providing the object conformity assessment.
The staff shall not engage in any activities that may conflict with their independence of judgment and integrity in relation to their statutory certification and services. The staff responsible for carrying out the statutory certification shall not be the DESIGNER, manufacturer, supplier, installer, purchaser, owner, user or maintainer of the item subject to the statutory certification and services, nor the authorized representative of any of these parties.
Freedom of a person or organization from the control or authority of another person or organization. For example, a conformity assessment body is to be independent from the person who is the object of conformity assessment or from the organization providing the object conformity assessment. |
| IMPARTIALITY IMPARTIALITY | IMO RO Code 349(92)The
personnel shall be free from any pressures, which might affect their judgement
in performing statutory certification.
The personnel shall be free from any pressures, which might affect their judgement in performing statutory certification. |
| RISK ANALYSIS RISK ANALYSIS | Within the present procedure, risk analysis
is a process that may be required by the applicable rules and regulations
or voluntarily applied to advise the DESIGNER on the risks of a
specific DESIGN and the associated risk mitigation options. Within the present procedure, risk analysis is a process that may be required by the applicable rules and regulations or voluntarily applied to advise the DESIGNER on the risks of a specific DESIGN and the associated risk mitigation options. |
| SLA SLA | Service Level Agreement Service Level Agreement |
| UNIT UNIT | UNIT means any ship or vessel or offshore
unit or structure of any type or part of it or system whether linked
to shore, river bed or sea bed or not, whether operated or located
at sea or in inland waters or partly on land, including submarines,
overcrafts, drilling rigs, offshore installations of any type and
of any purpose, their related and ancillary equipment, subsea or
not, such as well head and pipelines, mooring legs and mooring points
or otherwise as decided by the Society. UNIT means any ship or vessel or offshore unit or structure of any type or part of it or system whether linked to shore, river bed or sea bed or not, whether operated or located at sea or in inland waters or partly on land, including submarines, overcrafts, drilling rigs, offshore installations of any type and of any purpose, their related and ancillary equipment, subsea or not, such as well head and pipelines, mooring legs and mooring points or otherwise as decided by the Society. |
Application
This procedure applies to plan approval activities worldwide. The purpose of this procedure is to give instructions and safeguards to preserve INDEPENDENCE and IMPARTIALITY of Recognised Organisation (RO) M&O surveyors (i.a. plan approval surveyors, R&D experts, ATRC…) involved in classification or certification services within the scope of Recognised Organisation (RO) M&O General Conditions.
Any deviation from this procedure is subject to validation by the Recognised Organisation (RO) M&O Ethics Committee, as defined in the “Recognised Organisation (RO) M&O Legal, Risks & Compliance Handbook” and “Recognised Organisation (RO) M&O Master Approval Matrix”.
References
IMO MEPC.237(65): Code for Recognized Organizations (RO code).
Regulation (EC) N° 391/2009 of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organizations.
Regulation (EC) N° 391/2009 of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organizations.
Recognised Organisation (RO) – Code of Ethics.
Recognised Organisation (RO) M&O General Conditions.
Recognised Organisation (RO) M&O the related management procedure procedure (sections 9.1.1 & 9.4): Organization and Operating of Marine & Offshore Division.
Recognised Organisation (RO) M&O the related management procedure procedure: Performance of Second Party Services vs Classification and Regulatory Services - Safeguards in Relation to Impartiality risks.
Recognised Organisation (RO) M&O the local plan approval office procedure procedure: Organization and responsibilities in local plan approval offices (LPO).
Recognised Organisation (RO) M&O the related technical procedure instruction: Use of electronic stamps.
PLAN APPROVAL PRINCIPLES FOR DOCUMENTS ESTABLISHED BY Recognised Organisation (RO) SOLUTIONS M&O
DESIGN
DESIGN established by Recognised Organisation (RO) SOLUTIONS M&O must not be reviewed and approved for UNITS to be classed or certified by Recognised Organisation (RO) M&O.
DESIGN EVALUATION
DESIGN EVALUATION deliverables, established by Recognised Organisation (RO) SOLUTIONS M&O for UNITS to be classed or certified by Recognised Organisation (RO) M&O, must not be reviewed and approved (*) as part of classification services under Recognised Organisation (RO) Rules or statutory services.
Plan approval surveyor must perform his own assessment, verifications or analyses, to an extent that is deemed sufficient by the surveyor (**), to review and approve the DESIGN. The extent and scope of review is to be in accordance with the Recognised Organisation (RO) M&O Quality procedures and internal instructions provided by Head Office, when available. Evidence of plan approval surveyor verifications or analyses (e.g. independent calculation, comments on the DESIGN, report monitoring…) are to be recorded.
Surveyors are empowered to issue any documents (letter, attestation, examination report…) on behalf of Recognised Organisation (RO) M&O, reporting the results of their examination (including results of analysis) and concluding on the compliance of the UNIT against the applicable Rules and Regulations within the framework of the classification or statutory services.
Notes:
(*) Recognised Organisation (RO) SOLUTIONS M&O shaft alignment calculation report might be considered for information and stamp 02/02b might be used as per the related technical procedure, as deemed appropriate.
(**) It is recalled that according to Regulation (EC) N° 391/2009, criteria B9, Recognised Organisation (RO) M&O is to remain in a position to derive from its own direct knowledge and judgment a reliable and objective declaration on the safety of the ships concerned by means of class certificates on the basis of which statutory certificates can be issued.
RISK ANALYSIS
Recognised Organisation (RO) SOLUTIONS M&O may facilitate workshops for RISK ANALYSIS and issue deliverables accordingly.
Recognised Organisation (RO) M&O surveyor may attend these workshops as independent experts, knowledgeable of rules and regulations applicable to the specific topic.
The deliverables of RISK ANALYSIS must not be approved and not stamped unless stamps 02/02b only (as per the related technical procedure) are used, as deemed appropriate.
activities Subcontracted by Recognised Organisation (RO) SOLUTIONS M&O to Recognised Organisation (RO) M&O
General
Under this scenario, Recognised Organisation (RO) SOLUTIONS M&O is the contracting or managing office. Recognised Organisation (RO) M&O is the performing office and provide subcontracted resources to Recognised Organisation (RO) SOLUTIONS M&O.
Advisory activities cover the participation in the designing, manufacturing, installation, of a UNIT.
Recognised Organisation (RO) SOLUTIONS M&O advisory activities shall not cover the scope of classification and statutory intervention of Recognised Organisation (RO) M&O.
Advisory activities
Recognised Organisation (RO) SOLUTIONS M&O, providing advisory services for the specific UNIT to be classed/certified or classed/certified by Recognised Organisation (RO) M&O, may request to subcontract advisory activities to Recognised Organisation (RO) M&O surveyors under the conditions set out in the former paragraphs.
The subcontracted service shall be implemented through a SLA between both entities. The SLA is mandatory.
The surveyor involved in providing the advisory activity (as subcontracted resources to Recognised Organisation (RO) SOLUTIONS M&O) must not be involved in classification or certification for the same UNIT for a period of 2 years after the end of the subcontracted activity.
Third-party activity
Recognised Organisation (RO) SOLUTIONS M&O, providing advisory services for the specific UNIT to be classed/certified or classed/certified by Recognised Organisation (RO) M&O, may request to contract third-party activities (i.e. no participation in designing, manufacturing, and installation of the UNIT) to a Recognised Organisation (RO) M&O surveyor.
The subcontracted service shall be implemented through a SLA between both entities. The SLA is mandatory.
ACTIVITIES SUBCONTRACTED BY Recognised Organisation (RO) M&O TO Recognised Organisation (RO) SOLUTIONS M&O
General
Classification and Statutory Certification services are to be carried out by exclusive surveyors of Recognised Organisation (RO) M&O. Subcontracting Classification and Statutory Certification activities, even partly, to Recognised Organisation (RO) SOLUTIONS M&O is not allowed.
APPENDIX
GUIDELINES
Guidelines for non-class services - Process flow diagram.pdf
Guidelines for Design Review - Process flow diagram.pdf