RO SCHEME - Recognition for alternative survey scheme (RO Mode I)

Revision of 29 April 2026

General

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The alternative survey scheme called Recognised Organisation (RO) Mode I is defined in Classification Rules NR216 and NR320. Reference is made to NR320 for the detailed requirements about this scheme.The implementation of this scheme allows a partial or total delegation to the manufacturer of the testing operations required by the applicable Rules.

Application

Application

The application for Mode I survey scheme is to be made by the manufacturer.The application forms for initial certification or intermediate or renewal/modification to be filled in by the applicant are given in attached documents.The application form for initial certification signed is to be transmitted to Recognised Organisation (RO) together with the required documentation as per NR320 which includes:

  • The product(s) envisaged and their Recognised Organisation (RO) type approval reference, as relevant

  • The documentation concerning the quality system, including existing certification to ISO 9001,

  • The proposed Manufacturing, Test and Inspection plan (MTI plan) for the product(s) envisaged;

  • A list of materials suppliers with an indication of their Class approval as far as required and the type of material certification in each case;

  • A list of suppliers of main components of the product with an indication of their Class approval as far as required and the type of certification in each case;

  • A list of nominated personnel for marking and stamping of products, nominated personnel responsible for tests and inspection, nominated personnel responsible to provide data (e.g. declarations, certificates, test reports);

Review of the application by Recognised Organisation (RO)

The application is reviewed at the local office by the persons designated by the operational management. Where necessary, head office may be consulted. The necessary information is to be given to the manufacturer as well as details about possible missing documentation.Where the manufacturer is using several sites to manufacture the product(s) concerned, each site is subject to the assessment, audit included.

Agreement between Recognised Organisation (RO) and the manufacturer

An agreement is to be prepared for signature by both parties. The typical agreement given in attached documents is to be used. Amended agreement version may be used as judged appropriate (for any changes affecting content of Appendix 1 or Appendix 2 typically at the renewal of recognition certificate).

Head Office is to be consulted if modifications are brought to the generic articles of the typical agreement.

Instructions for assessment

Purpose

The purpose of the assessment is to determine whether the quality system operated by the manufacturer is satisfactory to accept to delegate to the manufacturer the tests and examinations required by the applicable Recognised Organisation (RO) Rules identified in the MTI plan.

Reference documents for assessment

The reference documents are the Rule Note NR320, the Recognised Organisation (RO) type approval certificate(s) as relevant, the quality system documentation and the MTI plan.

Preparation of the assessment

The assessment is made by the RO auditor having RO surveyor qualification for the certification of corresponding product.

The local office management has to select the member(s) of the audit team and the lead assessor in accordance with the qualification criteria of the network activities qualification procedure.The documentation supplied by the manufacturer is to be reviewed in general prior to the on-site audit to determine if the system, as documented, is satisfying the requirements. An assessment plan is to be prepared and agreed with the manufacturer in general prior to the on-site audit. The assessment plan should include the following items:

  • The name of the lead assessor and the name of the audit team members,

  • The objectives of the audit,

  • The criteria and the reference documents,

  • The units and processes to be audited,

  • The practical arrangements (dates, places etc.),

  • Other information as found necessary.

Necessary work documents for the assessment are to be prepared (forms to record findings, check-lists, report etc.). Typical forms to be filled in by the surveyor are available in attached documents.

On-site audit

The on-site audit is to include in general the following items :

  • An opening meeting with the manufacturer's management or responsible designated persons to confirm or amend the assessment plan and to exchange necessary information,

  • Checking of the QMS documentation

  • Visits of the production facilities and other parts of the organisation with guides designated by the manufacturer,

  • MTI plan and product audit which may include witnessing of examinations or tests,

  • Interviews and collection of evidences as far as practicable,

  • Assessment of evidences with regard to requirements to generate findings (conformity or nonconformity) and preparation of conclusions,

  • A closing meeting to present the findings to the manufacturer and to agree if appropriate, on a programme for corrective and preventive actions (refer to item 5 about Management of findings).

Management of findings

Audit findings

Findings are to be graded as nonconformities or observations.

A nonconformity is defined as a non-fulfilment of a requirement specified by the Rules, by the Mode I agreement, by the manufacturer’s quality documents, by the Type Approval certificate or other applicable documents. Nonconformities shall be recorded against a specific requirement, be clear and based on an evidence.

An observation is an audit finding not categorised by the auditor as a nonconformity.

It may also refer to a weakness or potential deficiency which, if not corrected, may lead to nonconformity in the future.

The findings are to be recorded in VPM-REC.

Treatment of findings

Nonconformities

3.5.2.1.1 Action plan by manufacturer

For each nonconformity issued, the manufacturer has to submit to RO local office within the defined time:

  • the description of the correction of the detected nonconformity

  • the analyse of the cause of the nonconformity

  • the corrective action defined in order to eliminate the cause of the nonconformity The defined time to submit the action plan is in general one month from the date of the audit unless otherwise defined by the auditor.

    Note: In the case of nonconformities which directly affect the conformity of the products to the type certified, the manufacturer has to identify all the products concerned and take the appropriate action for their correction.

3.5.2.1.2 Review of manufacturer’s action plan by RO local office

The replies and documents submitted by the manufacturer are to be reviewed by RO local office. RO local office shall inform the manufacturer of the acceptance or non-acceptance of the described correction, of the cause analysis and of the proposed corrective action. In case of acceptance the RO local office shall inform the manufacturer of the defined time to submit the evidence of actions taken. The defined time to submit the evidence is in general three months from the date of the audit unless otherwise defined by the auditor. Defined time shall not exceed six months. Acceptance shall be recorded in VPM-REC. In case of non-acceptance, the manufacturer has to submit a new proposal.

3.5.2.1.3 Verification of evidence of actions taken and resolution of nonconformity

Upon completion by the manufacturer of the accepted actions, RO local office shall verify the submitted evidence of implementation of any correction and corrective actions. The verification of evidence of implementation of correction and corrective actions may be carried out based on a review of documentation provided by the manufacturer, or where necessary, through verification on-site (additional visit or audit). The client shall be informed of the result of the verification. In case of acceptance, the manufacturer shall be informed that the nonconformity is resolved. In case of non-acceptance, the manufacturer has to submit additional evidence. The evidence obtained from the manufacturer to support the resolution of nonconformities shall be recorded, with appropriate record in VPM-REC.

3.5.2.1.4 Verification of effectiveness of actions taken

The effectiveness of correction and corrective action is to be verified at the next audit as foreseen in the audit checklists.

Observations

3.5.2.2.1 Actions by manufacturer

For each observation issued, the manufacturer has to submit to RO local office within the defined time:

  • proper action defined for the resolution of the observation.

3.5.2.2.2 Review by RO local office

The replies and documents submitted by the manufacturer are to be reviewed by RO local office. RO local office shall inform the manufacturer of the acceptance or non-acceptance of the defined action. In case of non-acceptance, the manufacturer has to submit a new proposal. In case of acceptance, the evidence obtained from the manufacturer to support the resolution of the observation shall be recorded, with appropriate record in VPM-REC.

Additional audit

It may be necessary to conduct an additional audit on-site or an additional limited audit on-site to verify the correction of the detected nonconformity, the implementation of the corrective action and their effectiveness.

Assessment report

An assessment report is to be issued by Recognised Organisation (RO) in the agreed time period. The typical form to be filled in by the surveyor is given in attached documents.

Filing

The documents submitted by the client and the documents issued by Recognised Organisation (RO) are to be filed by the RO Local Office as per the provisions of the related qualification procedure.

MTI plan and Agreement

MTI plan

The MTI plan which will be part of the agreement is to be considered by Recognised Organisation (RO) for acceptance and is to be stamped by RO auditor and attached in VPM.The inspections and tests listed are to include as a minimum those required by the applicable Recognised Organisation (RO) Rules for Classification.Witnessing points are to be validated by the auditor and are to be in line with Rules requirements for the products covered by the agreement.

Agreement to be signed by the manufacturer and Recognised Organisation (RO)

Upon satisfactory completion of the procedure, the agreement may be signed by the parties. The agreement has to include the following annexes :

  • Frequency or time windows for intermediate audits (annual frequency as a minimum requirement),

  • Agreement on fees, including fees for certificate of product conformity to be endorsed by Recognised Organisation (RO),

  • Model of marking to be used by the manufacturer,

  • Marine & Offshore Division General Conditions,

  • Format of certificate of product conformity (unless VPM Mode I is used by Recognised Organisation (RO) and the manufacturer);

Filing

The documents submitted by the client and the documents issued by Recognised Organisation (RO) are to be filed by the RO Local Office as per the provisions of the related qualification procedure.

Recognition certificate for Recognised Organisation (RO) Mode I

Initial recognition certificate

The initial recognition certificate is processed using VPM tool "Companies Recognition".The initial certificate is numbered automatically with the format :SMS.W.I/9999/A0 where 9999 is the Recognised Organisation (RO) company code registered in the tool "Company".The certificate is normally issued for a period of 4 years.The certificate is delivered to the client by the RO local office as well as the assessment report (the checklist used should stay a working document internal to Recognised Organisation (RO)).

Modification of recognition certificate

The manufacturer may apply for a change to the recognition certificate.Appropriate actions are to be taken by Recognised Organisation (RO) like a specific assessment, an editorial change etc.The modification of the certificate is processed using the VPM tool "Companies Recognition".The modified certificate will be automatically numbered with the format :SMS.W.I/9999/A1, A2 etc. where 9999 is the Recognised Organisation (RO) company code registered in the tool "Company".

Renewal of recognition certificate

The recognition certificate may be renewed at the end of the validity period.The renewed certificate will be automatically numbered with the format :SMS.W.I/9999/B0, C0 etc. where 9999 is the Recognised Organisation (RO) company code registered in the tool "Company".

Reduction, suspension or withdrawal of a recognition certificate

A recognition certificate may be reduced in its scope, suspended or withdrawn by DO-EMC based on the documented proposal of the local office. The manufacturer is to be notified in written of that decision and informed of the appeal procedures.

Filing

The documents submitted by the client and the documents issued by Recognised Organisation (RO) are to be filed by the RO Local Office as per the provisions of the related qualification procedure.

certificate of product conformity

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The products which are manufactured, examined and tested by the manufacturer in accordance with the terms of the Agreement are subject to a certificate of product conformity which has to be submitted to Recognised Organisation (RO) for endorsement.The format used is the one agreed with Recognised Organisation (RO).Where VPM is used, the format of certificate is given automatically by VPM.

Maintenance of the recognition

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The intermediate assessments are to be planned and performed at the request of the manufacturer during the agreed timeframe in accordance with these instructions.The number of intermediate audits is to be agreed with the manufacturer and adapted to the production processes concerned. Minimum requirement is an annual frequency. The intermediate audits during the period of validity of the recognition certificate have to be normally carried out at the frequency agreed. If the intermediate assessment is not applied in due time by the manufacturer, Recognised Organisation (RO) has to inform the manufacturer of the situation including possible suspension or withdrawal of the recognition.The scope of the intermediate assessment is to be adapted based upon the previous assessment results.The manufacturer must keep Recognised Organisation (RO) informed of any intended updating of the quality system that may affect the conditions of the recognition. Appropriate actions are to be taken by Recognised Organisation (RO) like a specific assessment as necessary.Audits and findings are to be recorded in the VPM tool "Companies recognition".

When there are TAC changes, Mod I certificate should be updated.

Use of VPM by the client to process the certificate of product conformity'

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The web tool VPM may be used to process the certificates of product conformity issued within the scope of the Mode I agreement.This tool is allowing Recognised Organisation (RO) and the manufacturer to electronically exchange and sign the certificate of product conformity as well as its attachments.DO-EMC is to be contacted to put in place the "mode I" project within VPM.