gl plan approval process

8/9/2019 GL Plan Approval Process

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Corpora te Procedures

Germanischer Lloyd

Corporate Procedures Update: October 2009 Page 1(changes are underlined)

Contents

1 Quality Management System ...................................................................... ............................................... 4

1.1 Management Responsibility................................................................ ................................................ 41.2 Basic Principles ....................................................... ................................................................. .......... 4

1.2.1 Customer Orientation ............................................................................ ............................... 4

1.2.2 Strategic Orientation ...................................................................... ....................................... 5

1.2.3 Process Management ............................................................. ............................................. 5

1.2.4 Project Management ................................................................ ............................................ 6

1.2.5 Human Factor .............................................................. ......................................................... 6

1.3 Quality Management System Overview.................................................................... .......................... 7

1.3.1 General .................................................................... ............................................................ 7

1.3.2 Quality Staff Members ............................................................ .............................................. 7

1.3.3 Corporate Quality Documentation ............................................................................... ......... 91.4 Measurement, Analysis and Improvement .............................................................. ......................... 10

1.4.1 External Audits/Assessments ............................................................................ ................. 10

1.4.2 Internal Audits ............................................................... ..................................................... 11

1.4.3 Self-Checks ..................................................................... ................................................... 11

1.4.4 In-Process Monitoring ...................................................................... .................................. 11

1.4.5 Customer Satisfaction ........................................................................... ............................. 11

1.4.6 Statistics and Evaluation of Trends ........................................................................ ............ 11

1.4.7 Management Reviews ............................................................ ............................................ 12

1.5 Corrective action ............................................................................................................................... 121.6 Preventive action .............................................................................................................................. 12

2 Resources Management Procedures ................................................................... ................................... 13

2.1 Human Resources Management ................................................................... ................................... 13

2.1.1 Recruitment ............................................................. ........................................................... 13

2.1.2 Personnel Development ............................................................. ........................................ 13

2.1.3 Training and Monitoring ............................................................. ......................................... 14

2.1.4 Authorisation ....................................................................... ............................................... 14

2.1.5 Staff's Independence ................................................................. ......................................... 15

2.2 Infrastructure and Work Environment ........................................................... .................................... 153 Service Realisation Procedures ................................................................. .............................................. 16

3.1 Planning of Service Realisation ..................................................................... ................................... 16

3.2 Review of Service Requirements (Contract Review) ........................................................................ 16

3.2.1 Scope of Review .......................................................... ...................................................... 16

3.2.2 Review of Amendments .................................................................. ................................... 16

3.2.3 Customer Communication .................................................................. ................................ 16


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3.3 Design of Services - Development of Rules and Instructions to Surveyors ...................................... 17

3.3.1 Objective ................................................................ ............................................................ 17

3.3.2 Development Planning ...................................................................... ................................. 17

3.3.3 Development Process ...................................................................... .................................. 17

3.3.4 Verification Processes ..................................................................... ................................... 173.3.5 Validation Process ..................................................................... ......................................... 18

3.3.6 Approval and Release ............................................................................. ........................... 18

3.4 Purchasing................................................................ ............................................................... ......... 18

3.4.1 Subcontracted Services ....................................................................... .............................. 18

3.4.2 Cooperation with other Recognised Societies ................................................................. ... 18

3.5 Production and Service Provision .................................................................. ................................... 19

3.5.1 General .................................................................... .......................................................... 19

3.5.2 Control of Process Performance ......................................................................... ............... 19

3.5.3 Customer Property ..................................................................... ........................................ 19

3.5.4 Preservation of Product ......................................................................... ............................. 193.5.5 Identification and Traceability ............................................................................. ................ 20

3.5.6 Control of Non-Conforming Services .......................................................................... ........ 20

3.6 Plan and Document Approval Process ..................................................................... ........................ 21

3.6.1 Pre-Conditions for Approval ........................................................................... .................... 21

3.6.2 Approval Procedure ................................................................. ........................................... 22

3.6.3 Stamping of Documents ............................................................ ......................................... 22

3.6.4 Signing of Stamps ................................................................. ............................................. 22

3.6.5 Release of Approved Documents .......................................................................... ............. 23

3.6.6. Handling of Revised and Preliminary Documents .............................................................. 23

3.6.7 Handling of Obsolete Documents ....................................................................... ................ 233.7 Surveys, Audits and Inspections.................................................................... ................................... 23

3.8 Verification ............................................................... ................................................................ ......... 23

3.8.1 General .................................................................... .......................................................... 24

3.8.2 Verification of Incoming Documents .................................................................. ................. 24

3.8.3 In-Process Verification ......................................................................... .............................. 24

3.8.4 Final Verification .............................................................. ................................................... 24

3.8.5 Recording and Verification Status ................................................................. ..................... 24

3.8.6 Information to GL Surveyors .............................................................................................. 25

3.9 Control of Monitoring and Measuring Equipment................................................................ .............. 25

3.9.1 General .................................................................... .......................................................... 253.9.2 Witnessing of Measurement ............................................................ ................................... 25


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4 Document and Data Control ............................................................ ......................................................... 26

4.1 Controlled Documents ............................................................. ......................................................... 26

4.1.1 Supply and Maintenance ........................................................................ ............................ 27

4.1.2 Confidentiality ............................................................. ........................................................ 274.1.3 Retention of Documents .................................................................... ................................. 27

4.2 Controlled Records ................................................................... ........................................................ 28

4.2.1 Traceability and Maintenance .................................................................. .......................... 28

4.2.2 Confidentiality ............................................................. ........................................................ 29

4.2.3 Recording on Electronic Media .......................................................................................... 29

4.2.4 Retention of Records ............................................................ .............................................. 29

4.3 Document and Data Security.............................................................. .............................................. 29

4.4 Document Flow........................................................ ................................................................. ........ 30

4.4.1 Incoming Mail ................................................................ ..................................................... 30

4.4.2 Receipt of Files from Mail Delivery ............................................................... ...................... 30

4.4.3 Outgoing Mail ................................................................ ..................................................... 30

4.4.4 Fax Handling at Head Office .............................................................................................. 31

4.4.5 E-Mail Usage .................................................................. .................................................... 31

4.5 Filing ........................................................ ................................................................ ................... 31

4.5.1 Filing Order ................................................................ ......................................................... 31

4.5.2 Storage Conditions ...................................................................... ....................................... 31

4.5.3 Keeping of Files during Processing ......................................................................... ........... 32

4.5.4 Filing in Field Organisation .................................................................... ............................. 32

4.5.5 Registering of Mails and Orders in Field Organisation ....................................................... 33


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1 . Qu a l i t y M a n a g e m e n t S y s t e m

Germanischer Lloyd


1 Quality Management System

The Quality Management System is valid for the Germanischer Lloyd Group companies. It is based on IACS QSCS6th issue and ISO 9001:2008.

1.1 Management Responsibility

The overall responsibility for the Quality Management System is with the Executive Board. The Executive Board fullysupports and drives the development, implementation and improvement of the Quality Management System andcontinually checks its effectiveness by:

Communicating the importance of meeting customer as well as statutory and regulatory requirements in thewhole organisation

Establishing the Germanischer Lloyd Group Integrated Policy Ensuring that quality objectives are established and met Conducting regular management reviews Ensuring the availability of resources.The management of each organisational unit is responsible for the realisation of the Society's Quality ManagementSystem. Each manager shall ensure that requirements specified in the Corporate Quality Documentation areeffectively implemented in their area of responsibility.

1.2 Basic Principles

Our Quality Management System is based on the following principles:

1.2.1 Customer Orientation

We are totally committed to the success of our customers, and we understand this as a long-term partnership. Theinterpretation of our customers expectations combined with the ability to transform their requirements and needs intoimproved services, products and processes in the relevant regulatory environment is essential for us.

We provide services for external and internal customers:

External customers

An external customer is a person or entity having a legal relationship with the Germanischer Lloyd Group (e. g.shipyards, shipping companies, administrative authorities, industrial equipment manufacturers) or having a directinterest in the services of the Germanischer Lloyd Group (e. g. port states, underwriters, cargo owners).

Internal customers

An internal customer is an organisational unit or a single person within the Germanischer Lloyd Group receivingservices provided by other units of the Group.


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1.2.2 Strategic Orientation

Within the Germanischer Lloyd Group, the top management in each business lines has the responsibility to reactquickly to the market evolution and the changing requirements of customers, markets and the regulatoryenvironment. Taking into account these requirements, each business area prepares an annual strategic plan foroperative activities.

This plan contains overall strategic targets, from which objectives are derived and agreed on with the heads of allorganisational units. Key Performance Indicators including target values are established to monitor and control theachievement of these objectives. This system is completed by measures including the resources needed to meet thestipulated objectives in the respective organisational unit.

The management of each organisational unit is responsible for the realisation of these objectives and adherence toplanned measures.

1.2.3 Process Management

Work in the business areas is organised according to the related processes. Core processes are defined in eachbusiness area and may be further divided into sub-processes. Process owners are assigned to all processes, andtheir responsibility includes evaluation of performance and identification of improvement potentials.

Improvement potentials are to be continuously detected by the process owner according to the principles outlined in

the following diagram:

Customer

Planning of activit iesand setting priorities

Process

Measurement ofperformance

Identification ofpossible

improvements

Customer

Process Owner

The main tasks of process owners are:

Identification of customer requirements and expectations Maintenance of process Measurement of process output and customer feedback Analysis of measurements and identification of possible improvements Realisation of identified improvements.


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1.2.4 Project Management

If work is organised in projects, the relevant procedures for Project Management have to be followed accordingManual for Project approval and Project Implementation (GL-7000).

A project will be initiated by a sponsor or commissioner and coordinated by a Project Manager. The Project Manageris responsible for ensuring that results meet the requirements and expectations laid down in the specification.

Project controlling is performed by the Project Manager to verify that objectives are met within a specified time andcost frame at each stage of a project.

1.2.5 Human Factor

In our organisation we appreciate each staff member as an essential factor in providing high quality services andmaintaining customer satisfaction. All staff members have an international orientation and respect cultural

differences.Systematic activities to qualify and train our staff ensure the long-term success of our Society. The GermanischerLloyd Group companies focus on the appointment of:

Managers capable of providing leadership necessary for progressive developments at all levels within theorganisation

Qualified and competent technical and administrative staff at the Head Office to support our customers and thewhole organisation with up-to-date know-how and experience

A worldwide network of qualified and competent surveyors/experts able to meet the Society's high technicalstandards and requirements and to provide our customers with the best possible service.

The resources needed to reach these goals are to be provided together with an adequate infrastructure and workenvironment.


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1.3 Quality Management System Overview

1.3.1 General

We understand our Quality Management System to be an overall holistic system that covers all working phases of aservice provided from the initial inquiry to the handover of documents (certificate, report) on completion of an order.This includes all the process steps necessary to carry out the relevant service with consideration given toorganisational aspects, responsibilities etc.

By applying the above principle we ensure that the Society's Quality Management System is:

A driving force for the continual improvement of quality and performance within the whole organisation A strategic element of success and fundamental management task.1.3.2 Quality Staff Members

The whole organisation is supported by quality staff members: Quality Representatives (QR's) / Area QualityManagers (AQMs) are nominated for each division to take care of quality matters in the respective division. LeadQuality Representatives (LQRs)/ Division Quality Managers (DQMs) may be nominated in the divisions for directreporting to Division Managers. All DQMs/ AQMs/ LQRs/ QRs are the driving forces and multipliers with regard toquality. They are supported in their daily quality work by Process Coaches from the Business Unit-QI

All quality staff members share their expertise in a competent quality network. All members of the quality staff arefunctionally linked to the Quality Management Representative (QMR).


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The nominated quality staff members are listed in the current organisation charts.

The support provided to the organisation by the quality staff members includes:

Establishment, introduction and maintenance of the Quality Management System, including the Corporate QualityDocumentation

Dialogue with colleagues on quality-related matters Involvement in planning, participation, performance and evaluation of audits Identification and proposal of improvement activities Implementation of improvement activities.The job descriptions for the Quality Management Representative, Head of Corporate Quality Department, LeadQuality Representatives, Division Quality Manager, Quality Representatives, Area Quality Manager and ProcessCoaches detail their responsibilities.


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1.3.3 Corporate Quality Documentation

The documents listed below form the Corporate Quality Documentation:

Corporate Integrated Policy The Corporate Integrated Policy is valid for all units of theGermanischer Lloyd Group

Corporate Procedures Corporate Procedures describing principal routines and are valid for allunits of the Germanischer Lloyd Group.

Corporate Procedure and Corporate Instructions form the QualityManual acc. ISO 9001:2008

Corporate Instruct ions Corporate Instructions describing process aspects valid for all units ofthe Germanischer Lloyd Group.

Corporate Procedure and Corporate Instructions form the Quality

Manual acc. ISO 9001:2008Process Maps Process Maps visualise core processes for the business areas

Maritime Services and Industrial Services

Quality Libraries Relevant documentation valid for individual organisational units

Job Descriptions Description of qualifications, authorities and responsibilities of anemployee in a certain function

Job Matrices Matrices showing the assignment of specific activities to individuals

Workflows Instructions describing the interrelation between functions (orindividuals) and process steps including communication flow, e. g.responsibility, information

Local Instructions Instructions valid for the specific organisational unit. In individual casesthe local instruction may be valid for other units than the issuing unit

Forms, Checklists Templates to be used for the intended purpose.

All above documents are published internally on the GL Intranet and on DVD, which shall be made available to theField Organisation whenever required.

For Field Service exemptions are agreed:

The Quality Libraries (Quality Matters) of Region are published on the Intranet The Quality Libraries of Areas, Country and Station Offices are not published on the Intranet.

The Corporate Integrated Policy shall be made available for distribution to external parties. All other parts of theCorporate Quality Documentation are confidential. Any external distribution, other than the Corporate IntegratedPolicy, needs the consent of the Quality Management Representative.

The updating and release process of the Corporate Quality Documentation can be found in the Quality Library for theQI Department.

All relevant documents of the Corporate Quality Documentation shall be provided with an identification code and titletogether with the release date.

All general and local instructions must be verified and released by a second competent person.

For reference and downloading purposes a link has been installed to the current organisation charts as well as to alist of important external documents, e.g. relevant documents from IACS, IMO, and the EU Commission.


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1.4 Measurement, Analysis and Improvement

The activities of our Society are continually monitored, measured, analysed and improved in order to: Demonstrate conformity of the processes needed for service realisation Ensure conformity of the Quality Management System Improve the effectiveness of the Quality Management System.The effectiveness of the relevant processes shall be continually improved with consideration given to the CorporateIntegrated Policy and the quality objectives. Furthermore, results obtained from the following monitoring elementsshall be taken into account:

External audits/assessments Internal audits Self checks In-process monitoring Customers satisfaction Statistics, evaluation of trends Management reviews.1.4.1 External Audits/Assessments

The Society will be regularly audited by various external organisations, which have their own requirements and focuson specific items that have to be fulfilled individually. These include:

IACS (QSCS Requirements) EMSA (EU Regulations) Flag states (IMO Resolutions and individual contracts).The contact person at GL for external IACS audits and EMSA assessments is the Quality ManagementRepresentative.The steps of an IACS audit or EMSA assessment include:

Preparation Execution Evaluation.The Quality Management Representative shall inform the organisation about an announced audit/assessment. Afterexecution, he will organise an evaluation of the findings with the aim of coming to conclusions about the results.

The Executive Board, the Board of Directors and the quality staff members have to be informed about the evaluationresults of an external audit/assessment. If necessary, corrective actions will be initiated to improve any weak pointsdiscovered.


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1.4.2 Internal Audits

Internal audits are an important element in assessing the effectiveness of the Quality Management System. Theseaudits are carried out on a regular basis as well as at the request of individual organisational units or requested byQMR.

Internal auditors will be selected from the whole organisation. Staff members with the necessary expertise andqualification will be nominated and are functionally linked to the Quality Management Representative. They shall actindependently, must not audit their own work and may be supported by experts.

An internal audit plan is established annually under the responsibility of the Head of the QI-QM. This plan takes intoaccount the results of previous audits and has to be approved by the Executive Board.

Internal audits shall be carried out according to a corporate instruction (GL-1200). The Corporate Quality Departmentwill evaluate the results regarding completeness and consistency and follow-up of necessary actions.

1.4.3 Self-Checks

Self-checks are additionally carried out to continuously monitor the Quality Management System. They shall beperformed in every calendar year in all organisational units under the responsibility of the respective manager.

Self-checks shall assist in verifying compliance with the Quality Management System and may additionally be usedfor preparing external and internal audits.

1.4.4 In-Process Monitoring

Suitable methods for monitoring the processes shall be applied. The methods shall demonstrate the ability of theprocesses to achieve planned results.

The respective head of an organisational unit shall continuously monitor the performance of the processes in thearea of his responsibility. This includes checks for:

Completeness and consistency of process steps Compliance with applicable rules and regulations Plausibility and correctness Efficiency and effectiveness.In case any improvement potential is identified, this has to be reported to the responsible process owner for follow-upmeasures.

1.4.5 Customer Satisfaction

As another means of monitoring the effectiveness of the Quality Management System, the Society collectsinformation on the degree of customer satisfaction being achieved.

The evaluation of customer satisfaction is regularly carried out within Head Office. Respective questionnaires aredeveloped and forwarded to selected customers. Their feedback is analysed and used as input for the topmanagement review.

1.4.6 Statistics and Evaluation of Trends

Statistics and evaluation of trends of relevance to the services provided shall be monitored and measured to verify

that quality objectives have been met.


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1.4.7 Management Reviews

Management reviews shall be carried out regularly taking into account the results obtained from the monitoringelements as described. These reviews include identification ofimprovements and the need for changes to the Quality

Management System. The input to a management review shall include results of:

External/internal audits/assessments and their follow-up Customers feedback Efficiency and effectiveness of processes Status of preventive and corrective measures (incl. follow-up of previous management reviews) Improvement plans Staff satisfaction.The output of a management review shall be recorded, communicated and provide input for further improvement

activities.

The implementation of improvement measures resulting from a management review shall be revised at the nextregular management review in order to evaluate the progress made.

1.5 Corrective action

GL has established several processes to take actions appropriate to the effects of the nonconformities encountered,to eliminate the causes of their occurrence and in order to prevent recurrence.

1. Complaint Management (GL-1500)2. internal and external audits (GL-1200)3. Process review by task force (COO-C 0001)4. Improvement of performance (M-3083)5. Review of survey reports consequential to a Port State Control detention survey (M-3017)6. Monthly Finding Review (GL-1200)7. Report Monitoring (Field Service Manual)8. Management Review (GL-6000)

1.6 Preventive action

GL takes actions appropriate to the effects of the potential problems to eliminate their occurrence.

1. Key Performance Indicator KPI (GL-4810)2. Surveyors, Auditors Monitoring (Field Service Manual /CQ-3001)3. Report Monitoring (Field Service Manual)4. Annual Performance Review APR(CQ-1007) / Training (Corp Procedure 2.1.3)5. Risk Management (Leitfaden fr das Chancen- und Risikomanagement)6. internal and external audits (GL-1200)7. Self-Check (Corp. Procedure 1.4.3)8. Review by a second person in plan approval (M-1011)9. Monthly Finding Review (GL-1200)10. Product Implementation Process (GL PEP)11. Input from Customer satisfaction Survey12. Management Review (GL-6000)


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2 . Re s o u r c e s M a n a g e m en t P r o c e d u r e s

Germanischer Lloyd


2 Resources Management Procedures

2.1 Human Resources Management

The Society has to ensure that sufficient qualified staff is available to perform the relevant activities worldwide.

The management is responsible for motivating staff members to work in a result-oriented manner in all processes.

Authorities and responsibilities of staff members are determined.

Efficiency and personal ability are regularly reviewed by the superior, and individual measures are decided ontogether with the staff member concerned. These measures support staff development and training activities.

2.1.1 Recruitment

The Technical Staff/Surveyors of our Society are recruited all over the world. Application documents are checked bythe responsible management supported by the Corporate Service Human Resources Management.

2.1.2 Personnel Development

The Societys staff members are aware of the relevance and importance of their activities and know how theycontribute to the achievement of the principles of the Corporate Quality Policy.

All staff members have the educational skills and experience required to fulfil the obligations of their respectivefunction. They are continuously trained to ensure that the services are always provided in a professional manner.

In this connection relevant requirements are taken into account, e.g. IMO Resolution A 789(19), Regulation (EC)

391/2009 , Directive 2009/15/EC and IACS PRs 6 and 7.The competence of each staff member has to be safeguarded, maintained and developed by means of:

Adequate selection of applicants for the relevant functions Training, monitoring and self study Other actions taken.The effectiveness of the above is evaluated regularly, e. g. during discussions between management and staff.

Records of education, training, monitoring etc. are kept.


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2.1.3 Training and Monitoring

The management has to identify the training needs of the staff members under their responsibility and to initiatetraining measures. They are thereby supported by the Corporate Service Human Resource Management as well asby the Training Centre Department. The main kinds of training/monitoring are:

Practical training on the job Internal courses (planning, organisation and coordination by organisational unit)

- GL-internal modular training system (Training Centre Department)- Development of management and personal competence (Corporate Service Human Resource

Management)- Language training (Corporate Service Human Resource Management)- Training in computer technology (Corporate Service Information Technology and Organisation)

External courses Continuous monitoring of Technical Staff/Surveyors/Auditors Internal meetings of the organisational units.All training measures for staff members' qualification (e.g. technical training, training of social skills, managementtraining) have to be documented and checked with regard to their effectiveness. Records of training are kept.

2.1.4 Authorisation

The scope of authorisation depends on the function in the organisation and/or the individual duties of a staff member.The responsibilities and authorisation powers of specific management functions, such as Technical Staff/Surveyors,are defined in e.g. job descriptions, work contracts or process descriptions.

According to the function of a staff member, different authorisations are possible:

Signing authorisationBusiness correspondence or documents establishing a legal obligation for the Society as well as specifiedinternal correspondence have, on principle, to be signed by two authorised persons. Every holder of a signingauthorisation is responsible for observing the conditions defined in his/her written authorisation.

Release of payments Other authorisations.


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2.1.5 Staff's Independence

In performing the duties entrusted to them, Staff members are to act such as to preclude any doubts as to theirdue diligence, impartiality and neutrality. In particular Surveyors/Technical Staff members are not allowed to havebusiness, personal and/or family connections to the orderer.

A business link is given, e.g. in case a Surveyor/Technical Staff member receives a remuneration of any kind by aship owner or operator.

A family link is given if the relevant person is e.g. a spouse, fiance or a relative to the Staff member. A personal link is given if a personal relationship exists, that is close to a family link. A respective clause is

included in:

Guidelines for Activities by Exclusive Surveyors to Germanischer Lloyd Individual working contractsTo keep the staffs independence the remuneration of staff members engaged in the corporate activities is not directlydepending on the activities carried out and in no case on their results.

2.2 Infrastructure and Work Environment

The Society must determine, provide and maintain an appropriate infrastructure and work environment to ensure thatservices are carried out under appropriate conditions. This includes:

Buildings, workspaces and associated office equipment Process equipment (e.g. hardware and software) Communication and transportation facilities Staff satisfaction Occupational Safety.


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3 . S e r v i c e R ea l i s a t i o n P r o c e d u r e s

Germanischer Lloyd


3 Service Realisation Procedures

3.1 Planning of Service Realisation

The processes needed for service realisation shall be planned and developed in line with other requirements, e. g. ofthe Quality Management System. The planning shall also take into account any requirements of IMO, EU, FlagStates, IACS etc. It shall cover:

Quality objectives and requirements for the service Establishment of processes, documents and resources needed for service realisation Required verification, validation, monitoring, inspection and test activities to obtain acceptance of the service Records to provide evidence that the processes and the results meet the service requirements.The planning shall be documented.

3.2 Review of Service Requirements (Contract Review)

3.2.1 Scope of Review

Before offering a service it must be ensured that the requested service can be fulfilled.

A review shall be performed by an authorised person prior to signing a contract.

The scope of a review shall ensure that:

The requested service complies with applicable rules and regulations as well as statutory requirements The resources needed for performing the service are available in the planned time frame All involved organisational units are included in the review of the relevant parts Any differences between the requested service and the contract are resolved before the work is carried out.

3.2.2 Review of Amendments

Amendments or change requests to a contract are to be reviewed in a similar way to what is described above.Amendments to a contract will be recorded and communicated to the parties concerned.

3.2.3 Customer CommunicationEffective communication with our customers is ensured in relation to:

Service information Enquiries, contract or order handling, including amendments Customer feedback, including customer complaints.


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3.3 Design of Services - Development of Rules and Instructions to Surveyors

3.3.1 Objective

Our services for new buildings and ships in service are provided in accordance with our own comprehensive Rulesfor Classification and Construction as well as Instructions to Surveyors. These Rules are continually upgraded andimproved, e.g. through research programmes that take into account the state of the art in all technical areas,including, if necessary, any relevant statutory requirements.

3.3.2 Development Planning

Planning is required for the development of new Rules for Classification and Construction as well as Instructions toSurveyors, including amendments. Records of this planning shall exist and detail at least the following:

Objective of the development Assigned experts Sequence of activities and time frames.

3.3.3 Development Process

Interested external parties are involved in the process of developing the Rules for Classification and Construction viathe Technical Advisory Committee and an Internet tool for Flag States.

The rule development process is coordinated by the NB-RP Department, whose main tasks are to:

Coordinate contributions from internal technical departments Coordinate contributions from external parties Ensure a consistent structure and terminology Submit drafts and collect comments Coordinate verification and validation processes at relevant stages Coordinate final drafts and submit them to the Executive Board for approval.The development of Instructions to Surveyors is coordinated by the FS-FI Department using input and feedback fromassigned experts and surveyors.

3.3.4 Verification Processes

At defined stages intermediate results are verified to ensure that the specified requirements are met.

Comments and objections of individuals or bodies involved shall be evaluated and, if appropriate, considered in thefurther development.

Records of the output of verification shall be maintained.


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3.3.5 Validation Process

Validation ensures that the expectations of the development or update meet the objective stated in 3.3.1.

Rules for Classification andConstruction

Experts from relevant internal departments and from the Technical AdvisoryCommittee validate new or updated rules

Instructions to Surveyors To be validated by at least one other competent expert.

3.3.6 Approval and Release

Rules for Classification and

Construction

The Executive Board formally approves the Rules by signing the final draft.

Instructions to Surveyors The final draft is approved by the Chief Surveyor and subsequently madeavailable to all Surveyors.

3.4 Purchasing

3.4.1 Subcontracted Services

The scope of each subcontracted service shall be specified in a contract.

Before signing a contract the potential subcontractor shall be assessed with regard to:

Qualification of personnel; this may be achieved by submission of certificates from professional training schoolsand/or proof of practical experience in the field concerned

Adequate knowledge of rules, regulations and standards to be applied.Assessments of subcontractors shall be documented. The documentation is maintained by the relevant department;copies shall be kept in the stations involved.

Approved subcontractors are to be registered and recorded in a reference list, which is maintained by Head Office.

Subcontractors are generally not allowed to carry out any services related to statutory matters.

3.4.2 Cooperation with other Recognised Societies

The prerequisite for the performance of activities on behalf of GL by exclusive surveyors of another recognisedSociety is the existence of a relevant reciprocal agreement/contract with the other Society.

As these experts are exclusive surveyors of another recognised Society, it is assumed that they have thequalifications required.

Furthermore, it is assumed that the relevant Society provide surveyors qualified to undertake the surveys requested.

Germanischer Lloyd reserves the right to request records on the qualifications of personnel performing surveys orinspections.

A list of Recognised Societies with which GL has agreements is maintained at Head Office.


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3.5 Production and Service Provision

3.5.1 General

The requirements of the Quality Management System as described in the Corporate Quality Documentation shall beapplied. Relevant local documentation will be established whenever necessary.

All process activities shall be performed by qualified personnel who have the adequate skills to fulfil the relevantfunctions.

The extent of required rules, regulations, instructions and standards shall be determined for each organisational unitand made accessible to all staff members concerned.

The flow of information shall be supported by technical circulars informing on supplements, amendments ordevelopment of internal and external rules and regulations as well as on administrative matters. Circulars shall havean interim status.

3.5.2 Control of Process Performance

The technical and administrative supervision of the Technical Staff/Surveyors is carried out by the department orstation management. The necessary functions shall be determined, e. g. in job descriptions.

Monitoring of drawing approval activities shall be performed by a second competent expert who verifies the processresults.

Technical Staff work independently and are responsible for their own actions on the basis of the applicable rules,regulations and instructions. It is a part of their responsibility to ensure that controlled conditions are maintained atevery process step and that compliance with the requirements can be demonstrated.

Technical Staff members appointed or recognised by an Administration generally act independently in preparing

expertises.

3.5.3 Customer Property

Customer property shall be protected and safeguarded while in use by Germanischer Lloyd.

If any customer property is lost, damaged or otherwise found to be unsuitable for use, this shall be reported to thecustomer and recorded.

Examples of customer property are:

Documents submitted for verification and approval Documents providing evidence of activities performed by others, such as underwater inspection reports or NDE

measurement reports

Services supplied on behalf of a customer and witnessed by Germanischer Lloyd Intellectual property of a customer.

3.5.4 Preservation of Product

All products used for performing services shall be preserved during internal processing and delivery to otherlocations. This preservation shall include identification, handling, packaging, storage and protection.

This includes the preservation of electronic data during processing, including protection from unauthorised access.


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3.5.5 Identification and Traceability

The status of service implementation shall be identifiable throughout all process stages. A unique identification shallbe assigned for traceability purposes.

A document and data identification system shall be maintained either directly or by cross-reference. This shall beimplemented e. g. by means of:

GL-register number Certificate number Ships name Order number Reference number assigned when the incoming document is registered.

3.5.6 Control of Non-Conforming ServicesGL ensures that service/ product which does not conform to requirements is identified and controlled to prevent itsunintended use or delivery.

Responsibilities

Generally, the following is valid for every product or service:

Each member of staff is obligated to identify weak points related to a service/ product identified by internalor external parties and to inform the respective Process Owner accordingly.

Responsibility of the process ownero to evaluate the causeo to assess the risko to initiate corrective measureso to ensure their effectivenesso to inform QI and the responsible Quality Representativeo to ensure that relevant internal or external parties affected are informed about the case and the

corrective measures

The decision for rejection of a non-conforming service/ product or the concession for acceptance will bemade by an authorised person (e.g. customer, flag state).

Corrective measures

Where applicable, GL deals with non-conforming service/ product by one or more of the following ways:

by taking action to eliminate the detected non-conformity; by authorizing its use, release or acceptance under concession by the relevant authority and, where

applicable, by the customer;

by taking action to preclude its original intended use or application; by taking action appropriate to the effects, or potential effects, of the non-conformity when non-conforming

service/ product is detected after delivery or use has started, such as:o by authorising rework / additional work, e.g. re-evaluation, calculations,o by re-verification of the corrected service/ product to demonstrate conformity to the requirements,o by non-issuance or withdrawal of report or certificate.

by taking measures to avoid recurrence of the non-conformity (Process Owner and Quality Representative,supported by QI):

o by training / retraining of the surveyors / auditors,o by reviewing the process / procedures / forms / checklist etc and revising them, if necessary,


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o by reviewing the system and augmenting / revising them, if necessary.Records of non-conformities and any subsequent actions taken, including concessions obtained, are maintained.

Further analysis and improvement

The non-conformity is reported to QI and the Quality Representative by the Process Owner. Thus it is ensured thatthe Process Owner and the responsible Quality Representative, supported by QI, have the necessary information forfurther root cause analysis (type of con-conformity, affected process, frequency, impact local or global, failure cost,risk assessment) and to derive measures to avoid recurrence.

Relevant quality documentation (additional inst ructions, guidelines etc.)

Additional and supplementing local instructions to particularise and substantiate this general instruction may bedeveloped by Line Managements of Organizational Units accordingly, as appropriate.

These points have to be clarified by the Process Owner for each service/ product:

Criteria for non-conformity of the specific service/ product (internal and external requirements by customersand relevant authorities)

Criteria for Risk Assessment (uncritical, to be corrected urgently, to be corrected subsequently) WHAT is to be done BY WHOM with the non-conforming service/ product and WHO is to be informed?

3.6 Plan and Document Approval Process

3.6.1 Pre-Conditions for Approval

All documents submitted for approval are subject to a pre-check regarding:

Legal prerequisites for examination Completeness or damage Status of validity and edition Possible cooperation with other organisational units.If documents are found unsuitable for examination, this will be recorded and reported to the supplier.


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3.6.2 Approval Procedure

The Technical Staff are responsible for examination/ approval of the documents submitted with regard to compliancewith applicable rules and regulations. This implies decisions about technical/organisational considerations with therules and regulations.

Where an interpretation of rules and regulations does not result in compliance, the decision for further action will betaken by the responsible Head of Department or by the responsible Head of Competence Centre, respectively.

Any identified non-compliance with the applicable rules and regulations shall be entered in red into the copies of thedocument submitted and/or returned with a letter with corresponding remarks.

3.6.3 Stamping of Documents

Stamping indicates that documents have been verified. Different stamps are used, depending on verification. The

most important kinds of stamps are:

Genehmigt/Approved Drawings, calculations and other documents, where the approval is arequirement for classification

Geprft/Examined Drawings, calculations and other documents, where the approval is requiredby other rules and regulations

Gesehen/Noted All other documents noted.

Preliminary Valid until final acceptance

All copies of a verified document shall be stamped uniformly.

For documents where only a part has to be verified, this part has to be clearly marked and referenced in thecommenting letter.

Further kinds of stamping may be used in individual organisational units. These shall be described in localinstructions.

3.6.4 Signing of Stamps

The Technical Staff involved signs the stamp with his shortmark.

The stamp has to be placed on the front page of the document as appropriate. The stamping of multiple documentsmay be fixed on the cover sheet if these documents are bound.


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3.6.5 Release of Approved Documents

The approved documents are signed by the Technical Staff as described. The respective commenting letter is signedby a second authorised expert, who also has to verify the results.

If due to the organizational structure or availability of resources a second authorised expert is not available but theapproval has been done by a surveyor/auditor duly qualified for the assigned task, the commenting letter may besigned by the Technical Staff alone.

In this case the Technical Staff shall use the words 'Surveyor to Germanischer Lloyd' or 'Auditor to GermanischerLloyd', whichever is applicable for the approval, beneath his signature without the addition of any mark ofauthorization.

Notwithstanding the aforementioned procedure, every approved document has to be verified with positive results bya second authorized expert. In case any deficiencies are detected during this process, the authorized expert has theresponsibility to initiate any corrective measures to rectify the finding immediately.

3.6.6 Handling of Revised and Preliminary Documents

Approval documents or parts of it which have been overruled by revised or final ones have to be marked as invalid.

3.6.7 Handling of Obsolete Documents

Document that become obsolete may be abolished. This has to be documented in the respective file.

3.7 Surveys, Audits and Inspections

Surveys, audits and inspections are performed in accordance with the relevant: Rules, regulations and instructions Statutory requirements International standards Individual specifications.Results of surveys, audits or inspections are to be verified on a sample basis by the:

Manager of the relevant field office or any assigned Technical Staff member Relevant H.O. department

-

for update of status information- for coordination of follow-up action in other technical departments.3.8 Verification

Verifications ensure that:

All parts of a service are in accordance with the applicable rules, regulations and standards The specifications of a contract are met.


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3.8.1 General

The basis for verifications is written instructions, which describe the applicable verification methods and steps.

For specific services which are not standardised, the verification steps are fixed in planning documents.

All verifications include checks for:

Completeness and formal correctness Consistency of incoming documentation Conformity with specified requirements.

3.8.2 Verification of Incoming Documents

All incoming documents and data are excluded from further use until conformity with the applicable requirements isverified.

Reports and certificates produced by approved subcontractors are examined by qualified Technical Staff before useas part of a service.

Documents providing evidence of activities performed by others are generally treated under the same conditions asinternal documents. These include:

Examination or approval of documents Evidence of activities Recording of activities to be witnessed by a surveyor

Verification of compliance with applicable requirements and specifications.

3.8.3 In-Process Verification

To assess the performance of a process, verifications are defined to ensure that the progress of the service meetsthe requirements.

In-process verification checks that the individual activities have been completed as expected and the necessaryreporting and examinations have been performed and verified.

3.8.4 Final Verification

Issuance of full-term certificates and approved documents shall not be carried out before all relevant documents andreports have been verified with positive results.

Issuance of approved documents shall be conducted in accordance with Paragraph 3.6.5 above (Release ofApproved Documents).

3.8.5 Recording and Verification Status

The status of verification is recorded either by stamping and/or written comments.

All records related to verifications are filed as a part of the service documentation.


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3.8.6 Information to GL Surveyors

In case of omissions and deviations from requirements, the relevant surveyor will be informed. In general, a writtencomment is expected.

Recommendations, either from the incoming report or identified during verification, will be followed-up andinformation will be provided to the Field to ensure follow-up within due time.

3.9 Control of Monitoring and Measuring Equipment

3.9.1 General

The following provisions apply to monitoring and measuring equipment owned or leased by GL or by a subcontractor,when this equipment is used to provide evidence of conformity of a product or service to specific requirements. It

does not apply to equipment used by manufacturers, builders, repairers, owners etc.

When measuring and monitoring devices are required to provide evidence of conformity of a service or product, thismeasuring equipment shall be:

Calibrated or verified at specified intervals according to international or national measurement standards; whereno such standards exist, the basis used for calibration or verification shall be recorded

Adjusted or re-adjusted as necessary Identified to enable the calibration status to be determined Safeguarded from adjustments that would invalidate the measurement results Protected from damage and deterioration during handling, maintenance and storage.When the equipment is found not to comply with the requirements, the validity of the previous measuring results shallbe re-assessed. Appropriate action shall be taken on the equipment and any product or service affected. Records ofthe results of calibration and verification are maintained.When computer software is used in the course of measurements, its ability to satisfy the intended application shall beconfirmed. This shall be undertaken prior to the initial use.

3.9.2 Witnessing of Measurement

When witnessing measurements, the surveyor or expert in charge ensures that the:

Equipment is under control of a documented calibration system, including records of calibration Calibration/adjustment of the equipment prior to use is witnessed Equipment meets the accuracy required by the task.


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4 . Do c u m e n t a n d D a t a Co n t r o l

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4 Document and Data Control

All documents of the Society shall follow the Corporate Design requisites as defined.

Where form sheets or templates for text processing systems are provided, these must be used without anymodification.

4.1 Controlled Documents

All documents released by any management level with binding character for the respective employees have to behandled under controlled conditions to ensure that they are accessible in the valid issue at all relevant locations ofthe Society as well as for customers and subcontractors.

The documents are compiled in reference lists, which have to be updated regularly by the responsible unit. Changes

have to be communicated to all involved parties.

All recipients of controlled documents are named in the respective document or reference lists and the distribution ofrevised documents is carried out accordingly.

Before distribution, the documents are reviewed for adequacy and consistency by the responsible unit.

At least the following internal and external documents are handled under controlled conditions:

Internal Documents

Document-type Responsible unit Controlled distribution form

Corporate Quality Documentation QI-QM msl-DVD 3/ Intranet

Rules for Classification andConstruction

NB-RP CD-ROM/ Internet

Instructions to Surveyors COO 1/FS-FI 2 msl DVD 3/ Intranet

Ship Register FS-MC CD-ROM / Internet / Book

Technical and administrativecirculars

Executive Board (Board circulars)Division FS/NB/RD/MS (technicalcirculars)Division HR, IO, FA (admin. circulars)

E-Mail / IntranetE-Mail / msl-DVD3 / IntranetE-Mail / Intranet

Organisation charts and Directory IO-P CD-ROM / Intranet

Special forms Business Unit FS/NB/RD/SB (technicalforms)Service Unit HR, IO, FA (admin. forms)

msl DVD 3 / IntranetE-Mail / Intranet

Quality manuals of certified oraccredited bodies

Department in charge Paper version/ Intranet

1 for ItS Part I (Classification Requirements)2 for ItS Part I (Statutory Requirements) and distribution

3 msl-DVD: Maritime Services Library-Instruction to Surveyors DVD


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External Documents

Document-Type Responsible Unit Controlled distribution form

National and international standards NB-RP 4/department in charge5 CD-ROM / Intranet

IMO conventions and resolutions FS-FI msl-DVD 3,6further on demand

EU Regulation as well as individualFlag State laws and regulations

FS-FI msl-DVD 3,6further on demand

IACS documents FS-FI msl-DVD / Intranet

Documents and data submitted forexamination and approval

Department in charge Relevant files

4 NR-RP Coordinator

5 Responsible for incorporation into the Rules and ItS6 Incl. relevant requirements and daily work of surveyor

4.1.1 Supply and Maintenance

Controlled documents may either be available on electronic media (e. g. DVD/CD-ROM) or as printed copy.

After receipt of a controlled document, each receiver is responsible for updating the related documentation.

If supplying documents is part of a service (e.g. statutory requirements), the serving organisational unit will specify:

Which documents are supplied Who collects and distributes the documents Updating periods, if any Liability for supplied documents, if any.

4.1.2 Confidentiality

All documents in connection with classification and statutory services as well as industrial services are to be treatedconfidentially.

This does not impair the right to pass on information to Administrations in case of statutory assignments.

All documents of the Corporate Quality Documentation, other than the Corporate Integrated Policy, are for internaluse only. Distribution to external parties needs consent of the Quality Management Representative.

Documents classified for security purposes, e.g. for navy projects, are ruled by legal requirements, which have to bestrictly followed.

4.1.3 Retention of Documents

All service-related documents are to be stored/ archived for at least ten years after completion of an order inaccordance with German law, if no other national or internal requirements are applicable.

Copies of documents related to services that are kept in station offices in the Field are to be stored for one year aftercompletion of an order. After that, further retention shall be decided on in each individual case.

In each and every case, it shall be ensured that a complete set of documentation exists at Head Office.


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4.2 Controlled Records

Records are a special type of document providing evidence of the various stages of a service delivery. They are

subject to controlled handling as well to demonstrating: Conformity with requirements Effective operation of the Quality Management System.Where necessary, instructions shall be established to define specific needs for identification, storage, protection,retrieval, retention time, disposition of records etc.

The records may be provided on any kind of media.

The organisational unit producing the records is responsible for their correct filing.

The main classes of controlled records are:

Records related to Record producer

Development of Rules and associated research NB-RP 1 department in charge

RD 2 competence centre in charge

Services in connection with the application of rules andregulations and statutory requirement

Department in charge for service delivery

Ships Register FS-MC department in charge

Results of reviews of the Quality Management System QI 3 department in charge(see chapter 1.4)

Reference lists (see chapter 4.1.1)

Training Trainer or training unit(internal/external)

Monitoring Designated Monitor

1 Rules development coordinated by NB-RP2 Research coordinated by RD3 Collection of results coordinated by QI

4.2.1 Traceability and Maintenance

Records shall be maintained to provide evidence of a service delivery. They shall ensure traceability of a servicethrough all stages of the service provision. At least the following requirements for records shall apply:

A record shall be clearly identifiable with a reference to the respective activity or service A record shall be assigned to a file in accordance with the filing system The storage place of a record and/or the current user shall always be traceable The status of examination shall be demonstrated by means of marking (e.g. stamping) and/or signature of the

persons involved

In case of missing identification or designation, the missing information has to be added by the receiver beforeforwarding the record.


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4.2.2 Confidentiality

All records maintained to provide evidence for service provision shall be treated confidentially. Only authorisedpersons shall have access to the records. This does not impair the right to pass on information to Administrations incase of statutory assignments.

Records classified for security purposes, e.g. for navy projects, are ruled by legal requirements, which have to befollowed strictly.

4.2.3 Recording on Electronic Media

If a physical recording system is replaced by an electronic system, the integrity of the information must be ensured.

Signatures may be omitted on electronic records if the potential signatory is printed on the record and the procedureis documented as to how such a record is to be released.

If signatures are required for legal reasons, a signed print-out has to be filed.

4.2.4 Retention of Records

All service-related records are to be stored/ archived for at least ten years after completion of an order in accordancewith the requirements of German law, if no other national or internal requirements are applicable.

Records providing evidence for the effectiveness of the Quality Management System shall also be kept for ten years.

Copies of records related to services that are kept in station offices in the Field are to be stored for one year aftercompletion of an order. After that, further retention shall be decided on in each individual case.

In each and every case, it shall be ensured that a complete set of documentation exists at Head Office.

4.3 Document and Data Security

It must be ensured that the integrity of all documents and data is adequately maintained at all levels. Details are laiddown in the manual for IT Security (Handbuch fr IT-Sicherheitsstrategie), which is maintained under theresponsibility of the IT Security Representative. The Societys IT Security principles are:

Maintaining and enhancing customer satisfaction by safeguarding the high quality of services with regard to e. g.competence, reliability, availability and response times

Ensuring confidence of customers, partners and staff members with regard to confidentiality, integrity andavailability of both paper-bound and electronic data

Maintaining clear guidelines for safe application of information technology Designing IT tools in a way to exclude, as far as possible, unsafe operation Protection of information and resources, including privacy data.


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4.4 Document Flow

4.4.1 Incoming Mail

For identification and traceability purposes, incoming mail is registered before delivery to the receiver. The handlingof incoming mail includes:

Head Office: Each incoming document is provided with a unique reference number and is registered in the TTSrecording system. This ensures traceability between registration and the individual document.

Field: For field locations with simpler filing-systems, the following references to the related file ensure traceability:

Sender Recipient Subject of document Related file (e.g. ship's register no.) Date of receipt.If incoming mail consists of a bundle of documents, registration must ensure traceability of the different items.

4.4.2 Receipt of Files from Mail Delivery

The user of a document is fully responsible for the document as long as the document is assigned to him/her.

On receipt of documents the recipient checks the formal registration of the incoming mail.

Misdirected documents are returned to the mail delivery office to be correctly addressed.

If documents are received centrally in a division or department, it is the obligation of the nominated staff member toensure further distribution to the relevant experts.

If parts/copies of documents are to be forwarded to other experts/locations, the receiving expert/location shall bereferenced on the original document to ensure traceability.

4.4.3 Outgoing Mail

Outgoing documents are registered in similar fashion to incoming ones. Registration of outgoing mail includes:

Reference number

Sender Recipient or customer-number Subject of the document Date of dispatch.


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4.4.4 Fax Handling at Head Office

For decentralised fax transmissions the relevant organisational unit shall ensure that incoming and outgoing faxesare registered according to 4.4.1 and 4.4.3.

Misdirected incoming faxes must be forwarded to the mail delivery office immediately for further distribution.

4.4.5 E-Mail Usage

E-mails are normally used to speed up the transmission of information.

The registration of e-mails is to be decided by responsible management.

A recipient of incoming e-mails also has to decide, depending on their importance, on further transmission.

If e-mails are used in connection with the provision of services, the potential receiver of an e-mail must ensure that

the e-mail can be redirected to a stand-in if he/she is absent.It is generally not allowed to document legally binding contracts via e-mail.

4.5 Filing

All documents relating to a service, either those produced internally or supplied by a customer, are maintained andfiled so that loss, deterioration or damage are avoided and the documents are readily retrievable.

4.5.1 Filing Order

Each file contains the related documents in a specified order.

In cases, where no applicable filing order is available, the filing unit must be provided with a relevant filing order bythe organisational unit responsible for the contents. Details are defined in separate instructions.

Prior to the distribution of a document to the filing unit, the staff member involved must check for the correctassignment to a file. The following filing principles must be followed:

New construction/ conversion documents are filed in accordance with the official filing order Files for ships in service are ordered chronologically. Ship files of other classification societies or non-classed

ships are filed e.g. according to the respective name

Survey reports are filed e.g. according to the register number in chronological order Files for certificates of material and components are categorised according to certificate number.

4.5.2 Storage Conditions

During processing, the staff member concerned is fully responsible for keeping the relevant documents in safecondition. The user of a file is responsible for preventing its deterioration. The filing unit, which is responsible for thefile's archive, shall ensure that the storage conditions prevent any damage to or loss of files, as far as is practicable.

Any damage to or loss of documents supplied by a customer, either for approval or evidence of activities performed,will be recorded or reported to the customer.


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4.5.3 Keeping of Files during Processing

During processing, the designated user is fully responsible for the documents. She/he must ensure that thedocuments are returned to the filing unit immediately after processing.

If working files are kept for any reasons, the owner must ensure that the official filing is not affected and only copiesare in use.

4.5.4 Filing in Field Organisation

Copies of all incoming and outgoing documents handled by an inspection office will be filed as follows:

Identifier Type of document

GL Register no. Matters related to surveys/inspections on board ships, includingClassification of new buildings and ships in serviceStatutory affairsCargo gear

Certificate no. Matters related to materials and components, including lifting appliances, approval testsand container inspections (separately for tank and dry cargo containers)If such correlation is not possible: filing under the name of the commissioner of theinspections/tests

Ships name Matters related to surveys/inspections on board ships not classed with GL (inalphanumerical order, separately for other Societies and for non-classed ships)

Commissionersname

Matters related to expertises in chronological order

Order no. Matters related to other orders (e. g. industrial and offshore orders)

All records not in the operations process must be stored in the related file.

Confidential documents, e.g. related to navy ships, etc., are to be filed as a classified matter. Such files will only bemade accessible to persons who are authorised according to legal requirements.


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4.5.5 Registering of Mails and Orders in Field Organisation

Journals/books to register mails and orders are maintained to support the daily work in the inspection offices.According to local conditions other filing methods are allowed, if the traceability of records according to belowmentioned criteria are guaranteed. Records can be maintained physically or electronically.

They shall contain at least the following:

Incoming mails

Date Sender's reference no. Sender Subject Filing reference

Outgoing mails

Date Sequential numbering Addressee Subject

Incoming orders

Date Subject

Ship's name/Reg. no.

Survey

Place, date and time

Surveyor in charge

Ship Surveys

Order no. Ship's name/Reg. no. Date ofsurvey

Kind ofsurvey

Reportsprepared

Clients no. To H.O.

Certificates issued

Certificate no. Date of survey Subject Commissioner Invoiceamount

To H. O. To orderer