Training for Superintendents

Seminar Documentation

Training for Superintendents

1 1.1 1.2

INTRODUCTION ............................................................................................................................................................. 4 BACKGROUND............................................................................................................................................................... 4 DEFINITIONS ................................................................................................................................................................. 4 1.2.1 Survey.............................................................................................................................................................. 4 1.2.2 Survey Requirements....................................................................................................................................... 4 1.2.3 Certificate......................................................................................................................................................... 5 1.2.4 Document of Compliance................................................................................................................................. 5 MARITIME ORGANIZATIONS ........................................................................................................................................ 6 2.1 2.2 2.3 2.4 INTERNATIONAL MARITIME ORGANIZATION (IMO)............................................................................................................ 6 INTERNATIONAL LABOUR ORGANIZATION (ILO) ............................................................................................................... 6 INTERNATIONAL ASSOCIATION OF CLASSIFICATION SOCIETIES (IACS) ............................................................................. 7 CLASSIFICATION SOCIETIES ........................................................................................................................................... 7 GENERAL PRINCIPLES OF SURVEYS....................................................................................................................... 10 3.1 3.2 3.3 3.4 GENERAL ................................................................................................................................................................... 10 NEWBUILDING REQUIREMENTS .................................................................................................................................... 10 CLASS REQUIREMENTS ............................................................................................................................................... 11 STATUTORY REQUIREMENTS ....................................................................................................................................... 11 HARMONIZED SYSTEM OF SURVEY AND CERTIFICATION (HSSC) ...................................................................... 12 4.1 4.2 4.3 INTRODUCTION ........................................................................................................................................................... 12 PRINCIPLES ................................................................................................................................................................ 12 TYPES OF SURVEYS IN THE HARMONIZED SYSTEM ......................................................................................................... 13 4.3.1 Initial Survey................................................................................................................................................... 13 4.3.2 Annual Survey................................................................................................................................................ 13 4.3.3 Intermediate Survey....................................................................................................................................... 14 4.3.4 Periodical Survey ........................................................................................................................................... 14 4.3.5 Renewal Survey............................................................................................................................................. 14 4.3.6 Inspection of the outside of the ships bottom ................................................................................................ 14 4.3.7 Additional Survey ........................................................................................................................................... 14 4.3.8 Overview ........................................................................................................................................................ 15 4.4 DURATION AND VALIDITY OF CERTIFICATES ................................................................................................................... 15

5 5.1

SURVEYS...................................................................................................................................................................... 17 TYPES OF SURVEY ...................................................................................................................................................... 17 5.1.1 Classification surveys..................................................................................................................................... 17

5.1.1.1 5.1.1.2 Initial class surveys of newbuildings ............................................................................................................................ 17 Class surveys of fleet in service................................................................................................................................... 17

5.1.2
5.1.2.1

Statutory Surveys........................................................................................................................................... 19
Types of statutory surveys ........................................................................................................................................... 19

5.1.3 Surveys on behalf of owners.......................................................................................................................... 20 5.1.4 Surveys on behalf of insurance...................................................................................................................... 20 5.1.5 Sale and purchase surveys on behalf of prospective buyers......................................................................... 21 5.1.6 Surveys on behalf of Oil Majors / SIRE & CDI inspections ............................................................................ 21 5.2 GENERA OVERVIEW ON THE PERFORMANCE OF SURVEYS .............................................................................................. 21 5.2.1 General .......................................................................................................................................................... 21 5.2.2 Documentation............................................................................................................................................... 21 5.2.3 Hull Survey..................................................................................................................................................... 21 5.2.4 Machinery and Electrical Installation.............................................................................................................. 21 5.2.5 Statutory Survey Related Items ..................................................................................................................... 21 5.2.6 Oil tankers, Combination Carriers.................................................................................................................. 22 5.2.7 Docking Survey.............................................................................................................................................. 22 5.2.8 Additional Survey Requirements.................................................................................................................... 22 6 6.1 CERTIFICATES............................................................................................................................................................. 23 CLASS CERTIFICATES.................................................................................................................................................. 23 6.1.1 Single Class Certificate .................................................................................................................................. 23 6.1.2 Class Certificate for Newbuildings ................................................................................................................. 23 Page 2 of 24

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6.1.3 Class Certificates for ships in service ............................................................................................................ 23 6.1.4 Alterations to the Class Certificate................................................................................................................. 23 6.2 STATUTORY CERTIFICATES.......................................................................................................................................... 23 6.3 ENDORSEMENTS IN CERTIFICATES................................................................................................................................ 23 6.3.1 Endorsement for annual, intermediate, periodical or bottom survey.............................................................. 23 6.3.2 Endorsement after renewal survey ................................................................................................................ 23 6.3.3 Endorsement to extend the certificate if valid for less than 5 years............................................................... 24 6.3.4 Change of anniversary date........................................................................................................................... 24 6.3.5 Revalidation of certificates ............................................................................................................................. 24

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Introduction

1.1 Background A set of national and international regulations, especially those by the IMO, prescribe what certificates are to be aboard a ship depending on type and size. The federal authorities or the classification society acting on behalf certify that a ship is in accordance with the international regulations in regard to constructional safety and standard of equipment. This certification whether a ship complies to the requirements can only be issued if it is being surveyed in regular intervals. Surveys in regular intervals are also explicitly required by various IMO conventions. Alongside the flag State surveys class surveys are conducted to confirm and maintain class status. The flag State surveys and class surveys overlap partially or class surveys are integrated into the flag State surveys as in the case of the Cargo Ship Safety Construction Certificate. The number of flag State surveys for cargo ships on international voyages alone has more than doubled in the last two decades. Today ship personnel and shipping company inspections are faced with a number of required certificates and manuals and the connected surveys. This imposes extra burden on the personnel of the ship management level especially in situations where attention has to given to a multitude of simultaneous tasks while in a port. Further requirements are placed on the ship personnel and the responsible positions in the land side part of the company. The implementation of the International Safety Management Code (ISM-Code) and the International Ship & Port Facility Security Code (ISPS-Code) can be seen as the best examples. All this leads consequently to the necessity of establishing more in practice surveillance schemes in the maritime industry in the future. The harmonized system of survey and certification (HSSC) by the IMO was the step into that direction. 1.2 Definitions

1.2.1 Survey A survey is an inspection of items of a ship relating to a particular certificate to ensure that they are in a satisfactory condition and fit for the service for which the ship is intended. Therefore surveys are an important element of control if a ship complies with the relevant provisions. 1.2.2 Survey Requirements The Conventions provide the basis for issuing the certificates, but their provisions are not as a rule detailed enough for carrying out surveys and additional guidance is necessary for surveyors. This usually takes the form of guidelines, recommendations and specifications which may be adopted either by the IMO Assembly or by its technical committees or by classification societies.
(IMO Model Course 3.07, Hull and Structural Surveys, 1992)

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1.2.3 Certificate Certificates are issued by means of which a flag state declares that the ship named on the certificate has been examined and found to comply with the provisions indicated on the certificate. 1.2.4 Document of Compliance A document of compliance, which may be called a certificate, statement, or declaration although it is not foreseen by any international convention, may be issued by a classification society at the request of an owner whose ship operates under the flag of a state which is not Party of a convention. In this case the administration of such a state cannot issue an international certificate, but it may be of advantage to the owner to be able to prove that the ship complies with the relevant provisions of the convention.
(IMO Model Course 3.07, Hull and Structural Surveys, 1992)

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Maritime Organizations

2.1 International Maritime Organization (IMO) Founded in 1948 under the name Inter-Governmental Maritime Consultative Organization (IMCO) and following a name change in 1982 to the IMO (International Maritime Organisation) with extended responsibilities and powers, the IMO was appointed to the Economic and Social Committee of UNO. The organisations primary goal is the promotion of co-operation between States in the field of technical issues relating to international shipping, in particular the safety of ships at sea and marine environmental protection as well as the organisation of the exchange of information between IMO members. It makes recommendations to member governments on the regulations that have been passed for adoption into their own laws. All international Conventions are kept at the IMO. The IMO itself has no power or authority to enforce Conventions in respect of individual States or ships. Enforcement of a specific Convention is the sole responsibility of the State that took the voluntary decision to adopt and integrate it into its individual laws. Being a member State of IMO means being an active participant in the work to improve the whole shipping sector, i.e. amending existing rules and working out proposals for supplementing the Conventions. Germany is normally represented at IMO sessions by a delegation from the Maritime Transport Department of the Federal Ministry for Transport, Building and Construction and Housing Industry (BMVBW). A distinction must be made between membership of the IMO and status as a signatory (Party) to a Convention (treaty State status). The two should be regarded as being independent of each other. In October 2004, the IMO had 164 member States who meet every two years at a General Assembly. The 40 members of the Council are selected by the Assembly. The IMO Secretariat and various Committees come under the Council. The desired aim in respect of all States is accession to as many Conventions as possible so as to achieve a worldwide uniform standard of ship safety. 2.2 International Labour Organization (ILO) The International Labour Organization is the UN specialized agency which seeks the promotion of social justice and internationally recognized human and labour rights. It was founded in 1919 and is the only surviving major creation of the Treaty of Versailles which brought the League of Nations into being and it became the first specialized agency of the UN in 1946. The ILO formulates international labour standards in the form of Conventions and Recommendations setting minimum standards of basic labour rights: freedom of association, the right to organize, collective bargaining, abolition of forced labour, equality of opportunity and treatment, and other standards regulating conditions across the entire spectrum of work related issues. It provides technical assistance primarily in the fields of: - vocational training and vocational rehabilitation; - employment policy; - labour administration; - labour law and industrial relations; - working conditions; - management development; - cooperatives; - social security; - labour statistics and occupational safety and health.

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It promotes the development of independent employers' and workers' organizations and provides training and advisory services to those organizations. Within the UN system, the ILO has a unique tripartite structure with workers and employers participating as equal partners with governments in the work of its governing organs. Because of the unique character of seafaring, most maritime countries have special laws and regulations covering this occupation. Consequently, the ILO, since its founding, has had special "machinery" for seafarers. The machinery includes the Joint Maritime Commission, which advises the Governing Body on maritime issues, and special Maritime Sessions of the International Labour Conference (ILC) which focus solely on the preparation and adoption of maritime labour standards. E.g.: Survey of living and working conditions of seafarers and international registers The ILO has conducted a survey of living and working conditions of seafarers on international registers. The results have been used to prepare an ILO report. (Source: ILO website: http://www.ilo.org) 2.3 International Association of Classification Societies (IACS) The International Association of Classification Societies, the IACS, was founded in 1968 to provide an advisory service to the maritime industry and co-operate with it. More than 90% of the worlds merchant tonnage - representing more than 40,000 ships - is classified with the 10 IACS members. The IACS has 10 members and 2 associate members (as of August 2001).
Name
American Bureau of Shipping Bureau Veritas China Classification Society Det Norske Veritas Germanischer Lloyd Korean Register of Shipping Lloyds Register of Shipping Nippon Kaiji Kyokai Registro Italiano Navale Russian Maritime Register of Shipping Associate Member: Hrvatski Registar Brodova - Croatian Register of Shipping Associate Member: Indian Register of Shipping

Abbreviation
ABS BV CCS DNV GL KR LR NK RINA RS CRS IRS

2.4 Classification Societies There are approximately 60 companies that deal with ship classification world-wide. Of these, however, only ten are member of the International Association of Classification Societies (IACS). Membership in IACS is a de facto prerequisite to the world wide acceptance of a classification society by flag States, insurers, underwriters and other relevant industry organizations. Classification societies have various fields of responsibility: - Classifying ships on the basis of classification rules at the request of a ship-owner, or a shipyard on behalf of the ship-owner; - Conducting surveys in accordance with international Conventions on behalf of the flag State;
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Issuing the appropriate certificates - Class Certificates and Statutory Certificates - following a successful survey. A flag State does not itself usually have the capacity to perform survey functions on its own ships, but entrusts these responsibilities to a classification society. In order to guarantee an adequate standard for classification societies, the IMO have adopted an amendment to SOLAS and two Resolutions: - SOLAS II-1/Part A/Reg.3-1:"Ships are to be designed, constructed and maintained in compliance with the structural, mechanical and electrical requirements of a classification society which is recognized by the Administration in accordance with the provisions of regulation XI/1, or with applicable national standards of the administration which provide an equivalent level of safety." - Res. A.739(18): Guidelines for authorisation of organisations acting on behalf of the Administration - Res. A.789(19): Specifications on the survey and certification functions of recognized organisations acting on behalf of the administration The flag generally determines the classification society. That is to say that if a ship has been built under the rules of a classification society, the flag State with whom the ship has been registered will also use this classification society for its statutory surveys. Since in-depth knowledge about the ship and its equipment is needed to conduct statutory surveys, IACS classification societies will not conduct statutory surveys on the ships of other classification societies.

Germanischer Lloyd Germanischer Lloyd was established in the year 1867 as a Society for the classification of ships and machinery and ranks as a technical supervisory institution. The structure of the Society is that of a performance-oriented joint-stock company. Germanischer Lloyd fulfils its functions in the area of safety technology with objectivity and impartiality and acts in the common interest of all concerned with the safety and operation of ships and offshore installations. The Society has its Registered Office in Hamburg. The object of the Society is the classification of ships and offshore installations, the publishing of registers and rules serving that purpose, the examination of other technical plant and products, the improvement of safety in shipping and offshore technology, the certification of quality and safety management systems according to the international ISO 9000 series, ISM (International Safety Management Code) and ISMA (International Ship Managers Association) as well as the initiating and promoting experimental work and research in these areas to the benefit of the community as a whole. The work of Germanischer Lloyd is based on its Rules for Classification, Survey and Construction, which are considered by its Technical Advisory Committee before being issued. The entire corpus of Rules is subject to constant revision to keep it up to date with the latest technology. Germanischer Lloyd Rules are recognized as setting standards of good engineering practice. Using electronic data processing equipment, Germanischer Lloyds Research and Development Departments in the fields of shipbuilding, marine engineering and Electro technology undertake theoretical and experimental investigations and development projects. A comprehensive range of instruments is available for large-scale experimental work and measurements performed on board ship and in the laboratory.

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Germanischer Lloyd is recognized as a Classification Society by more than 110 states, most of which authorize it to act on their behalf. Acting for the competent authorities, the Society surveys ships in accordance with international conventions and issues the appropriate certificates. The performance of duties concerned with ships safety on vessels flying the flag of the Federal Republic of Germany is governed by legislation which provides for the See-Berufsgenossenschaft (SeeBG) to act jointly with Germanischer Lloyd on behalf of the Federal Minister of Transport. Germanischer Lloyd acts here as technical consultant to the See-BG. This function is stipulated in a contract dating back to 1894 and covers not only ships safety but also the prevention of accidents on board ship. Through its activity on behalf of the Federal German Minister of Transport and its work as consultant to the See-BG, Germanischer Lloyd is deeply engaged in efforts directed towards the improvement and refinement of national regulations and international conventions on ships safety. Germanischer Lloyd Classification Certificates are recognized internationally by all the large insurance companies. They provide the basis both for insurance cover and for the issue of the Safety Construction Certificate under the terms of the SOLAS Convention. For carrying out the surveys, surveyors are available in ports and industrial centres throughout the world. To make the network as close-knit as possible, reciprocal contracts have in some cases been entered into with other classification societies, including provision for reciprocal representation in the respective parent countries. Germanischer Lloyd is one of the 10 internationally recognized classification societies which have banded together to form the INTERNATIONAL ASSOCIATION OF CLASSIFICATION SOCIETIES (IACS). This Association has consultative status with IMO and has set up a number of Working Groups whose purpose is to ensure the standard drafting of international conventions worldwide, to submit recommendations to IMO and to standardize parts of the rules for survey and construction. Meanwhile numerous such "unified requirements" are already in being. As a general rule, a ship-owner has a free choice of classification society.

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General Principles of Surveys

3.1 General Details of who is permitted to carry out surveys relating to ship certification in issues relating to SOLAS, the scope of the surveys and the timing of the surveys are detailed in Chapter I Part B of SOLAS (refer to annex). In brief, SOLAS based surveys will be carried out by surveyors working for either a national administration corresponding to the ships flag or by the surveyor of a Recognized Organization (RO) e.g. a class society. In the case of a class society surveyor carrying out the survey the society concerned will have had authorization given to it by the flag administration to conduct the survey concerned. 3.2 Newbuilding Requirements Any shipyard which has received an order for a ship newbuilding, must find out which rules and requirements are to be complied with. This process often goes in parallel with the design work, however, should be completed when construction work is starting. As the building contract normally requires compliance with the latest amendments of existing rules and regulations it is of utmost importance to be informed about present and new requirements which are coming up in the next future. When talking about rules and requirements one should focus on the most important ones, as there are: - Owners Requirements (Specification) - Shipyard / Shipbuilding Standards - Statutory Requirements - Class Requirements

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3.3 Class Requirements Class requirements are normally not statutory requirements but there is a close interrelation. Since 1st July, 1998 all new ships which are to comply with the requirements of SOLAS 74 shall be designed, constructed and maintained in compliance with the structural, mechanical and electrical requirements of a classification society (SOLAS 74, Reg. II-1/3-1). The basic principle of the rules and regulations of classification societies are to include the relevant SOLAS requirements in the specific sections. Besides the inclusion of SOLAS Requirements, amendments to the Rules and Regulations of classification societies are normally initiated as follows: - Scientific findings (research) - Proposal by the industry - Experience driven (casualty statistic) - Proposal by the underwriters - Proposal by an authority 3.4 Statutory Requirements Statutory Requirements are requirements which are adopted by the international intergovernmental Organizations such as IMO or ILO. Whereas the IMO-Requirements are restricted to the ships in international trade and to the maritime infrastructure, the ILO is dealing with more or less all areas of work and living conditions of people in connection to their work. The international statutory requirements are to be applied worldwide for all flag states which have ratified the relevant statutory instruments. Also ships under a flag of a country which has not signed and ratified the relevant convention have to fulfil the requirements of that convention. In practice this would mean, any ship not complying with the rules will be immediately detained when calling in a port of a signatory country. The flag states have also national statutory requirements, which are in addition to the international ones. Plan approval and survey for the purpose of verifying compliance with the relevant statutory requirements is the responsibility of the flag state administration. Many flag states have delegated these tasks to certain classification societies. Germanischer Lloyd is presently authorized to perform statutory duties on behalf of round about 110 flag states.

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Harmonized System of Survey and Certification (HSSC)

4.1 Introduction With the entry into force of the 1988 SOLAS and Load Line Protocols on 03rd February 2000 the Harmonized System of Survey and Certification (HSSC) took effect for ships entitled to fly the flag of States which are parties to these protocols. The HSSC is also to be applied for a number of further flag states which have decided to apply the IMO assembly resolution A.883(21) and have instructed us to act accordingly. The aim of HSSC is to issue all statutory certificates in harmony with the class period for a validity of five years. There are 10 Ship Safety Certificates affected by HSSC: Passenger Ship Safety Certificate Cargo Ship Safety Certificate Cargo Ship Safety Construction Certificate Cargo Ship Safety Radio Certificate Cargo Ship Safety Equipment Certificate International Load Line Certificate IOPP Certificate (MARPOL Annex I) NLS1 Certificate (MARPOL Annex II) COF2 Liquefied Gases COF Dangerous Chemicals in Bulk.

The HSSC provides for: - a one-year standard interval between surveys, based on initial, annual, intermediate, periodical and renewal surveys, as appropriate - a scheme for providing the necessary flexibility for the execution of each survey with the provision that : o the renewal survey may be completed within 3 month before the expiry date of the existing certificate with no loss of its period of validity o there is a time window of 6 month from 3 month before to 3 month after the anniversary date of the certificate for annual, intermediate and periodical surveys - a system for the extension of certificates limited to three month to enable a ship to complete its voyage, or one month for ships engaged in short voyages - a period of validity of the new certificate starting from the expiry date of the existing certificate before its extension, when an extension has been granted - a flexible system concerning the frequency and the period of validity of certificates, provided that the minimum pattern of surveys is maintained 4.2 Principles The HSSC results in harmonized (simultaneous) dates of the various class- and statutory surveys. For this purpose an anniversary date is fixed (normally at the last day of the month of the ships delivery) which governs the period of validity of certificates (5 years) - for passenger ship safety

1 2

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certificate (1 year) - and the time windows for all surveys during the period of validity (anniversary date +/- 3 months). After a successful renewal survey, within the last 3 months before the expiry date of the certificate the period of validity may be extended by 5 months. The HSSC is now the standard survey scheme. Detailed guidance for the HSSC is given in Resolution A.948(23) of 5 December 2003 (refer to annex). The introduction of the HSSC for the various IMO Instruments was made with the following IMO Documents:

IMO Document Protocol of 1988 relating to the International Convention for the Safety of Life at Sea, 1974 Protocol of 1988 relating to the International Convention on Load Lines, 1966 Resolution MEPC.39(29) of 16 March 1990 Resolution MEPC.39(29) of 16 March 1990 Resolutions MEPC.40(29) of 16 March 1990 and MSC.16(58) of 24 May 1990 Resolutions MEPC.41(29) of 16 March 1990 and MSC.16(58) of 24 May 1990 Resolution MSC.17(58) of 24 May 1990

IMO Instrument 1974 SOLAS Convention 1966 Load Line Convention MARPOL 73 / 78 Annex I MARPOL 73 / 78 Annex II IBC Code BCH Code IGC Code

Flag states not having ratified the 1988 SOLAS- and Load Line protocols may introduce the HSSC based on the IMO assembly resolution A.883(21).

4.3 4.3.1

Types of Surveys in the harmonized system Initial Survey

The Initial Survey is first survey for a specific certificate. It may be conducted when a ship is put into service of when changing class. An Initial Survey may be required additionally when changing flag if demanded by the flag State or if the GL has not yet been authorized to certify the ship in question. On an Initial Survey a complete surveillance of the equipment and installations covered by the certificate will be conducted and documented. This survey will lead to the issuance of a certificate. 4.3.2 Annual Survey

The Annual Survey (A) is a survey to be carried out once a year (within a time window: anniversary date +/- 3 months) in regard to a specific certificate. The equipment and installations covered by the certificate will be surveyed in respect to their completeness and function. This survey will lead to an entry into the certificate.

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4.3.3

Intermediate Survey

An Intermediate Survey (I) is a specific survey of equipment and installations covered by a certificate. This survey is more extensive than an Annual Survey and is required once during the validity period of the certificate. It may be conducted either in the 2nd or 3rd annual survey once during the validity period of the specific certificate. The time window is the same as of the annual survey (anniversary date +/- 3 months). This survey will lead to an entry into the certificate. 4.3.4 Periodical Survey

The Periodical Survey (P) is a newly introduced type of survey that has the same scope as a Renewal Survey. It was especially developed for - Cargo Ship Safety Radio Certificate - Cargo Ship Safety Equipment Certificate, in order to survey the required equipment more intensively in certain intervals. For the Safety Radio Certificate it is due annually, for the Safety Equipment Certificate it may be conducted either in the 2nd or 3rd year of its validity period (time window: anniversary date +/- 3 months). 4.3.5 Renewal Survey

A Renewal Survey (R) is due towards the end of a validity period. It is conducted to survey the equipment and installations required by the certificate with the aim of issuing a new certificate after successful surveillance. The Renewal Survey may be conducted up to 3 months in advance of the date of expiry (time window: anniversary date 3 months). The period of validity of the new certificate will start with the date of expiry of the old certificate. Renewal Surveys conducted more than 3 months prior to the date of expiry will set the beginning of the period of validity to the date of issuance of the new certificate. This survey will lead to the issuance of a new certificate. 4.3.6 Inspection of the outside of the ships bottom Inspections of the outside of the ships bottom are valid for the Cargo Ship Safety Construction Certificate. Two inspections of the outside of the ships bottom are due during any five year period. The interval between any two such inspections shall not exceed 36 months. 4.3.7 Additional Survey An additional survey is an inspection, either general or partial according to the circumstances, to be made after a repair resulting from investigations or whenever any important repairs or renewals are made.

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4.3.8 Overview The following overview shows the applicable kind of surveys for the various certificates depending on the year of validity. Year Month Passenger Ship Safety Cerificate Safety Equipment Certificate Safety Radio Certificate Saftey Construction Certificate Gas Carrier Fitness Certificate Chemical Tanker Fitness Certificate Load Line Certificate IOPP Certificate Noxious Liquid Substances Certificate 1 9 2 3 12 15 21 24 27 33 36 39 R R
5 4 45 48 51 57 60

R A P A A A A A A

R R R R R R R R R

A
P

A or P P or A

A A A A A A

A or I I or A A or I I or A A or I I or A

A A A or I I or A A or I I or A

Should the required annual surveys not be conducted within the prescribed time window the certificate looses its validity. Only after an agreement with the flag State a decision can be made what surveys have to be carried out to regain the validity of a certificate. 4.4 Duration and validity of Certificates

All certificates except Passenger Ship Safety Certificate are valid for five years. The Passenger Ship Certificate is valid for one year. The period of validity is determined by the class period. There is a possibility to issue a combined Cargo Ship Safety Certificate instead of the formerly single Safety Radio, Safety Equipment and Safety Construction Certificate. It is in the hands of the flag States though, to decide if they shall open this possibility to their owners. The following entries will be made on the HSSC certificate: - annual surveys - entry of the new Anniversary Date, if the owner wants to predate surveys - months extension of the certificate after successful renewal survey - extension of the certificate for a Period of Grace The HSSC works mostly without interim certificates. A successful renewal survey results in a 5 months extension of the old certificate. Only if a certificate has to be withdrawn, an interim certificate will be issued.
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This may be the case when major deficiencies or damages to equipment occur during the period of validity (e.g.: damage to a rescue boat that with consent of flag State may be substituted for a certain time by additional floating rescue devices) Furthermore interim certificates can be issued for newbuildings and in case of change of flag.

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5
5.1

Surveys
Types of Survey

5.1.1 Classification surveys Classification surveys are differentiated into initial surveys of newbuildings and class surveys of fleet in service. 5.1.1.1 Initial class surveys of newbuildings In the building contract and/or the pertinent specification the ship-owner placing the order and the building yard agrees, that the ship and its machinery are to be constructed in accordance with the Rules of Germanischer Lloyd and which character of classification and notations she is to be assigned. The supervision will be carried out chronologically in accordance with the state and progress of construction. The procedures are divided in the following types of surveys: - surveys at manufacturer (materials) - surveys at manufacturer (components) - survey at shipyard - sea trials Finally the results of the construction procedure are summarized in the following class surveys: - Initial hull survey - Initial machinery survey - Initial refrigerating installations survey - Initial surveys of lifting appliances & other equipment of newbuilding Based on the Surveyor's construction reports GL issues the final "Class Certificate". The ship and its character of classification are entered for publication in the Register Book of GL. 5.1.1.2 Class surveys of fleet in service The class surveys of fleet in service are again differentiated according the same scheme used for the newbuildings: - Hull surveys - Machinery including electrical installation surveys - Refrigerating installations surveys - Lifting appliances and other equipment of fleet in service periodical and other surveys. For class, a programme of periodical surveys is of prime importance as far as structural assessment of cargo holds and the adjacent tanks is concerned. The programme consists of annual, intermediate and special surveys. The purpose of the annual and intermediate surveys is to confirm that the general condition of the vessel is maintained at a satisfactory level. The special surveys are carried out at four or five years intervals with the purpose of establishing the condition of the structure to confirm that its integrity is satisfactory, in accordance with the classification requirements, and will remain fit for its intended purpose until the next special survey, subject to proper maintenance and operation. At annual class surveys it is ensured that - the ship's hull, closing appliances and safety arrangements are maintained in a satisfactory condition between class renewals.
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the entire machinery installation including main and auxiliary engines, boilers, vessels and equipment under pressure, valves and fittings, safety devices plus the electrical installation are maintained in a satisfactory condition during a period of class the entire refrigerating installation including reefer cargo holds, ventilation and refrigerating plants as well as control, monitoring and safety devices are maintained in a satisfactory condition during a period of class.

The annual class survey of hull and machinery covers all the requirements of the mandatory annual survey in respect of the Cargo Ship Safety Construction Certificate in accordance with the SOLAS 1974 currently in force, as amended. It is therefore recognized by the authorities of the flag states which have granted authorization to Germanischer Lloyd, as constituting the mandatory annual survey for the purposes of the Safety Construction Certificate. The annual class survey hull is to be performed simultaneously with the annual class survey machinery. Surveys fall due annually between Class Renewals. The due date is the last day of the month in which the current period of class will complete one year of validity. The Survey may be carried out in the period extending from 3 months before to 3 months after the due date (time window).

Intermediate surveys are required for all seagoing ships irrespectively of their age. The intermediate survey (of hull and machinery) covers all the relevant requirements of the SOLAS 1974 currently in force, as amended, in so far as these relate to the Cargo Ship Safety Construction Certificate. This survey is therefore recognized by the administration of the flag states which have granted authorization to Germanischer Lloyd as constituting the intermediate survey with regard to the Safety Construction Certificate. The intermediate survey hull is to be simultaneously performed with the intermediate survey machinery. The survey becomes due 2 years after the commencement of the period of class (commissioning resp. class renewal). The due date is to be calculated from the day at which the current period of class will complete 2 years of validity. The survey may be conducted on the occasion of the 2nd or 3rd annual class survey. Any items to be surveyed in addition to those required to be surveyed during annual surveys may be alternatively surveyed during the period between the 2nd and 3rd annual surveys. For the hull a drydock survey (if required) carried out before the prescribed due period of survey may be recognized for the intermediate survey provided that the interval between the drydock survey to be recognized and the next drydock survey is not longer than 36 months. Accordingly, the Safety Construction Certificate is to be specially endorsed in such cases. Dry-dock surveys are a requirement at special surveys and are included in the programme of periodical hull surveys. In some cases it may be possible to replace the intermediate dry-dockings between special surveys with in-water surveys and this will depend on the survey requirements of the relevant classification society. In addition to those requested for annual surveys, there are now requirements for the overall and closeup survey of cargo holds and ballast tanks used primarily for salt water ballast, including the reexamination and thickness measurements of any suspect areas. On ships with classified cargo refrigerating installations, aged five years and more intermediate class surveys are extended annual surveys.
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Nominally the intermediate survey is due 2,5 years after the last class renewal survey. Actually the intermediate survey replaces the second or third annual survey. During the first period of class no intermediate survey is to be conducted.

The class renewal survey is a detailed inspection of - the hull together with its installations and equipment, if subject to classification - the machinery, electrical installations and safety equipment plus classified special equipment - the cargo refrigerating plant plus classified special equipment for the purpose of assigning to the ship a new period of class. The class renewal survey shall include examination, tests and checks of sufficient extent to ensure everything is in satisfactory condition and that the ship is fit for its intended purpose for the next five (5) year class period, subject to proper maintenance and operation and the periodical surveys being carried out at the due dates. The class renewal survey is deemed to constitute and is recognized as a periodical survey (i.e. in this case a renewal survey) for the Cargo Ship Safety Construction Certificate by the administrations of the flag states which have granted authorization to Germanischer Lloyd.

Damage surveys are occasional surveys which are, in general, outside the programme of the periodical surveys and are requested as a result of hull damage or other defects. The damage may result from grounding, collision, heavy weather, contact damage and other structural damage or defects which could impair the structural capability or watertight integrity of the hull. It is the responsibility of the owner or his representative to inform the classification society concerned when damage of this nature occurs.

The enhanced survey programme (ESP) expands and emphasizes the existing survey requirements at both the special and the intermediate surveys and also at the annual survey; with attention being focused upon the hull structure in the cargo hold length. In the ESP it is a requirement for new ships to apply a protective coating to the structure in water ballast tanks which form part of the hull boundary, and side shell structure and transverse watertight bulkheads in holds. The condition coatings will be gauged and recorded at the special survey and the extent of future annual and intermediate surveys will be dependent on the protection afforded to the steelwork. The ESP also requires identification of what are termed suspect areas. These are structural areas showing substantial corrosion, considered by the surveyor to be prone to rapid wastage. Suspect areas, if not repaired at special survey, will be recorded for particular attention during the survey cycle. 5.1.2 Statutory Surveys All statutory tasks performed by Germanischer Lloyd are based on the authorization by the ships flag state administration, i. e. the government of the state the flag of which the ship is entitled to fly. Currently, GL is authorized by more than 110 administrations. (ref. to List of Authorisation). Most flag states have signed the main international conventions (SOLAS; Load Line, MARPOL etc.) which define a widely respected common standard of regulations to be applied to ships engaged in international trade. However, special national requirements may exist and therefore the surveyor has to refer to so called Statutory National Requirements before performing any statutory duties.

5.1.2.1 Types of statutory surveys Again it is differentiated between initial statutory surveys for newbuildings and statutory surveys for fleet in service.
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The following surveys are carried out (not comprehensive list): - Load Line Surveys - Cargo Ship Safety Construction Survey - Cargo Ship Safety Equipment Survey - Radio Installation Survey - Passenger Ship Safety Survey - Special Trade Passenger Ships Survey - Surveys for Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk - Surveys for Certificate of Fitness for the Carriage of Liquefied Gases in Bulk - MARPOL 73/78 Annex I, II, IV, V, VI Surveys - Tonnage Measurement Surveys - High Speed Craft Surveys - Surveys for Artic Pollution Prevention Certificate - Surveys of Special Purpose Ship Certificate - Surveys for International Fishing Vessel Safety Certificate - Surveys for Mobile Offshore Drilling Units Safety Certificate - Surveys for International Certificate of Fitness of INF Cargo - Surveys for Compliance Certificate for: o Carriage of Dangerous Goods o International Labour Conference Convention No. 92 and 133 for Crew Accomodation on Board Ships o US-Coast Guard Regulations for Foreign Ships Operating in US Water o Panama Canal Authority Regulations o Suez Canal Authority Regulations o St. Lawrence Seaway Regulations o Noise Level Measurement o Vibration Measurement o Carriage of Solid Bulk Cargoes o German / SeeBG Regulations o Maritime Equipment approved acc. To EU Directive 96/98/EC (MED) - TBT-free Certification of Anti-Fouling Systems - Beverage Dispensing Equipment Surveys 5.1.3 Surveys on behalf of owners Owner inspection requirements may comprise the following types of surveys: - life continuance planning and corrosion trends analysis - pre-period overhaul planning for on board machinery (assessement of the current condition of the machinery in order to identify problems and to work out an inspection, repair and maintenance program) - pre-purchase condition appraisal 5.1.4 Surveys on behalf of insurance These surveys comprise: - survey on behalf of hull and machinery underwriters - surveys on behalf of P&I clubs - seaworthiness surveys

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5.1.5 Sale and purchase surveys on behalf of prospective buyers Second hand ship purchase deals are normally made through specialist Sale and Purchase brokers and Sellers and Buyers will have separate brokers. 5.1.6 Surveys on behalf of Oil Majors / SIRE & CDI inspections Vetting inspections on behalf of Oil Majors as well as the Ship Inspection Report Exchange (SIRE) and the Chemical Distribution Institute (CDI) are carried out on behalf of owners or potential charterer of oil-, product-, chemical- and gas tankers. The above inspections consist of risk assessment surveys, and will mainly focus on safety, pollution and operational matters.

5.2 5.2.1 5.2.2 5.2.3 5.2.4 5.2.5 -

General overview on the performance of surveys General Confirm all modifications which might affect class are reported Confirm all surveys for boilers and other pressure vessels are up to date Confirm no planned surveys are overdue Confirm the other certificates are endorsed Documentation prepare all certificates ensure log entries have been checked and found satisfactory ensure all emergency drills have been carried out and are recorded all officers are informed and prepared Hull Survey condition of hull and is closing appliances is satisfactory condition of the anchoring and mooring equipment is satisfactory watertight doors are operationally tested and found satisfactory structural fire protection remains unchanged operation of loading instrument is satisfactory salt water ballast tanks have protective coating depending on ship type: ready for close-up survey, condition of securing arrangements Machinery and Electrical Installation machinery and boiler spaces emergency escape routes are free of obstructions machinery and boiler spaces are free of visible fire and explosion hazards steering arrangements, including associated equipment, have been found satisfactory communication systems between bridge and machinery control bilge pumping systems electrical equipment and cabling satisfactory operation of the main and emergency electrical installations satisfactory operation of the main and emergency sources of power Statutory Survey Related Items fire control plan fire and smoke detection and alarm systems
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5.2.6 5.2.7 5.2.8 -

fire pumps all fire equipment is at its respective station and in satisfactory condition portable extinguishers fully charged and in position and with valid service date remote controls for stopping fans and machinery and shutting off fuel supplies are in working order closing arrangements are satisfactory firemans outfit are complete and in satisfactory condition manning requirements and certificates maneuvering booklet and information on bridge damage control plans structural fire protection and doors ventilation of machinery spaces noise protection in machinery spaces engineers alarm is audible in engineers accommodation area Oil tankers, Combination Carriers Weather deck (cargo tank openings, portable instrument for measuring vapour concentrations) Cargo Pump Room Inert Gas System (where fitted) Fire Extinguishing Arrangements Emergency Towing Arrangements Docking Survey shell including bottom, side and bow plating, sea inlet boxes, keel, stern, stern frame, rudder sea suctions and overboard discharge valves propeller and fastenings propeller shaft seal anchoring and mooring equipment Additional Survey Requirements depending on ship type and age all ships, dry cargo ships, oil tankers, dry bulk cargo ships up to 5 years, 5 to 10 years, 10 to 15 years, 15 years and above

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6
6.1

Certificates
Class Certificates

6.1.1 Single Class Certificate For seagoing ships, one Class Certificate will be issued for hull, machinery, and cargo refrigerating installation, if any. For inland vessels, also a joint hull and machinery Certificate only is issued. The figures of the Certificate No. on the right side are identical to the respective vessel's GL Register No. 6.1.2 Class Certificate for Newbuildings The Class Certificate for newbuildings is issued only after examination of all the newbuilding reports. They are not therefore generally available on completion of the ship. Surveyors then have to make out an Interim Class Certificate. 6.1.3 Class Certificates for ships in service New Class Certificates for ships in service are issued if a new Period of Class has been assigned or where it has been necessary to make extensive alterations. 6.1.4 Alterations to the Class Certificate Alternatively alterations to the Class Certificate details arising from a change of name, sale, change of flag, conversion etc. are to be made by the Surveyor. Interim Class Certificates are to be issued by the Surveyor: On completion of newbuildings On completion of admission to class surveys, If a ship in service is found to be without a class certificate, 6.2 Statutory Certificates Refer to list of statutory surveys in chapter 5.1.2.1. 6.3 Endorsements in certificates

6.3.1 Endorsement for annual, intermediate, periodical or bottom survey Each annual, intermediate, periodical or bottom survey carried out with satisfactory results in the prescribed intervals has to be endorsed on the relevant certificate. 6.3.2 Endorsement after renewal survey Upon a successfully completed renewal survey the existing certificate may be endorsed by the Surveyor and shall be accepted as valid for a period of up to five months from the expiry date of the certificate if a new certificate cannot be issued or placed on board the ship before the expiry date (SOLAS I reg. 14(d)).

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6.3.3 Endorsement to extend the certificate if valid for less than 5 years. If a certificate other than a Passenger Ship Safety Certificate is issued for a period of less than five years, the validity of the certificate may be extended beyond the expiry date to the specified maximum period, provided that the surveys applicable when a certificate is issued for a period of five years are carried out as appropriate (SOLAS I reg. 14(c)). 6.3.4 Change of anniversary date If an annual, intermediate or periodical survey is completed before the annual time window the anniversary date shown on the relevant certificate shall be amended by endorsement to a date which shall not be more than three months later than the date on which the survey was completed. This means that a new due date can be chosen within a period of three months after an advanced annual, intermediate or periodical survey. The subsequent annual, intermediate or periodical survey shall be completed at the time window using the new anniversary date. The anniversary date can be changed twice within a 5 year period. The change of anniversary date does not effect the expiry date of the certificate. Example for determining the new anniversary date (usually the latest possible date is chosen):

6.3.5 Revalidation of certificates A certificate ceases to be valid if a periodical, intermediate or annual survey, as appropriate, or the inspection of the outside of the ships bottom is not completed within the regular time window. The validity of the certificate should be restored by carrying out the appropriate survey in accordance with the requirements of the survey that was not carried out. In any such case the flag state has to be informed and asked for confirmation on the defined scope of survey, demanded for the revalidation of the certificate. Subsequent to receipt of confirmation from the flag state and after completion of the required survey the endorsement on the certificate should be carried out.

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