CONTENTS page

Chapter 1 ..................................................................................................................... 5
INTRODUCTION

Chapter 2 ..................................................................................................................... 6
HISTORY OF SHIP CLASSIFICATION SOCIETIES

Chapter 3 ..................................................................................................................... 13
IACS: ITS HISTORY, ORGANISATION AND ACTIVITIES

Chapter 4 ..................................................................................................................... 18
THE ROLE OF A SOCIETY

Chapter 5 ..................................................................................................................... 24
CLASSIFICATION RELATED ACTIVITIES

Chapter 6 ..................................................................................................................... 28
INTERACTION WITH OTHER ORGANISATIONS

Chapter 7 ..................................................................................................................... 30
SHIP REGISTRIES

Chapter 8 ..................................................................................................................... 34
CLASS SURVEYS AND NOTATIONS

Chapter 9 ..................................................................................................................... 56
STATUTORY SURVEYS AND CERTIFICATION

Chapter 10 .................................................................................................................. 86
GENERAL RULES AND DEFINITIONS

Chapter 11 .................................................................................................................. 92
MATERIALS

Chapter 12 .................................................................................................................. 94
HULL CONSTRUCTION AND EQUIPMENT

Chapter 13 .................................................................................................................. 99
CONTENTS page

Chapter 14 .................................................................................................................. 100

ELECTRICAL INSTALLATIONS

Chapter 15 .................................................................................................................. 108

VESSEL EQUIPMENT

Chapter 16 .................................................................................................................. 112

FIRE PROTECTION

Chapter 17 .................................................................................................................. 132

INTACT STABILITY

Chapter 18 .................................................................................................................. 137

LOAD LINES

Chapter 19 .................................................................................................................. 144

ASSIGNMENT OF FREEBOARD

Chapter 20 .................................................................................................................. 146

QUALITY SYSTEM CERTIFICATION

Chapter 21 .................................................................................................................. 150

AUDIT AND REGISTRATION OF
SAFETY MANAGEMENT SYSTEMS

Chapter 22 .................................................................................................................. 171

TECHNICAL SERVICES

Chapter 23 .................................................................................................................. 174

EMERGENCY TECHNICAL ASSISTANCE

Chapter 24 .................................................................................................................. 176

ADVANCED TECHNOLOGY

Chapter 25 .................................................................................................................. 179

CLASSIFICATION SOCIETY PUBLICATIONS

Chapter 26 .................................................................................................................. 181

Chapter 1.
INTRODUCTION
The aim of this specialist module “Classification and Statutory Surveys” is to provide the student with
an insight into the work carried out by classification societies, what they are, their regulation and some
detail as to the types of surveys carried out.

We will see that there are many classification societies operating throughout the world but that they have
common standards. Their operation, interpretation and professionalism does not form part of this study,
nor does the economic and financial influences involved in choosing one society in preference to another.

The majority of the information in this module is related to the classification societies‟ rules and regulations
for the building and continued operation of merchant ships, but we will also introduce aspects to show
areas where the classification societies operate rules for the construction and operation of yachts, offshore
platforms, special service craft (including military vessels) and their work in the marine related industries.

The following is an explanatory note taken from the Lloyd‟s Register‟s rules:

“Ship classification may be regarded as the development and worldwide implementation of

published rules and regulations which, in conjunction with proper care and conduct on the part
of the owner and operator, will provide for:

• the structural strength of (and where necessary the watertight integrity of) all essential
parts of the hull and its appendages;

• the safety and reliability of the propulsion and steering; and

• the effectiveness of those other features and auxiliary systems which have been built
into the ship in order to establish and maintain basic conditions on board whereby
appropriate cargoes and personnel can be safely carried whilst the ship is at sea, at
anchor, or moored in harbour…”

This chapter will develop the processes by which classification societies and other maritime
organisations implement these requirements.

(Acknowledgements: various quoted material reproduced by kind permission of the following authorities: IACS, Lloyd‟s
Register,American Bureau of Shipping, Germanischer Lloyd, Bureau Veritas, Det Norske Veritas and Korean Register).
Chapter 2.
HISTORY OF SHIP CLASSIFICATION SOCIETIES
In 17th and 18th Century London, the coffee-houses were popular centres for businessmen to meet.
The first was opened in 1652 in Cornhill and by 1714 there were around 500, many catering for
specialised clienteles. Marine insurers, who until the Great Fire of 1666 had met at the Royal Exchange,
rendezvoused at Lloyd‟s in Lombard Street.

A foreign visitor in the 1730s wrote that coffee-houses were „not over clean or well furnished, owing
to the quantity of people… …and because of the smoke‟. However, a prime attraction was the
newspapers kept there: „All Englishmen are great newsmongers,‟ he noted, „workmen habitually begin
the day by going to coffee-rooms in order to read the latest news‟. The rise of the coffee-house was
thus mirrored by the rise of London as a media-centre. Titles from the Daily Courant (1702) through
to The Times (1785) were launched.

Edward Lloyd distributed information in Lloyd’s News which first appeared in 1696; it lasted only a
few months, an indiscreet reference to proceedings in Parliament earning the disapproval of the
Government. In its place, Lloyd printed bulletins, or Ship‟s Lists, giving brief descriptions of ships likely
to be offered for insurance, but in the absence of any organised system of survey, the details were
sketchy. The newspaper was revived in 1734, however, as Lloyd’s List and Shipping Gazette, and, with
the exception of the official London Gazette, it is the oldest continuously published newspaper still in
existence.

From the time of the Phoenecians, through the Romans,Venetians, Hanseatics and onward, marine
insurers have been looking for some guarantee of the fitness of a ship for the voyage to be undertaken.
It was therefore inevitable that the underwriters, gathered as a group at Lloyd‟s, should set up some
system of inspection of hulls and equipment. In 1760 a Committee was formed for the purpose, the
earliest existing result of their labours being Lloyd‟s Register Book for 1764-65-66. This detailed vessel
ownership, the master, characteristics and condition - but was based on the unstated (and differing)
standards of the earliest surveyors.

In 1769 the leading underwriters moved to their own premises off Cornhill and called themselves
„Members of the Society‟. The many fallacies in the system of assigning class, not least the arbitrary
limits to the number of years that a ship could remain in the highest class, which also depended on
the place of build, led to a rival society of owners setting up their own register. In the 1820s, moves
were made to clean up what had become a system in disrepute and combine the two registers. A
telling point, made by one of the leading campaigners, was that the system of classification based on
age created a glut of tonnage, because a ship, however well maintained, could never be restored to the
highest class. Thus the reputable owner was forced to discard and replace her with new tonnage to
acquire “the talismanic charm of A1” - presumably the discarded ship continued to trade, eventually to
compete as „substandard‟.
Eventually, after long argument, in 1834 a self-standing „classification society‟ was set up and called
„Lloyd‟s Register of British and Foreign Shipping‟. rules for construction and survey were developed,
those for iron ships appearing in 1855.

The idea of such an organisation caught on around the world. Bureau Veritas (BV) was founded in
Antwerp in 1828 but based in Paris from 1832; Registro Italiano Navale (RINA) dates from 1861;
American Bureau of Shipping (ABS) traces its origins back to 1862. Adoption of common rules for
ship construction by Norwegian insurance societies in the late 1850s led to the establishment of Det
Norske Veritas (DNV) in 1864. Germanischer Lloyd (GL) was formed in 1867 and Nippon Kaiji Koyokai
(ClassNK) in 1899. The Russian Maritime Register of Shipping was an early offshoot of the River
Register of 1913. More recent foundations have been Hrvatcki Register Brodova or Croatian Register
of Shipping (CRS) in 1949; China classification society (CCS), 1956; Korean Register of Shipping (KR),
1960; and Indian Register of Shipping (IRS), 1975. They are all called „classification societies‟ but, with
some exceptions, today do not assign different „classifications‟. The ship is either „in‟ or „out‟ of „class‟.

Students are advised to check the IACS website for the most up to date members and membership
information – www.iacs.org.uk.

There are currently 13 Members of IACS and their full contact details are listed below:

IACS MEMBERS

AMERICAN BUREAU OF SHIPPING

ABS
American Bureau of Shipping
ABS Plaza
16855 Northchase Drive
Houston,TX 77060
U.S.A.

Tel: +1-281-877-6000
Fax: +1-281-877-6001
Tlx: 232099 ABNY UR
Email: abs-worldhq@eagle.org
Website: http://www.eagle.org
BUREAU VERITAS
BV
Bureau Veritas
17 bis, Place des Reflets
La Defense 2
92400 Courbevoie
France
(Postal address: Cedex 44-92077
Paris-La-Defense, France)

Tel: +33-1-42 91 52 91
Fax: +33-1-42 91 52 93
Tlx: 615368F BVSMS
Email: veristarinfo@bureauveritas.com
Website: http://www.veristar.com

CHINA CLASSIFICATION SOCIETY

CCS
China classification society
40, Dong Huang Cheng Gen Nan Jie
Beijing 100006
China

Tel: +86-10-6513-6633
Fax: +86-10-6513-0188
Tlx: 210407 CCSBJ CN
Email: ccs@ccs.org.cn
Website: http://www.ccs.org.cn

CROATIAN REGISTER OF SHIPPING

CRS
Hrvatski Registar Brodova
(Croatian Register of Shipping)
Marasoviceva 67
21000 Split
Croatia

Tel: +385 21 408 111

Fax: +385 21 358 159
Email: tech.coord@crs.hr
Website: http://www.crs.hr
DET NORSKE VERITAS
DNV
Det Norske Veritas
Veritasveien 1
P.O. Box 300
N-1322 Hovik
Norway

Tel: +47-67 57 99 00
Fax: +47-67 57 99 11
Tlx: 76 192 VERIT N
Email: iacs@dnv.com
Website: http://www.dnv.com

GERMANISCHER LLOYD
GL
Germanischer Lloyd
Vorsetzen 32, 20459 Hamburg
(P.O. Box 11 16 06
20416 Hamburg)
Germany

Tel: +49-40 36 14 90
Fax: +49-40 36 14 9200
Tlx: 212828 GLHH D
Email: headoffice@gl-group.com
Website: http://www.gl-group.com

INDIAN REGISTER OF SHIPPING

IRS
Indian Register of Shipping
52 A,Adi Shankaracharya Marg,
Opp. Powai Lake, Powai
Bombay 400 072
India

Tel: +91-22-570 3627

Fax: +91-22-570 3611
Email: ho@irclass.org
Website: http://www.irclass.org
KOREAN REGISTER OF SHIPPING
KR
Korean Register of Shipping
Yusung
P O Box 29
Taejon
Korea

Tel: +82-42-869-9114
Fax: +82-42-862-6011
Tlx: KRSHO K45501
Email: krsiacs@krs.co.kr
Website: http://www.krs.co.kr

LLOYD’S REGISTER
LR
Lloyd‟s Register
71 Fenchurch Street
London
EC3M 4BS
England

Tel: +44-(0)20-7709-9166
Fax: +44-(0)20-7488-4796
Tlx: 888379 LR LON G
Email: Lloydsreg@lr.org
Website: http://www.lr.org

NIPPON KAIJI KYOKAI

NK
Nippon Kaiji Kyokai
4-7 Kioi-Cho, Chiyoda-Ku
Tokyo 102
Japan

Tel: +81-3-3230-1201
Fax: +81-3-3230-3524
Tlx: J22975 CLASSNK
Email: mpd@classnk.or.jp
Website: http://www.classnk.or.jp
POLISH REGISTER SHIPPING
PRS
Polski Rejestr Statków S.A.
al. Generała Józefa Hallera 126
80-416 Gdańsk, Poland

Tel: 58 346 17 00
58 751 11 00
Fax: 58 346 03 92
E-mail: mailbox@prs.pl
Website: http://www.prs.pl

REGISTRO ITALIANO NAVALE

RINA
Registro Italiano Navale
Via Corsica 12, Genova, Italy
(Postal address: Casella Postale 1195)
D-16100 Genova, Italy

Tel: +39-010 53 851

Fax: +39-010 59 1877
Tlx: 270022 RINAV I
Email: info@rina.org
Website: http://www.rina.org

RUSSIAN MARITIME REGISTER OF SHIPPING

RS
Russian Maritime Register of Shipping
191186 St. Petersburg
8, Dvortsovaya Nab.
Russian Federation

Tel: +7-812-312-3569
Fax: +7-812-312-3569
Tlx: 121525 RSSU SU
Email: 004@rs-head.spb.ru
Website: http://www.rs-head.spb.ru/
These societies are all members of IACS (the International Association of classification societies) and
provide classification to approximately 94% of the world‟s commercial maritime tonnage. However, it
must be remembered that other marine classification societies exist, including:

• Polish Register of Shipping or Polski Rejestr

• Hellenic Register of Shipping (HRS)
• Honduras International Naval Surveying and Inspection Bureau (HINSIB)
• International Register of Shipping (IROS)
• Isthmus Bureau of Shipping SA (IBS)
• Panama Maritime Documentation Services (PMDS)
• Panama Register Corporation (PRC)
• Phoenix Register of Shipping (PHRS)
• China Corporation Register of Shipping (CR)
• Classification Bureau of Indonesia
• Horizon International Naval Survey and Inspection Bureau (HNSB)
• Belize Maritime Bureau Inc
• Bulgarski Koraben Registar (BKR)
• Panama Maritime Documentation Services (PMDS)
• Classification Bureau of Indonesia
• Panama Shipping Certificate Inc
• Panama Shipping Register (PSR)
• Panama Maritime Surveyors Bureau Inc (PMS)
• Panama Bureau of Shipping (PBS)
• Turkish Loyd or Türk Loydu

There are more than 50 organisations globally that provide marine classification services. Their
common role is to work as independent, self-regulating bodies with no commercial interests in
matters of ship design, building, ownership, operation, management, maintenance or repair, insurance
or chartering. They establish and apply technical standards in relation to the design, construction and
survey of marine related facilities, including ships and offshore structures. It is recognised throughout
the international shipping industry that there are hugely varying standards of competency, and therefore
credibility, provided by the various marine classification societies, and it is for this reason that IACS
was set up. IACS is now a Non-Governmental Organisation (NGO) with consultative status at the
International Maritime Organization.

Some non-IACS societies are „recognised‟ by various flag state administrations but do not fulfil the
required resolutions of IMO, A.739(18) and A.739(19), concerning the production of clearly defined sets
of rules for the design, construction and maintenance of ships‟ structures and machinery essential for
the safe operation of the vessel, the safety of the crew and the environment.

More details about classification society rules are provided in Chapter 5.

Chapter 3.
IACS: ITS HISTORY, ORGANISATION AND ACTIVITIES
More than 90% of the world‟s cargo carrying tonnage is covered by the classification, design,
construction and through-life compliance to rules and standards set by the thirteen member societies
of IACS. Below is the potted history of the formation of IACS, its organisation, activities in the shipping
world and criteria for membership.

The International Association of classification societies (IACS) can trace its origins back to the
International Load Line Convention of 1930 and its recommendations. The Convention recommended
collaboration between classification societies to secure “as much uniformity as possible in the application of
the standards of strength upon which freeboard is based…”.

Following the Convention, the Royal Institute of Naval Architects (RINA) hosted the first conference
of major societies in 1939 - also attended by ABS, BV, DNV, GL, LR and NK - which agreed on further
cooperation between the societies. The Second World War of course, delayed this.

Although the first international maritime conference was held in 1889, technical regulation within
international shipping safety did not truly come to the fore until the establishment in 1948 of the
International Maritime Consultative Organisation (now the International Maritime Organisation or
IMO), by the United Nations. Since then, classification rules have become increasingly prominent as the
recognised technical basis of ship structural and engineering systems safety.

A second major classification society conference, held in 1955, led to the creation of Working Parties on
specific topics, with the first, on hull structural steel, in 1957, laying the foundations for more than 200
Unified Requirements and the many Unified Interpretations and Recommendations that IACS has today.

IACS was formed by seven leading societies on 11 September 1968. The value of their combined and
unique level of knowledge and experience was quickly recognised. In 1969, IACS was given consultative
status with IMO, with the first Permanent Representative appointed in 1976. It remains the only non-
governmental organisation with observer status that is able to develop and apply rules. The status of
the standards developed by member societies was enshrined in the International Convention for the
Safety of Life at Sea (SOLAS) Chap. II-1, Reg. 3-1, applicable from 1 July 1998.

A Permanent Secretariat was formally established in London in 1992, expanding the IMO
representative‟s office. Until then, the Secretariat had been found by the Society holding the
Chairmanship of Council, which is held on an annual basis by each member in turn; see the
organisational family tree on page 14.

IACS‟ technical knowledge of the world fleet enables it to make a unique contribution to international
shipping safety and maritime regulation - with its significant dependence on the rules of the IACS members.

International safety and pollution prevention regulations, other than those for ship structures and
essential engineering and electrical systems, are determined collectively by the member states of IMO
and are enshrined in the various IMO international conventions.
Compliance with international conventions is mandatory for the issue of statutory certificates by or
on behalf of a member state, without which ships cannot legally operate internationally. IACS members
are authorised by more than 100 IMO member states to undertake statutory international and national
regulation compliance surveys and to issue the necessary certification on their behalf. Certification
and required re-certification at intervals throughout a ship‟s operating life is conditional on the
ship‟s structure and essential engineering systems being satisfactory in all respects. The international
community accepts compliance with a classification society‟s rules as the only recognised technical basis
in this respect.

IACS representatives regularly participate as observers and as technical advisers to member states at
meetings of the IMO Assembly, Maritime Safety Committee (MSC) and Marine Environment Protection
Committee (MEPC), together with their many sub-committees and working groups. As the leading
international authority on ship structural and engineering design, construction and maintenance
standards, IACS frequently provides technical input to IMO - notably for studies into specific ship types
and various safety and pollution prevention issues.

IACS has also played a vital role in the introduction of IMO‟s International Safety Management (ISM)
Code, the objective of which is to provide an international standard for the organisational systems
underpinning the safe management and operation of ships. Providing a unique opportunity to foster
a safety culture in the shipping industry, this new element of IMO‟s Safety of Life at Sea (SOLAS)
Convention is one of the most significant steps forward in ship safety for many years.

To meet the challenge of implementation, IACS took the initiative by developing procedural guidelines
and unified interpretations of the ISM Code, together with related requirements for the training and
qualification of compliance auditors.
Simultaneously, IACS members‟ fleet knowledge and inspection expertise has enabled it to co-operate
with port state control (PSC) initiatives around the world. These empower individual states to verify
the condition and acceptability of foreign vessels using their ports. IACS has co-operated closely with
PSC regimes such as the Paris Memorandum of Understanding (MOU), the Tokyo MOU and the United
States Coast Guard (USCG) by ensuring prompt response to PSC inspections and by assisting in the
training of PSC inspectors.

IACS liaises closely with numerous maritime safety organisations, shipping interest groups and other
associations, including the International Chamber of Shipping (ICS); the Oil Companies International
Marine Forum (OCIMF); INTERTANKO; INTERCARGO; BIMCO and the International Union of Marine
Insurers (IUMI).

From their global experience, office networks and records of the in-service experience of thousands of
ships which they class, IACS members have an unrivalled technical understanding of the world‟s classed
merchant fleet.

IACS members‟ service to the international fleet is focused on the setting, updating and monitored
application of standards for hull structures and essential shipboard engineering systems - during design
and construction and throughout a ship‟s service life.

IACS members have a dual role. They deliver classification services by providing third party engineering
analyses, followed by periodical verification of the ship‟s hull structure and mechanical and electrical
systems, and provide statutory certification in accordance with various international and national
requirements on behalf of flag administrations.

These combined functions of classification and statutory work have the great advantage of one
organisation applying the necessary classification and mandatory statutory certification requirements
which verify the ship‟s structural integrity and fitness of essential engineering systems, throughout its
service life.

The main areas of IACS members‟ activities are:

• Ship Classification Services

• Statutory Services
• Research and Development
• Technical Advisory Services

Criteria for Membership of IACS

Compliance with the IACS Quality System Certification Scheme QSCS and Observance of the Code of
Ethics is mandatory for IACS members.
For further details please refer to the IACS website and see the IACS Charter.
Unified Requirements (UR‟s):

IACS sets Unified Requirements (UR‟s) which are adopted resolutions on matters directly connected
to or covered by specific rule requirements and practices of classification societies and the general
philosophy on which the rules and practices of classification societies are established.

Subject to ratification by the governing body of each member society, Unified Requirements shall
be incorporated in the rules and practices of the member societies, within one year of approval by
the IACS General Policy Group. The existence of a UR does not oblige a member society to issue
respective rules if it chooses not to have rules for the type of ship or marine structure concerned.

Unified Requirements are minimum requirements.

Each member remains free to set more stringent requirements.

Subjects covered by UR‟s:

UR A Mooring and Anchoring

UR D Mobile Offshore Drilling Units
UR E Electricity
UR F Fire Protection
UR G Gas Tankers
UR I Polar Class
UR K Propellers
UR L Subdivision, Stability and Load Line
UR M Machinery Installations
UR N Navigation
UR P Pipes and Pressure Vessels
UR S Strength of Ships
UR W Materials and Welding
UR Z Survey and Certification

For further details on these UR‟s follow the links from the IACS website.

Unified Interpretations (UI‟s):

Unified Interpretations are adopted resolutions on matters arising from implementing the
requirements of IMO Conventions or Recommendations. Such adopted resolutions can involve
uniform interpretations of Convention Regulations or IMO Resolutions on those matters which in the
Convention are left to the satisfaction of the administration or vaguely worded.

Interpretations are circulated to administrations concerned or are sent to IMO for information, as appropriate.
 1. IACS, as an international Non-Governmental Organization having observer status at IMO, works
in co-operation with IMO in order to endeavour that regulations developed at IMO are clear,
unambiguous and can easily be applied without the need of interpretations.

2. However, interpretations may still be needed in cases where IMO regulations contain only
functional requirements, allow alternative solutions to prescriptive requirements, are left to the
satisfaction of administrations or are generally or vaguely worded.

3. The following Unified Interpretations (UI‟s) have been developed by IACS to assist the unified
implementation of IMO regulations falling in the above-mentioned cases. It should be noted that
the development of IACS Unified Interpretations (UIs) is not aimed at introducing additional
requirements but at achieving uniform application of IMO regulations.

4. IACS UI‟s are to be applied by IACS societies to ships whose flag administrations have not issued
definite instructions on the interpretation of the IMO regulations concerned, in the course of
statutory certification on behalf of those flag administrations.

Recommendations:
IACS produces recommendations and guidelines related to adopted resolutions that are not necessarily
matters of class but which IACS considers would be helpful to offer some advice to the marine industry.
The documents cover a wide range of issues and can be accessed via links from the IACS website.

Common Structural rules (CSR)

On 14 December 2005 the Common Structural rules for Tankers and Bulk Carriers were unanimously
adopted by the IACS Council for implementation on 1 April 2006. The Council was satisfied that the
new rules have been based on sound technical grounds, and achieve the goals of more robust and
safer ships.

IACS now implements the CSR maintenance program via the IACS CSR Knowledge Centre (KC).
All the agreed Q&As and CIs (Common Interpretations) are published on the IACS website without
delay in order to assist its member societies and industry in implementing the CSR in a uniform and
consistent manner. The IACS organisational structure and work processes and procedures pertaining
to maintenance, harmonisation and further development of IACS CSR for Double Hull Oil Tankers and
Bulk Carriers are detailed in IACS Procedure Volume 4, available through the IACS website.
Chapter 4.
THE ROLE OF A SOCIETY
Having introduced the main classification societies in Chapter 2, we will now consider their role in the
modern shipping industry.

To quote from the International Association of classification societies‟ (IACS) definition of ship classification:

“Ship classification, as a minimum, is to be regarded as the development and worldwide implementation

of published rules and/or regulations which will provide for:
1) the structural strength of (and where necessary the watertight integrity of) all essential parts of
the hull and its appendages,
2) the safety and reliability of the propulsion and steering systems, and those other features and
auxiliary systems which have been built into the ship in order to establish and maintain basic
conditions on board,
thereby enabling the ship to operate in its intended service.”

The achievement of these goals is conditional upon continued compliance with the rules and/or
regulations and proper care and conduct on the part of the owner and operator.

Classification societies may also be required or requested to carry out statutory surveys on behalf of flag
state administrations and this will be dealt with further in Chapter 9 Statutory Surveys and Certification.

To understand the role of classification societies fully, it is useful at this point to refer to Mr Hans G.
Parey‟s article – “The role of classification societies, is it changing?” Mr Parey is a past IACS Chairman,
and Executive Board Member, Germanischer Lloyd, September 2000:

“Introduction

Classification societies have come under considerable pressure with every more spectacular accident
in recent years. This pressure has continuously increased and, most recently, was dramatically
demonstrated following the ERIKA accident. Two aspects can be seen here: one is that IACS and
the member class societies have not yet been successful at eliminating substandard ships from their
registers. The other aspect is that tolerance for accidents by the public has generally sharply decreased
and everyone - including politicians - is looking at class to improve the situation. Unfortunately, this
expectation can far exceed the actual role and reach of classification societies. It is a fact that class is
only one link in the responsibility chain regarding ship safety and reliability. Class co-operates with the
owner, the flag state and with port state regimes in looking after the safety conditions of ships. The risk
is high and problems arise when the owner tries to cut corners in maintenance and to postpone repairs.
Particularly during the past three or four years, IACS has closely looked at the situation, how to handle
the evasive owner and how to reduce risks particularly with older ships which require more attention.
to maintain. IACS has made decisions which will make it more difficult for substandard ships to be
operated by their generally substandard owners.

There is growing awareness today amongst many players, that the industry is being plagued by a
continuously growing number of regulations and by an excessive number of inspections. This has
become nearly unmanageable for the crew as well as for the operators. It is widely agreed today
that we have reached a point where more regulations and inspections will not contribute to further
increases in safety at sea, but that a more efficient implementation of rules and a better co-ordination
of inspections will serve the purpose best. This is an important task for IMO and class, and IACS will
play a significant role. The way to go is for class and IACS to convince the industry of the quality and
reliability of their work, and for the industry to agree to combine the diverse inspections and vetting
and concentrate them on class as far as possible.

Substandard Ships and the Role of Class

For the Singapore Quality Shipping Conference in Spring 2000, Michael Grey stated: “Substandard
shipping, like the common cold, is a universal complaint, and may be encountered in any maritime region.
It is difficult to eradicate, with its symptoms found in a minority of ships, seafarers and operators. If
there is greater stress on quality shipping... then half the battle to eliminate substandard elements of
shipping is won.”

As has been pointed out, classification societies have come under considerable pressure with every
spectacular accident in recent years, and this has two aspects. One is that IACS and the member class
societies have not yet been successful in eliminating completely high risk substandard ships, and the
other aspect is that tolerance for accidents by the public has generally sharply decreased. Everyone -
including politicians - is looking at class to improve the situation; unfortunately this expectation can far
exceed the actual role and reach of classification societies.

Are most substandard ships attended by non-IACS class societies? Available port state control (PSC)
detention statistics seem to show that non-IACS societies probably have a higher percentage of sub-
standard ships in their class than IACS member societies. With the increasing pressure on such ships
within IACS, this percentage may further increase. We have to remind ourselves that altogether there
are only about 5% to 8% of the world tonnage outside IACS, so it makes a lot of difference if IACS is
successful with their fight against substandard ships or not. During the past three or four years, IACS
has closely looked at how to handle the evasive owner and how to reduce risks, particularly with older
ships, and IACS has made decisions which will impact these substandard performers.

The enhanced surveys for older ships, the strengthening of the special surveys by prescribing at least
two class surveyors in order to see more, but mainly to be able to better resist pressure from the
owner‟s superintendent, together with the tightened Transfer of Class Agreement within IACS, will
make a great difference in this respect. Who is mainly to blame for substandard shipping? The class or
the substandard owner, the substandard charterers or - the insurer? Class has limited possibilities for
policing. Class can refuse to issue or can withdraw a certificate, but class attends the ships only on a set
schedule, with class renewal after five years and only limited inspections at the annual surveys.

This schedule is based on the assumption of normal maintenance and conscientious repair. The typical
substandard owner will, however, save on maintenance and repair. The ship can deteriorate very quickly,
within a period of months, and the risk of something serious going wrong rises sharply.

Class has very limited possibilities to give economic incentives to encourage quality shipping. This is
where we need the co-operation with our other partners, particularly the insurers.

Future Role of Class

Traditionally, class has been the representation that a ship complies, at a certain time, with rules
developed by the classification society. This representation of conformity is given to the ship owner
for his sole benefit according to a private contract between him and the classification society. As
for all contracts, good faith is an essential feature. There are dramatic changes in the shipping and
shipbuilding industry, with resulting changes also affecting the relation with classification societies. There
is a tendency for ship owners to concentrate their resources on the commercial side and to reduce
their technical competency, with the option to buy what is needed and to rely more heavily on class.
They may believe that the shipbuilding world is standardised to such a degree that they need only very
limited technical understanding. But this is not yet so. A similar tendency can be found with shipyards,
particularly in the traditional shipbuilding countries. There are only very limited resources available for
development and optimisation.

Ships are often built following plans from consulting engineers.

Both ship owner and building yard look at class to support them. They increasingly rely on class. Do
these developments result in lower safety levels?

At the same time there are other fundamental changes to the shipping industry. National companies
merge and grow and become international - global. National ties have lost their importance. The
larger classes, the IACS members have to follow and react to these trends. The transformations and
modifications are taking place at high speed and class has to adjust accordingly. Both ship owner and
shipyards make increasing use of „out-sourcing‟. Here classification societies take the opportunity
to offer new services to the owner or yard, outside the scope of class. This, however, must not be
confused with the impartial role that class must play.

There is no other body where professional knowledge and experience regarding shipping and the
performance of ships is so thoroughly available beside class and IACS. Most extensive material is
compiled by classification societies from surveys, from damage investigations as well as from research
and development projects. Class makes this available to the industry. However, since its approval
activities give class an unparalleled access to data on design, construction and even operation, great care
is always taken to avoid breaching any proprietary rights when disclosing information.
For the concept of quality shipping and improved shipping safety in the future, industry has to create
commercial incentives. It must be better for everyone involved to operate well maintained ships at
high standards instead of minimising maintenance and neglecting repairs. How can this be done? We
have to work with carrot and stick. Positive incentives could be a good reputation, leading to better
charter contracts for instance. Perhaps we will succeed at some point in the insurance companies
dropping their traditional binary approach of classed and non-classed ships, to take into account the
different class notations which could show gradations from compliance with minimum standards up to
those which well exceed minimum standards. Furthermore, the continuous improvement culture, the
basis of the ISM Code, together with an emphasis on training, and feedback from failures and accident
investigations, all make for more efficient and profitable operations. These are matters where class can
contribute. But we will also need strict sanctions against undesirable conduct and attitude. This starts
with a just but strict port state control system, but could go all the way to fines and liability. This will
apply in the future to a limited extent also to class.

Will we continue to have individual rules and regulations from every class in the future? rules and
regulations are still close to the heart of every society. But it is a fact that the rules of every society
increasingly have to be based on or have to correspond to international rules, such as from IACS
or IMO. There is a strong trend towards harmonisation. This will lead to fewer possibilities for
differentiation in this area in the future.

Through amendments and additions, by the combination of traditional empirical rules with more
analytical approaches, some of the class rules have become complex and hard to understand. rules
following the new “first principles approach” define loads and carrying capacity of materials on the
one side, and prescribe analytical methods for assuring adequate reliability and serviceability, strength,
stiffness, vibration behaviour, noise etc. This is a more flexible approach allowing for unconventional
designs or structural configurations.

With the introduction of new and much more detailed analysis methods in the 70s, such as the
finite element method, the evaluation of ships, new and in service, has been moved from the largely
empirical to a more rational approach. This has made classification societies more bold, with structural
optimization of new buildings - leading to minimum scantlings - but also regarding the judgement on
older ships. Whoever was more advanced with these new methods, bragged about it. Competition
developed on minimum scantlings: „Come to us and your ship will be lighter‟. However, the owners
did not evaluate accurately the additional burden on hull maintenance the lighter scantlings may entail.
Today, this has changed. Today, we follow the motto „come to us and your ship will be better‟. And
this is the right way. Today, class societies base their corporate philosophy on high standards, it pays to
be strict. It is the best long term strategy to insist on high standards and not to make compromises
on quality: “We are service oriented, therefore we have to fulfill every wish of our customer, the ship
owner”, is a short-sighted and short-lived path. Clearly, positive constructive co-operation with the
owner must not mean unconditional surrender to his wishes and demands. The class surveyors today
have to act conscientiously between advice and assurance in a balanced way. This is not easy in every
case. It requires extensive know-how and experience and good basic judgement.
Consequences of the ERIKA Accident

Tankers are essential to assure sufficient energy supply to all parts of the world. In view of the present
situation of the tanker market, most significantly the increased role of gas and the fact that the refineries
have largely been moved to the oil producing nations, the demand for crude carriers has not risen with
the world economic development. It has more or less stagnated in the past decade and predictions
do not foresee a significant growth in the future. Tanker rates have consequently been depressed in
the past years and owners are tempted to minimise expenses even if this means reductions in safety
standards. Nevertheless, tankers will continue to make up a good part of the world tonnage and class
societies have to do everything to ensure that they operate safely. The ERIKA accident, though not yet
conclusively investigated, is a brutal reminder that we may not sit complacently and be satisfied with
what we have accomplished in the past. It is a fact that ship accidents have decreased during the 90s
and so has the average pollution by outflow of oil into the oceans. This is the result of a positive co-
operation of all partners involved with ship safety.

It is not an accomplishment of class alone, although class and initiatives taken by IACS have been of
central importance. Public tolerance for accidents with pollution to the sea and coast, on the other
hand, has been lowered at least with the same rate if not more.

ERIKA was a single skin tanker built in 1975 in Japan. The vessel carrying more than 30,000 tons of
heated heavy fuel oil ran into a winter storm. It was reported that the crew detected cracks forming
in the deck and the ship developed a significant list, but the master was refused shelter in one of the
French harbours. She altered course but the hull broke in two and the ship sank, after the crew had
been rescued by helicopter. About 20,000 tons of the heavy fuel oil cargo washed ashore and polluted a
stretch of about 500 km of the Atlantic coast of France.

There are allegations that, due to a lack of maintenance, the structure of the tanker had deteriorated
to a degree that the required strength was no longer available. An inquiry is pending, but the extensive
pollution by heavy fuel oil, one of the worst petroleum products we have regarding pollution, forces
politicians to act quickly and drastically. IACS has kept up a meaningful dialogue with the politicians and
other industry partners. Most important was however for IACS to critically review how class and the
surveyors handle older ships and whether present procedures are strong enough to weed out sub-
standard ships.

Despite the regret on proliferating new requirements expressed earlier, a series of stringent new
measures was introduced at an extraordinary IACS council meeting held in Hamburg in February this
year (2000). These include an extension of surveys for tankers above 15 years of age, such as annual
inspection of tanks with high risk of corrosion and reduction of the time between extensive class
renewal surveys from five to two and a half years. In order to make it easier for the surveyors to stand
up to possible pressure from the ship operators against costly repairs, at least two surveyors will have
to attend the more extensive surveys in the future.
The transfer of class agreement is being strengthened to require that tankers and bulk carriers which
are 15 years of age and above can change class only after the new class has performed a full extensive
survey and found the ship satisfactory.

Further decisions by IACS include a first step to monitor the performance and safety record of flag states
with the ultimate possibility for class to refuse to work for a flag. Also the IACS early warning system,
EWS, where information on some systematic weakness of a ship design or a safety problem arising is
exchanged within IACS, will be made more effective and address properly any confidentiality issue.

Finally, in the event of a casualty, IACS will make available the expertise of each member to the flag state
concerned or other investigation boards.

Conclusion

Concluding, we can summarise that the role of classification societies is truly changing. As the world
around us is changing very rapidly it would be very dangerous for class and for IACS not to respond.
We are one partner in the safety chain and we have to re-evaluate constantly how we can best perform
our task, which is to look after the quality of ships from new-building to scrapping and assure that we
minimise risk to man, material and the environment at all times.”

(Reproduced by kind permission of IACS)

Chapter 5.
CLASSIFICATION RELATED ACTIVITIES

Ship Classification Services

Classification is vital for the structural and engineering design, construction and operation of ships and
affects shipbuilding, maintenance and repair, shipbroking, chartering, marine insurance, broking and banking.

Ship classification may be regarded as the development and worldwide implementation of published
rules and regulations which, in conjunction with proper care and conduct on the part of the ship owner
and operator, will provide for:

• the structural strength of all essential parts of the hull and its appendages;
• the safety and reliability of the propulsion and steering systems; and

• the effectiveness of those other features and auxiliary systems which have been built into the
ship in order to establish and maintain basic conditions on board whereby appropriate cargoes
and personnel can be safely carried whilst the ship is at sea, at anchor, or moored in harbour.

Based on considerable research and development to keep abreast of advancing technology, and the
results of feedback over many years from thousands of ships in service, IACS member societies
establish and continually update standards and guidelines for the structural and engineering design,
construction and survey of ships and other marine structures, such as mobile offshore units. This
capability is a mandatory prerequisite for an organisation to provide statutory services on behalf of a
flag administration.

The classification certificate is the document that confirms that a ship has been designed and built in
accordance with the society‟s rules and, in this respect, is fit for its intended service. To maintain its
class while in service, a ship must be surveyed annually, with major surveys every five years. Surveys
become increasingly stringent, as ships get older.

Failure to meet the relevant standards or non-compliance with recommendations issued as a result of a
classification survey may result in the suspension or withdrawal of class - known as disclassing. It follows
that statutory certification issued on the basis of satisfactory classification will thus be rendered invalid.

Statutory Services

Through their extensive resources of manpower, expertise and technology, IACS members have the
capability to undertake surveys, maintain records and conduct the technical reviews necessary to fulfill
the requirements of the various IMO international conventions and codes.
Based also on the national standards imposed by individual flag states, IACS members undertake
statutory work on behalf of individual IMO member states. Well over 100 governments around the
world delegate this authority to IACS members.

The most common authorisations are in connection with the Load Line, SOLAS, MARPOL and Tonnage
Conventions. Contained in these Conventions are mandatory codes that address transportation of
dangerous goods, for example the International Gas and Chemical Codes and also the International
Safety Management Code.

These are covered in more detail in Chapter 10.

Research and Development

Collectively, the IACS members invest more in research and development (R&D) into ship structural and
engineering design and other safety aspects than any other single maritime-related organisation.
With more than 100 R&D projects in progress at any one time, IACS members are continuously
carrying out or sponsoring research into ship structures, essential shipboard engineering systems, ship
construction, maintenance, operation, communications and navigation.

This continuous process of development, together with essential feedback from service experience,
results in a rolling update of classification rules to meet new demands in sea transport and marine
technology and to keep classification at the forefront of technical standards.

Through IACS working groups, R&D research results are shared by IACS members and contribute to
the work of IMO and the maritime industry.

Examples of R&D projects include:

• Three-dimensional and non-linear ship hydrodynamics

• Fatigue damage assessment procedure
• Advanced fracture mechanics
• Structural performance of bulk carriers
• Life assessment method
• Smart structure development
• Hull condition monitoring
• Sloshing in partly filled tanks
• Hull vibration and torsional analysis
• Maintenance-friendly VLCC designs
• Safe and efficient use of composite materials
Technical Advisory Services

IACS members aim to provide services to benefit the industry, and a variety of technical advisory
services are available to ship owners and operators.

Examples include:

• International conventions and national regulations

• Statutory surveys and certification
• Ship manoeuvring characteristics
• Hull and performance monitoring
• Contingency planning
• Ocean towage
• Mooring and anchoring

Other examples of classification society related activities are:

• Ballast water management

• Condition assessments
• Construction surveys
• Consultancy services
• Design appraisal
• Environmental impact assessments
• First entry
• Fuel and lubricant analysis
• International Safety Management (ISM) Code
• International Ship and Port Security (lSPS) Code
• Marine data systems
• Marine quality management (ISO 9000)
• Marine technical libraries
• Planned maintenance
• Port state control
• Risk and reliability assessment
• Shipbuilding support
• Ship design systems
• Ship emergency response service
• Stability calculations and assessment
• Technical investigation
• Technical consultancy
• Training
• Transfer of class
The foregoing are all marine related activities and it should be understood that many classification
societies have diversified into other areas, such as:

• Oil and gas, offshore technology

• Rail
• General industry
• Pharmaceuticals
• Management systems
• EC directives
• Safety assessments and human factors
• Total quality management
• Wind energy
Chapter 6.
INTERACTION WITH OTHER ORGANISATIONS
We have seen in Chapter 3 that IACS is the International Association of classification societies and,
within this framework, the classification societies work together and set common standards as dictated
by IMO, the International Maritime Organisation, Codes and Resolutions. Also, IACS members work
together to implement statutory requirements imposed by individual member states. Recently,
three classification societies have joined forces to develop a common set of rules for the design and
construction of double hulled tankers.

Under the umbrella of IACS and as individual classification societies, lines of communication, co-
operation and interaction exist to the shipping companies whose very existence and livelihood is
prescribed by the rules of the classification societies and statutory authorities.

Classification societies do, in many cases, carry out work on behalf of flag state administrations for
statutory certification and quality, safety and security management schemes.

Up until recently, classification societies have had little or no jurisdiction, or reason, to be involved in
port operations. With the implementation of the International Ship and Port Facility Security Code
(ISPS) on 1st July 2004, classification societies are now working as authorised bodies in this area, as well
as its implementation on ships. (More information is given on ISPS in Chapter 20.)

Classification societies have traditionally had close associations with ship yards, from the initial
design stages for new construction and during ship conversions, modifications, to refits and repairs.
Classification societies offer design appraisal services and, in many cases, work closely with ship yards in
design development. Some classification societies have developed specialist computer programs to help
in hull design and development computation.

All components which are to be used in the construction of a ship and its outfitting, e.g. everything from
the steel plate used in the hull construction to the electronic navigational instruments on the bridge,
must be approved by the classification society. This means that the classification societies are involved
at source, at the product manufacturer. Through the classification societies rules, the requirements
and standards are laid out for the production of all the major structural, machinery and outfitting
components which go into a ship. The classification societies therefore have, by necessity, a close
interaction with the product manufacturers in helping them to develop materials and equipment that
meet the required rules and also in maintaining these standards during production.

Similarly, classification societies are involved in industrial development and the offshore oil industry.
The societies work with manufacturers and operators in component product manufacture, development,
building and operation, to the rules and to international standards.
Below is a diagram to show how the classification societies interact with other organizations.

Diagram to show the interaction of the classification societies with other organisations
Chapter 7.
SHIP REGISTRIES
In Chapter 2 the origins and the history of ship classification societies was introduced and this included
mention of the beginning of the “Lloyd‟s Register Book”. In 1696 Edward Lloyd printed and circulated
to his patrons of the coffee shop, bulletins or Ship‟s Lists, giving brief descriptions of ships likely to be
offered for insurance, but in the absence of any organised system of survey the details were perhaps few
and sketchy. This newspaper was revived in 1734, however, as “Lloyd‟s List” and has appeared regularly
ever since – with exception of the official “London Gazette” the oldest newspaper now in existence.

It is believed that the organised “Register of Shipping” appeared in 1760 and this was as a result of the
underwriters necessitating the setting up of some system of inspection of hulls and equipment. This is
the common origin of the Corporation of Lloyd‟s and of Lloyd‟s Register of Shipping.

The hulls of ships were classified A, E, I, O or U according to the excellence of their construction and
their continuing soundness, or otherwise. Equipment was G, M or B – simply good, middling or bad.
Any vessel classified AG was thus as sound as it could be, while one rated UB was obviously a bad risk
from the underwriter‟s point of view. A copy of a page from the 1764-5-6 Register can be seen below.

This book was originally known as the Underwriters‟ Register or, more popularly, as the Green Book.
Through 1779 – 80 the underwriters introduced another style of classification, which most importantly
set ships built on the Thames at a much higher standard than those built in so called “out ports”. Those
Thames built vessels being allowed to remain in first class for a term of thirteen years, while another of
the same description built in an out port would remain in top class for only eight years. Preference was
also given to ships built in Canada.

This obvious discrimination provoked shipping interests outside London into action. The opposition
was led by a “Society of Merchants, Ship owners and Underwriters,” but it appears that the ship owners
dominated the movement. The appointed committee of this new society consisted of fifteen members,
with a Mr. John Hill as Chairman.

They made representations of protest to Lloyd‟s and were rebuffed. The new committee then started to
raise subscriptions and proceeded to make arrangements for the publication of a Register Book of their
own. The sheer difficulty of setting up new organizations for survey, registration and certification is a
measure of the gravity of the war now about to break out.

This it did in 1799 with the appearance of the New Register Book of Shipping. This became known
familiarly as the Shipowners‟ Register, or Red Book, as distinct from the Underwriters‟ Register, the Green
Book. The battle between these two organizations and the fight for dominance of one book over the
other lasted for thirty five years.

The new Red Book was set out in a manner familiar from the Green Book and provided four classes – A,
E, I and O for hull condition and two grades of “ship materials” or equipment, expressed in the numerals 1
and 2.

The rivalry continued between these two establishments for many more years and it became apparent
that while all ship owners and underwriters regarded these registers as extremely important, there was
next to no supervision of surveyors so that the standards varied widely from port to port. By 1824
both parties were exhausted and falling into disrepute, and both were heading slowly but surely towards
financial ruin.

A Committee of Inquiry was set up consisting of 33 members. It took nearly two years to reach
a conclusion, but the Report at length made available on February 8th 1826, appears to have been
unanimous. Its observations were forceful. The international importance of the Books was stressed:
it was necessary for the credit of Britain as a seafaring nation that it should set up one standard of
classification, and that of the highest quality. The principles of the existing system of classification were
“most fallacious and erroneous”, while “the practical degree of actual survey required by the system” was
“rendered practically nugatory by the insufficiency of the salaries paid to surveyors”. It finally proposed
the formation of a completely new society with a new set of rules.

The Committee of Inquiry hammered most valuably at the importance of having a large, qualified staff
of competent and independent surveyors. The Board of Trade intimated their support for this: “the
Board approved highly of the proposed alterations, and were of opinion that it would give rise to great
improvements in the naval architecture of the country: and that the Lords of their Committee would
be disposed to assist in carrying the proposed regulations into effect, in any manner which might, on
subsequent discussion, be deemed advisable”. In other words, our blessing but no subsidy.
Finally, in 1834, the two registers joined forces to become Lloyd‟s Register of British and Foreign
Shipping, with appointed, paid, professional surveyors. The Society‟s aim was to survey and class
British ships and any foreign vessels calling in British ports. By 1914 the Society was regarded as an
international organization and the “British and Foreign” was dropped from the name.

Today, the „Register of Shipping‟ at Lloyd‟s contains the details of some 91,000 vessels and is also
published in CD-Rom format and is available to subscribers via the Internet using Sea-web.

As we know, “Lloyd‟s Register of Shipping” is not the only class society, but it is the oldest and perhaps
the foregoing shows a colourful past which paved the way for the evolution of other societies with
common goals.

The following are some definitive dates and developments in the evolution of other class societies and
registers of shipping:

• - Lloyd‟s had no surveyors in Norway until 1872.

- Lloyd‟s was the only society that issued certificates recognised around the world.

• - Bureau Veritas (BV) – 1828 – originally established in Belgium but later moved to Paris.
- Expanded quickly into European shipping.
- 1853 BV opened an office in Norway.
- Norwegian shipping found them expensive.

• - Norway 1857 – a national, co-operative classification society for ships was established.
- By 1864 twelve mutual insurance clubs had been established, covering most of the Norwegian fleet
- Aim of clubs was to provide Norwegian ship owners with cheap insurance for local trade, trade
to England and Europe.
- 1859 seven clubs agreed on adopting common building rules for ships.

• - Det Norske Veritas (DNV) – 1859 evolution started.

- Was almost called „Det Norske Lloyd‟ – the Norwegian Lloyd after Lloyd‟s Register in London
and in preference to association with BV.
- Det Norske Veritas – started to function September 15th 1864.
- Head office in Christiania, the Norwegian capital.
- 10 surveyors around the country.
- 1865 first DNV ship register.
- No charge to ship owners for survey or classification, but only for insurance.
- 1867 agent appointed in London.
- 1868 agent appointed in New York.

• - 1873 director of BV cited as saying that DNV was the most reliable of all classification societies
(next to his own).
 • - American Shipmaster‟s Association 1862.
- Members consisted of marine underwriters, shipmasters, shipbuilders and others prominent
in the field of maritime commerce and within the US Government.
- Aim to promote a high degree of efficiency and character among masters and officers of
maritime vessels.
- Tests developed to determine their knowledge of nautical science and seamanship.
- Classed vessel into 5 levels of risk.
- 1884 the Association purchased the goodwill and the title “The American Lloyd‟s Universal
Register”, with less emphasis on the qualifications of shipboard personnel and more on the
ship itself.

• - “American Bureau of Shipping” (ABS) came into existence on 1st November 1898, by
authority from the Supreme Court of the State of New York.
- The last issuance of a Commission of Competency came in May 1900.

This brings us up to the modern times, be it a century ago, with four of the major class societies.
Since these times there has been unification of standards and rules of the societies through IACS.

The common requirements and standards applied to the class societies within IACS and their registers
of shipping are set out below:

(a) A ship built in accordance with a member society‟s rules and/or regulations, or in accordance
with requirements equivalent thereto, and fulfilling the applicable stability requirements will be
assigned a class in the register book of the society. For ships in service, each member society
maintains the provisions of class by way of periodical visits by its surveyors to the ship as defined
in its rules and/or regulations in order to ascertain that the ship currently complies with those
rules and/or regulations. Should significant defects become apparent, or damages be sustained
between the relevant visits by the surveyors, the owner and operator are required to inform
the society concerned without delay. Similarly, any modification which would affect class must
receive prior approval by the society.

(b) A ship is said to be in class when the rules and/or regulations which pertain to it have, in the
opinion of the society concerned, been complied with.

References:
Lloyd‟s Register of Shipping 1760 – 1960, Lloyd‟s Register Press
Anchor and Balance, Det Norske Veritas 1864 – 1980, J.W. Chappelens Forlag A.S., ISBN 82-02-11769-0
The History of the American Bureau of Shipping 1862 – 2000, Published by ABS, ISBN 0-943870-03-8
Chapter 8.
CLASS SURVEYS AND NOTATIONS

Class Notations1

Classification notations are indicative of the specific rule requirements which have been met. Additional
voluntary notations are offered by individual societies and may be selected by an owner wishing to
demonstrate that the vessel conforms to a particular standard that may be in excess of that required
for classification. Depending on the classification society, the classification notations are assigned to the
ship according to ship type, service, navigation and/or other criteria which have been provided by the
owner and/or builder, when requesting classification.

Classification notations assigned to a ship are indicated on the certificate of classification as well as in
the register of ships published by the society. These notations can be generalized by the following types
which may be used in combination:

• main class symbol;

• construction marks;
• service notations with additional service features, as applicable;
• navigation notations;
• geographic notations;
• additional class notations.

Class symbol
The main class symbol indicates the compliance of the ship with specific rule requirements regarding its
construction.

Construction mark
The construction mark, when assigned, identifies the procedure under which the ship and its main
equipment or arrangements have been surveyed for initial assignment of the class.

Service notations
The service notations, when assigned, define the type and/or service of the ship which has been
considered for its classification. A ship may be assigned several different service notations. In such case,
the specific rule requirements applicable to each service notation will have been complied with.
Navigation and operating area notations
Navigation notations
Some classification societies define limiting areas for navigation (e.g. coastal waters and sheltered
waters), and/or limiting environmental conditions for certain types of ships and marine structures.

The assignment of restricted navigation notations may include the reduction of scantlings or specific
arrangements.

The assignment of a navigation notation by classification societies does not absolve the owner
from compliance with any applicable international and/or national regulations established by the
administrations for ships operating in national waters, or a specific area, or a navigation zone.

Operating or service area notations

The operating area notation specifies the service area where the ship (e.g. dredgers, crane pontoons,
port tugs) can operate as regards its assigned class.

Additional class notations

Each of the classification societies has developed a series of notations that may be granted to a vessel
to indicate that it is in compliance with some additional voluntary criteria that may be either specific to
that vessel type or that are in excess of the standard classification requirements.

As we have discovered when looking at the work of IACS and the member societies, in Chapter 3, the
work of classification is to maintain ships to a set of defined standards. This starts with the building
process and ships are built in accordance with rules and regulations of a classification society. The
society approves the construction drawings, processes, materials of construction and checks the
actual construction of the hull structure, all major machinery components, electrical and navigational
equipment. With these controls a ship can be said to be built “under Class” and the classification
society will issue a certificate on completion of construction known as the “Certificate of Class for Hull
and Machinery”.
The diagram below shows the „cradle to grave‟ process of through life quality assurance that
classification societies provide:

Assignment of class

Class is assigned to a ship upon the completion of satisfactory surveys, held to verify that the vessel is in
compliance with the relevant rules of the society. This assignment may be given in the following cases:

• on completion of the new building, after satisfactory surveys have been performed;
• on completion of a satisfactory survey of an existing ship carried out in accordance with the
agreement developed by the IACS member societies for ships transferring class between
members; or
• on completion of a satisfactory specific class survey of an existing ship not classed with an IACS
society, or not classed at all.
Maintenance of class
Classed ships are subject to surveys for maintenance of class. These surveys include the class renewal
(also called “special survey”), intermediate, annual, and bottom/docking surveys (either a survey in dry
dock or an in-water survey) of the hull, tailshaft survey, boiler survey, machinery surveys and surveys
for the maintenance of additional class notations, where applicable. Such surveys are carried out at the
intervals and under the conditions given below.

The surveys are to be carried out in accordance with the relevant requirements in order to confirm
that the condition of the hull, machinery, equipment and appliances comply with the applicable rules.
It is the owner‟s duty to ensure that the ship‟s maintenance is kept at a satisfactory level in order to
maintain the condition between surveys.

The extent of any survey depends upon the condition of the ship and its equipment. In addition to the
minimum required extent of surveys specified in the rules, should the surveyor have a doubt as to the
maintenance or condition of the ship or its equipment, or be informed by the owner of any deficiency or
damage which may affect class, further examination and testing may be conducted as considered necessary.

It is the owner‟s responsibility to ensure that his ships are prepared and submitted for survey when
necessary and, in the normal course of events, classification society surveyors only attend on board
when requested to do so by the owner or his representative.

Suspension of class
Class may be suspended following a decision made by the society when one or more of the following occurs:

• when a ship is not operated in compliance with the rule requirements;

• when a ship proceeds to sea with less freeboard than that assigned;

• when the owner fails to request a survey after having detected defects or damages affecting the class;

• when repairs, alterations or conversions affecting the class are carried out without requesting
the attendance of a surveyor.

In addition, class is automatically suspended:

• when the class renewal/special survey has not been completed by its due date or within the
time granted in special circumstances for the completion of the survey, unless the ship is under
attendance by the society‟s surveyor(s) with a view to completion prior to resuming trading;
• when the annual or intermediate surveys have not been completed by the end of the

corresponding survey time windows.

Suspension of class with respect to the above cases will remain in effect until such time as the due
surveys and any other survey deemed appropriate by the society have been completed.

In addition to the circumstances for which automatic suspension may apply, the class of a ship will be
subject to suspension procedures following a decision of the society:

• when a recommendation/condition of class is not dealt with within the time limit specified,
unless it is postponed before the due date by agreement with the society;
• when one or more other surveys are not held by their due dates - or the dates stipulated by the
society also taking into account any extensions granted;
• when, due to the nature of reported defects, the society considers that a ship is not entitled to
retain its class even on a temporary basis (pending necessary repairs or renewals, etc.);
• in other circumstances where the owner fails to submit the ship to a survey in accordance with
a special requirement.

In all cases suspension will remain in effect until such time as matters are rectified and the class is
reinstated or class is withdrawn.

Withdrawal of class
The society will withdraw the class of a ship when:

• requested by the owner;

• the class has been suspended for more than six months;

• the ship is reported as a constructive total loss and the owner does not advise his intention to
repair the ship for reinstatement of class;
• the ship is reported lost;

• the ship will not trade further as declared by its owner.

Withdrawal of class takes effect from the date on which the circumstances causing such withdrawal
occur or when it is decided.

Notification of suspension or withdrawal

When class is suspended or withdrawn, the society will at the same time:

• inform the owner, flag administration and underwriters (the latter at their request);
• publish the information on its website and convey the information to appropriate databases
(Equasis, etc.).
Definitions and procedures related to classification surveys

Period of certificate of class

The period of the certificate of class starts either from the date of initial classification or from the
credited date of the last class renewal/special survey, and expires at the due date assigned for the next
class renewal/special survey.

The due date is the end of the time window for that survey.

Anniversary date
The anniversary date is the day and the month given in the certificate of class which corresponds to the
expiry date of the certificate.

Survey time window

The survey time window is the fixed period during which the annual and intermediate surveys are to be
carried out.

Overdue surveys
Each periodical survey is assigned a due date specified by the relevant rules by which it is to be completed.

A survey becomes overdue when it has not been completed by its due date. For example, with an
anniversary date of 15th April, the annual survey can be validly carried out from 16th January to 15th
July. If not completed by 15th July, the annual survey becomes overdue and class will be suspended
automatically.

Recommendations / Conditions of Class

„Recommendation‟ and „Condition of Class‟ are different terms used by IACS societies for the same
thing, i.e. requirements to the effect that specific measures, repairs, surveys etc. are to be carried out
within a specific time limit in order to retain class.

Memoranda
Other information of assistance to the surveyor and owners may be recorded as „memoranda‟ or
a similar term. They may, for example, include notes concerning materials and other constructional
information. A memorandum may also define a condition which, though deviating from the technical
standard, does not affect the class (e.g. slight indents in the shell which do not have an effect upon
the overall strength of the hull or minor deficiencies which do not affect the operational safety of the
machinery).

In addition, memoranda could define recurring survey requirements, such as annual survey of specified
spaces, or retrofit requirements, which have the de-facto effect of conditions of class.

Specific questions in relation to the meaning of memoranda / recommendations / conditions of class are
to be addressed to the classification society concerned through the owner of the ship.
Class renewal survey / special survey
Class renewal surveys/special surveys are carried out at five-year intervals. However, consideration may
be given by the society, in exceptional circumstances, to granting an extension for a maximum period of
three months after the due date. In such cases the next period of class will start from the due date for
the previous class renewal survey before the extension was granted.

The special survey may be commenced at the 4th annual survey and be progressed with a view to
completion by the 5th anniversary date.

The class renewal surveys / special surveys include extensive examinations to verify that the structure,
main and essential auxiliary machinery, systems and equipment of the ship are in a condition which
satisfies the relevant rules. The examinations of the hull are generally supplemented by thickness
measurements and witnessing of tests as specified in the rules, and as deemed necessary by the
attending surveyor, to assess that the structural condition remains effective and to help identify
substantial corrosion, significant deformation, fractures, damages or other structural deterioration.

Diagram to show classification society Special Survey Cycle

Diagram to show the detail of range dates for Class Surveys

Annual survey
Annual surveys are to be carried out within a window from three months before to three months after
each anniversary date.

At the time of annual surveys, the ship is generally examined. The survey includes an inspection of
the hull, equipment and machinery of the ship and some witnessing of tests, so far as is necessary and
practical in order to verify that, in the opinion of the attending surveyor(s) the ship is in a general
condition which satisfies the rule requirements.

Intermediate survey
An intermediate survey is to be carried out within the window from three months before the second to
three months after the third anniversary date.

The intermediate survey includes examinations and checks on the structure as specified in the rules to
verify that the vessel is in compliance with the applicable rule requirements. The rule criteria become
more stringent with age.

According to the type and age of the ship the examinations of the hull may be supplemented by thickness
measurements as specified in the rules and where deemed necessary by the attending surveyor.

Bottom / Docking survey

A bottom/docking survey is the examination of the outside of the ship‟s hull and related items.

This examination may be carried out with the ship either in dry dock (or on a slipway) or afloat: in the
former case the survey will be referred to as dry-docking survey, while in the latter case as in-water
survey. The conditions for acceptance of an in-water survey in lieu of a dry-docking survey will depend on
the type and age of the ship and the previous history.

The outside of the ship‟s hull and related items are to be examined on two occasions in the five-year
period of the certificate of class with a maximum of 36 months between surveys.

One of the two bottom / docking surveys to be performed in the five-year period is to be concurrent
with the class renewal/special survey.

For ships subject to the Enhanced Survey Programme (ESP) and 15 years of age and above, the
intermediate bottom/docking survey is to be carried out in a dry-dock.

Tailshaft survey
A tailshaft survey is the survey of screwshafts and tube shafts (hereafter referred to as tailshafts) and the
stern bearing.
The different types of surveys to which tailshafts may be subjected and the intervals are:

• complete survey;
• modified survey;

• partial survey.

Propellers installed on ships under construction in South Korea (with protective covers on the blades).
 Picture of new Propeller Shaft and Intermediate Shaft.

Tailshaft complete survey

Tailshafts are to be submitted to complete examination at a periodicity based on the type of shaft and
its design. “Complete” means that the shaft is drawn up for examination or that other equivalent means
of examination are provided.

Tailshaft modified survey

A modified survey of the tailshaft is an examination which may be accepted at alternate five-yearly
surveys for tailshafts provided that the shaft arrangement is in accordance with specific requirements.

Tailshaft partial survey

A partial survey allows a postponement of the complete survey, having a periodicity of 5 years, for 2.5 years.

Boiler surveys
Boilers and thermal oil heaters are to be surveyed twice in every five-year period. The periodicity of
the boiler survey is normally 2.5 years.

Steam boilers, superheaters and economisers are examined internally and externally. To this end,
boilers are to be drained and suitably prepared for the examination of the water-steam side and the fire
side. Where necessary, the external surfaces are to be made accessible for inspection by removal of
insulation and lining.
Non-periodical surveys
Such surveys are carried out for example:

• to update classification documents (e.g. change of owner, name of the ship, change of flag);
• to deal with damage or suspected damage, repair or renewal work, alterations or conversion,
postponement of surveys or outstanding recommendations/conditions of class;
• At the time of port state control inspections.

Photos showing collision damage.

In the event of damage which affects or may affect the class of the ship, the owner is to advise the
society without delay.

Arrangements are then made at the earliest opportunity for a surveyor to attend and ascertain the
extent of the damage and determine if it is such that the vessel no longer complies with the applicable
rule requirements. Following repair, the surveyor will again assess the status of the vessel to determine
if it has been returned to a condition that is in compliance with the applicable rule requirements.

Photo showing bottom damage to a ship’s hull.

Any damage in association with wastage over the allowable limits (including buckling, grooving,
detachment or fracture), or extensive areas of wastage over the allowable limits, which affects or, in
the opinion of the surveyor, will affect the vessel‟s structural, watertight or weathertight integrity,
is to be promptly and thoroughly repaired thereby removing the need for the imposition of any
associated condition of classification. Otherwise, damages and partial or temporary repairs considered
acceptable by the surveyor for a limited period of time are covered by the issuance of an appropriate
recommendation/condition of class.

Damages or repairs required by the surveyor to be re-examined after a certain period of time are also
covered by an appropriate recommendation/condition of class.

Photo showing a collision between two ships.

Class certificate

Issue of the certificate of classification

A certificate of classification, bearing the class notations assigned to the ship and an expiry date, is
issued to all classed ships. This certificate may also be provided with annexes supplying information
sufficient for the management of the certificate, for determining the class survey‟s date and for
immediate assessment of possible irregularities (overdue recommendations, etc.).

An interim/provisional certificate of classification may serve as a certificate of classification in certain

situations when deemed necessary by the society.
Validity of the certificate of classification

A certificate of classification, properly endorsed, is valid until the expiry date unless advised otherwise
by the society or provided there are no grounds for suspension or withdrawal of class.

Endorsement of the certificate of classification

When annual and intermediate surveys are satisfactorily completed, the certificate of classification is:

• endorsed for the periodical surveys;

• according to the practice of some societies, endorsed accordingly with the relevant entries in the
appropriate annexes attached to the certificate concerning the outstanding recommendations/
conditions of class, if any, and/or the surveys held.

Where applicable, memoranda are also endorsed in the appropriate annex.

Types of classification society Surveys:

• Hull

o Annual
o Intermediate
o Special
o Docking (In-water)
o Rudder stock & pintles
o Damage repairs

• Main and Auxiliary Machinery

o Annual
o Docking
o Engine special survey
o Continuous survey machinery
o Pumping and piping arrangements
o Air compressors, air receivers and starting air pipes
o Means of communication
o Bridge and other remote control systems
o Explosion relief devices
o Inert gas systems
o Steering gear
o Screwshafts
o Propellers (including directional and transverse thrusters)
o Sternbushes
o Boilers, thermal oil heaters and hot water heaters
o Steam pipes
 • Control Engineering Systems

o Annual
o Periodical
o UMS (unmanned machinery systems notation)
o CCS, denotes that the machinery may be operated with continuous supervision from a
centralised control room.
o ICC, denotes that the ships control and supervision functions are computer based.
o DP (dynamic positioning notation)
o Testing and survey of microprocessor systems
o Vapour detection systems

• Electrical Installations

o Annual
o Intermediate
o Complete
o Modification or damage and repair
o Electrical equipment in dangerous zones and spaces

• Refrigeration Installations

o Survey of existing installations

o Systems for the carriage of insulated cargo containers
o Ships for liquefied gas

Now to look at these in more detail:

• Hull Surveys:
Annual Survey (AS), Intermediate Special Survey (ITSS) and Special Survey (SS):

> General class requirements for annual and intermediate survey for cargo hold and cargo tank
structural examination dependent on ship type.
> General class requirements for periodical surveys of salt water ballast tanks and salt water
ballast holds.

In general the surveyor is to be satisfied that the ship‟s structure remains satisfactory for safe
continued operation for a further twelve months. This will include surveys of hatchways on
the freeboard deck and superstructure decks, weather deck plating, ventilator coamings and air
pipes, exposed casings, skylights, deckhouses and companionways, superstructure bulkheads, side,
bow and stern doors, side scuttles and deadlights, chutes and other openings, together with all
closing appliances and flame screens.
 Docking Surveys (DS):
These are required by the SOLAS treaty (Chapter 1, Regulation 10-V), which states that
every ship should have a minimum of two inspections of the outside of the ship‟s bottom
during any five year period. It no longer states that the ship must be docked to achieve these
inspections. Therefore alternative methods of inspection may be submitted for approval by the
administration and class by the owners (e.g. diving survey).

One docking survey is required in each five year period and should normally coincide with the
special survey. When this is the case, in addition to the requirements set out for normal annual
surveys, the chain lockers, anchors and anchor chain cables must also be surveyed.

If no repairs are required to be carried out to the hull then a class society surveyor will make
a simple examination of the underwater parts (rudder, rudder pintle clearances, propeller, stern
gland seal, propeller shaft bearing weardown, sea inlet / outlet gratings, sea connections and
overboard discharges, bilge keels, anodes, bow / stern thrusters, stabilisers, hull shell plating and
antifouling paint coating, etc.).

It is an opportunity for the ship to be cleaned of marine growth and where necessary a new
application of antifouling paint applied.

An important consideration by the owner is the requirement for a tailshaft survey, which has
to be carried out every five years and will therefore need to coincide with the docking period,
unless the ship has been assigned in-water survey notation.

• In-water Survey (IWS):

It may be possible to conduct an in-water survey in lieu of a docking survey and it is expected
that this survey will provide the information normally obtained from a docking survey.

IWS may be allowed if a high resistance paint coating, or a specialist cathodic protection system
has protected the underwater section of the ship.

At each IWS the rudder pintle, upper stock bearing and tailshaft clearances will be taken by a
suitably qualified diver and diving company. Therefore provision must be made at the building
stage to enable these surveys to be conducted in-water. The diver will also carry out a full
examination of the underwater hull structure, as would be carried out at a docking survey.

The class surveyor will attend with the nominated diving company and normally be able to view
the divers operations by underwater video link. It will normally be possible to communicate
with the diver and direct him to points of particular interest like bilge keels, sea grids and
thruster etc. For this purpose the surveyor should obtain a copy of the ship‟s shell expansion
and general arrangement plans from the ship before starting the survey. Likewise if the diver
sees any damage then the surveyor should be able to identify its location on the plans and
report it accordingly.
 Diving companies and particular geographic locations for carrying out in-water surveys are
approved in advance by class societies.

• Damage repairs:
If a ship‟s hull structure or any of its major machinery becomes damaged in any way, it is the
responsibility of the ship‟s captain to inform his company and for them, in turn, to notify the
classification society, at the earliest opportunity.

The ship will normally be required to make for the nearest port to facilitate repairs and for the
attendance of a classification society surveyor.

The surveyor will be required to agree the extent of required repairs and / or a method to safely
allow the vessel to continue its voyage, to discharge its cargo and then make permanent repairs.
It may be that an initial temporary repair could carry the ship safely to its next scheduled survey
or docking when a permanent repair can be completed, in which case the surveyor can impose a
“Condition of Class” (CoC) on the vessel. This is a written notation on the ship‟s class records
describing the extent of damage, the temporary repairs made and the duration that the ship
may continue to operate until permanent repairs are made, or the temporary repairs are re-
inspected by a classification society surveyor and the duration of the CoC extended. Once
permanent repairs are made, to the satisfaction of the attending classification society surveyor,
the CoC will be removed from the ship‟s class records.

This is a generalisation of damage repairs, as you will appreciate that each incident will need to
be assessed individually and acted on accordingly.

• Main and Auxiliary Machinery:

While the ship is in dry-dock, all openings to the sea in the machinery spaces and pump-
rooms, including the condition of their associated valves and their connection to the hull, are
to be surveyed.

It is not normally a requirement to open up machinery annually as it is considered sufficient to

see machinery under working conditions. If, however, defects, repairs or alterations have been
reported or noted by the surveyor, these items must be surveyed in greater detail.

At docking surveys, propellers must be examined for any blade damage, erosion, pitting, cracking,
or contact damage. Any oil leakage from controllable pitch propellers should be investigated and
rectified. Stern tube bush weardown readings should be taken with a poker gauge and acted on
accordingly. If these are considered excessive it may be necessary to withdraw the propeller
shaft and renew the bushes and bearings. Stern tube seals should be seen not to be leaking. All
suction and discharge valves below the load line should be examined to be in good working
order and their attachment to the ship‟s hull must also be checked. These valves need only be
opened up for inspection every five years.
An engine special survey (ES) is a survey system where the machinery is surveyed according
to its running hours and the maker‟s recommended service intervals. In this system the main
engines running hours must be reported at each annual survey and at the fifth year all auxiliary
machinery surveyed. Also at the fifth year, irrespective of the main engine hours, holding down
bolts, crankcase doors and explosion relief devices and engine trials will be surveyed.
This survey system is generally suited to smaller vessels with relatively low annual running hours
on the main engines e.g. tugs.

A continuous survey of machinery (CSM) is a survey cycle that an owner can opt for on new
or recently classed ships, where the intention would be to survey approximately one fifth of
the machinery components each year. This cycle should be complete at the fifth year so that all
machinery items have been surveyed at least once in that time.

The following machinery is to be surveyed at least once in every five-year cycle, or more often if
considered necessary by the classification surveyor or society:

o All propulsion shafting, except tailshafts, which are considered separately, and thrust blocks
and bearings.

o Reduction gearing, wheels, pinions, shafts, bearings, gear teeth, thrust bearings and any clutch
arrangements.

o Auxiliary engines, auxiliary air compressors and their associated equipment and safety devices.

o Air receivers, their valves and safety devices.

o Starting air pipes for main and auxiliary engines.

o All pumps used for essential services, i.e. main engine lub-oil supply, fuel oil supply etc.

o Steering gear operation from navigating bridge and emergency helm position, as well as
communication to / from the navigating bridge and conning positions will be surveyed annually.

o Screwshafts or tailshafts are to be surveyed every five years, including keys, key ways and
coupling bolts.

o Propellers are to be surveyed at the same interval as the tailshaft, although a general
examination will be carried out at the docking or in-water survey at 2½ years.

o Windlasses and their associated power units, i.e. electric, hydraulic or steam motors.

o Evaporators, to produce water for main boilers and essential services.

o Holding down bolts and chocking of the main and auxiliary engines, turbines, gearboxes,
thrust blocks and intermediate shaft bearings.
 o All valves, strainers and pipes in the bilge system are to be opened up for inspection where
considered necessary by the surveyor and the system is to be tested under working conditions.

o Fuel tanks, which are not part of the ship‟s structure, are to be examined and may be
pressure tested if considered necessary by the surveyor.

o All remote controls for essential machinery are to be tested under operating conditions.

o Safety arrangements on engines:

1. Cylinder relief valves are generally fitted to engines with cylinders over 230 mm bore.
2. Scavenge spaces in open connection with cylinders are provided with explosion relief valves.

3. Crankcases are also provided with lightweight spring-loaded valves or other quick-acting
and self-closing devices, to relieve crankcase pressure in the event of an internal explosion.
These should be examined at the periodical survey and seen to be free to operate
satisfactorily and it should be verified that flame guards are in position and in good order.

o Inert gas systems installed onboard ships used in association with the carriage of oil or liquid
chemicals in bulk are to be surveyed annually.

o Steam and gas turbines have further specific classification survey requirements to those above.

o Boilers, economizers, steam receivers, steam heated steam generators, thermal oil heaters
and hot water units used for the supply of essential services are to be surveyed at least
every 2½ years and generally examined externally annually.

o Generally, saturated steam and superheated steam pipes are to be surveyed every five years
if the steam temperature exceeds 450ºC, or if less than 450ºC will require to be surveyed
ten years after the date of build and thereafter every five years.

• Control Engineering Systems:

Ships with UMS, CCS or ICC notations will require a general examination of the control
equipment annually. At this time the surveyor is to be satisfied with the operation of the
safety devices and control systems. There are also various national authorities that require an
annual survey of UMS equipment to demonstrate that a vessel‟s manning is appropriate for the
operation of the machinery installations.

The basic surveyable control systems are as follows:

o Bridge control system

Where the ship is normally manoeuvred from the bridge the operation of the main
propulsion and steering is to be surveyed.
o Transfer of control and communications
Where the ship‟s main propulsion can be manoeuvred from either the machinery control
room and / or locally at the engine. The steering gear can also be operated from a local
position. These alternative control positions are to be demonstrated to the surveyor‟s
satisfaction. Communication from the bridge to the alternative control positions for main
propulsion and steering is vital.

o Alarms and safeguards

Automatic shutdowns and slow downs of main propulsion equipment are to be tested and
proven to operate satisfactorily to the surveyor‟s satisfaction.

o Fire detection and fire prevention

The fire detection system should be surveyed and selected detectors operated to the
surveyor‟s satisfaction.
Fire prevention, in this instance means, the high pressure fuel oil pipes on main and auxiliary
engines. The protection arrangements for these, namely the double walled pipes and spill
alarms, should be generally examined by the surveyor.

o Bilge level detection and operation of shipside bilge valves. The freedom of movement and
operation of the bilge system shipside valves should be tested, with attention to the valve
position indicators. The bilge level detection system should be tested and seen to operate to
the surveyor‟s satisfaction.

o Supply of electrical power

Automatic starting and connection to the switchboard of a standby generator and automatic
load sharing, where fitted, should be surveyed as practically as possible considering it may not
be possible to operate under full load conditions whilst in port.

o Automatic start of standby pumps

Standby pumps should be proven to operate when the running pump fails. This can normally
be achieved by stopping the running pump with the second pump selected as “standby” or
“auto start”. Standby pumps are normally provided on auxiliary systems such as lube oil to
main engines and gear boxes, cooling water to main and auxiliary engines, boiler feed water
pumps, etc.

o Fire pump
The remote starting of the fire pump(s) is to be tested from all control positions, e.g. engine
control room, bridge, fire control station etc.

In addition to the above, the ship may be equipped with other specialist control equipment that
should be surveyed such as the UMS, CCS and ICC equipment, as well as DP equipment where
fitted. The classification society will outline the specialist surveys for these class notations, but
they all amount to proving to the attending surveyor that the systems operate in a satisfactory
manner for which they were designed. Information to support this can often be gained from
the ship‟s records, e.g. the bridge log and log abstract, and the chief engineers records.
 o Microprocessor systems
Programmable electronic systems software and hardware are surveyable items. Generally
it should be proven that the software on the system is that which is certified for it and
that it operates in the prescribed manner. The power supply and back up should be
tested. The supporting documentation and disks for re-entering the software should be
available. Documentation to show any upgrades and their compatibility should be available.
Any local area network (LAN) within the ship should be tested in accordance with the
prescribed procedures.

o Vapour detection
This is required if the ship carries toxic and / or flammable gases. The requirements for the
fitting and operation of this detection system are governed by the International Gas Code,
but the operation should be annually surveyed when fitted. A specialist authorised company
can carry out this survey and a current certificate of test must be carried on board.
Note: it may be necessary to use a “span gas” for testing the detectors. This is a gas with a
certified content that is measurable by the detectors and can be used to prove calibration of
the equipment.

• Electrical Installations:
Annual and intermediate electrical surveys should be carried out in association with the main
and auxiliary machinery surveys and Control Engineering Systems. The requirements for a
complete electrical survey are outlined below, which should be completed in whole within the
five year cycle:

o Electrical equipment and cables are to have an electrical insulation resistance test carried
out. A third party may complete this and the results be presented to the attending surveyor.
A normal resistance should be not less than 1MΩ between individual conductors and
between those conductors and earth.
o The main switchboard, emergency switchboard, section and distribution boards are to have
their fittings examined, with attention to over-current protective devices and fuses to ensure
their correct operation and installation.
o Generator circuit-breakers and any other protective devices are to be tested to verify that
the preference tripping relays operate correctly.
o Electrical cables and their installation are to be examined, as far as practicable and at the
discretion of the attending surveyor, subject to the results of the insulation resistance tests.
o Generator prime movers (i.e. diesel engine or turbine) are to be examined under the
requirements of the machinery survey, but additionally the governing of these is to be proven
with step load changes applied to the switchboard to demonstrate satisfactory load sharing
and governor operation.
 Electric motors associated with essential services (i.e. main lub oil pumps, main cooling water
 pumps, etc) and their controls are to be examined under running conditions, where practicable.
 o All generators and steering gear motors are to be examined under working conditions.
o If liquid-immersed type transformers are used for the supply of essential services then
samples are to be taken of the liquid and tested by a competent authority. The tests are to
be presented to the attending surveyor and should include breakdown voltage, acidity and
moisture readings.
o Navigation lights and the navigation light indicators are to be tested under working
conditions. Correct operation of the power supply failure and navigation light failure alarm is
to be verified.
o The emergency source of electrical power, associated circuits and their automatic operation
are to be tested. This could mean batteries or emergency generator depending on the size
and type of ship.
o Emergency lighting, transitional emergency lighting, supplementary emergency lighting, general
alarm and public address systems are to be tested as far as practicable.
o Where a ship is electrically propelled more in-depth surveys will be required for the
propulsion motors, generators, cables and all ancillary electrical equipment.
o Modification, damage or repairs:
Should any modifications, damage or repairs be required, or occur to any electrical
installations on board a classed vessel it is the responsibility of the owners to submit detailed
plans and proposals to the classification society before the commencement of any work.
At least, for damages and repairs, the owners must request the attendance of a classification
surveyor, at the earliest opportunity, to assess the extent of work required and then the
requirements for class approval.
o Dangerous zones and spaces:
A general examination of the electrical equipment in areas which may contain flammable
gases or vapour and / or combustible dust, is to be made to ensure the integrity of the
special safe-type electrical equipment in these areas has not been damaged in any way. This
should include examination of cable runs and their method of support and all earth bonding
straps. If pressurised equipment is fitted the alarms and interlocks are also to be tested for
correct operation.

• Refrigerated Installations:

o Survey of existing installations – annual surveys.

o The surveyor should attend the ship as soon as practicable after the ship‟s arrival at the
discharge port to examine the refrigeration machinery under working conditions. This is to
include an examination of the refrigerated cargo logbook to determine if there have been
any breakdowns in the previous twelve months and what repairs have been carried out.
o The survey of the refrigeration machinery plant is to include the safety devices, controls
and thermometers.
 o The insulated cargo spaces are to be surveyed with attention to the condition of the
insulation, lining, scuppers, hatches, coolers, air ducts and air refreshing arrangements.
o The electric motors driving the refrigeration compressors, pumps and fans are to be
generally examined, together with their controls and electrical cabling.
o Electrical insulation resistance of this equipment is to be surveyed at the surveyor‟s
discretion and may be in the form of a third party report, as outlined in the electrical
installation information.
o A survey book or other permanent record is to be kept on board the ship to show the date
of examination of the various parts. This is to be available to the surveyor at all times and is
to be signed by the surveyor on the occasion of each survey.
o Special surveys for refrigeration plant will come on a five yearly cycle as per all other surveys
as shown on the special survey cycle diagram.
o Special surveys will require more in depth surveys of the refrigeration machinery. It should
be opened up and presented to the attending surveyor. The extent of this type of survey will
vary depending on the refrigeration equipment on board any particular ship. Pipe insulation
is to be removed at various points in the chambers to expose the pipes and to ascertain
their condition.
Pressure relief devices are to be generally examined as well as relief valves or safety discs.
These should have current, in date, test certification.
Sea connections for condenser cooling water pumps are to be opened up at the time of the
hull survey or main machinery special survey.

• Ships for liquefied gas:

o The International Code for the Construction and Equipment of Ships Carrying Liquefied
Gases in Bulk (IGC Code) governs the rules and regulations for the construction and survey
in service of these specialist ships.
o Classification societies will have their own rules pertaining to liquefied natural gas (LNG) and
liquefied petroleum gas (LPG) ships, but the underlying standard is taken from the IGC Code
and the classification rules simply expand on this Code.
o LNG and LPG ships and their equipment are considered specialist subjects and will not be
covered further in this chapter. However, recommended reading in this subject, for any one
wishing to gain a better understanding in this area, is the book:

“Liquefied Gas Handling Principles on Ships and in Terminals” by McGuire & White, ISBN 1 85609 164 3

Also, the IGC Code, which is published by IMO, ISBN 92 801 1277 5

Statutory Surveys and Certification are covered in more detail in Chapter 9.

Chapter 9.
STATUTORY SURVEYS AND CERTIFICATION
Classification societies may be authorized on behalf of governments to carry out national and
international statutory surveys and certification. This chapter gives an overview of the diversity of
statutory surveys and certification that exist throughout the marine industry depending on the type
of vessel, where it is registered (flagged), and where it will operate. In general, it can be described that
classification societies provide rules, regulations and surveys to maintain the physical aspects of the
ship‟s structure and machinery, while statutory surveys are related to the safety of the crew and the safe
operation of the vessel.

Common statutory conventions, codes and standards, that a surveyor may be required to have
knowledge of and, if authorised by the flag administration, carry out surveys on their behalf, are covered
in this Chapter:

• The International Convention on Tonnage Measurement of Ships

• The International Convention for the Safety Of Life At Sea (SOLAS)
• The International Convention for the prevention of Pollution from Ships (MARPOL)
• The International Convention for the Control of Ships‟ Ballast Water and Sediment
• The Hong Kong International Convention for the Safe and Environmentally Sound Recycling of
Ships (The Hong Kong Convention)
• The International Safety Management Code (ISM)
• The International Code for the Security of Ships and Port Facilities (ISPS)
• Performance Standards for Protective Coatings in sea water Ballast Tanks (PSPC)
• International Maritime Solid Bulk Cargoes Code (IMSBC Code)
• International Code for the Construction and Equipment of Ships Carrying Liquefied Gases in
Bulk (IGC Code)
• International Code for the Construction of Equipment of Ships Carrying Dangerous Chemicals
in Bulk (IBC Code)
• The International Code for Fire Safety Systems (FSS Code)
• The Fire Test Procedure Code (FTP Code)
• Port State Control (PSC)
• The International Regulation for the Prevention of Collisions at Sea (COLREGS)
• Global Marine Distress and Safety System (GMDSS)
• The Intact Stability Code (IS Code)
• Standards of Training, Certification and Watchkeeping for Seafarers (STCW)
The International Convention on Tonnage Measurement of Ships

The International Tonnage Certificate is issued under the International Convention on Tonnage
Measurements of Ships 1969. Previously, various systems were used to calculate the tonnage of
merchant ships. Although all went back to the method devised by George Moorsom of the British
Board of Trade in 1854, there were considerable differences between them and it was recognized that
there was a great need for one single international system. The Convention provides for gross and net
tonnages, both of which are calculated independently.

The rules apply to all ships built on or after 18 July 1982 - the date of entry into force - while ships built
before that date were allowed to retain their existing tonnage for 12 years after entry into force, or
until 18 July 1994.

Gross tonnage and net tonnage

The Convention meant a transition from the traditionally used terms gross register tons (grt) and net
register tons (nrt) to gross tonnage(GT) and net tonnage (NT).

Gross tonnage forms the basis for manning regulations, safety rules and registration fees. Both gross
and net tonnages are used to calculate port dues.

The gross tonnage is a function of the moulded volume of all enclosed spaces of the ship. The net
tonnage is produced by a formula which is a function of the moulded volume of all cargo spaces of the
ship. The net tonnage shall not be taken as less than 30 per cent of the gross tonnage.

The International Convention for the Safety of Life at Sea (SOLAS)

IMO‟s first task when it came into being in 1959 was to adopt a new
version of the International Convention for the Safety of Life at Sea
(SOLAS), the most important of all treaties dealing with maritime safety.

The certification that is issued to the ship under SOLAS is as follows:

• Cargo Ship Safety Construction Certificate.

• Cargo Ship Safety Equipment Certificate.
• Cargo Ship Safety Radio Certificate.
OR
• Cargo Ship Safety Certificate.

The Cargo Ship Safety Construction Certificate demonstrates the compliance with the statutory
requirements for ship construction.
The Cargo Ship Safety Equipment Certificate and its associated Record of Equipment, demonstrate
the compliance with the minimum statutory safety requirements and the record lists all the safety
equipment on board that particular vessel.

The Cargo Ship Safety Radio Certificate and its associated Record of Equipment, demonstrate the
compliance with the minimum statutory radio requirements and the record lists all the radio equipment
on board that particular vessel.

The Cargo Ship Safety Certificate is adopted by some statutory authorities and is a combination of the
construction, safety equipment and radio certificates into one certificate.

SOLAS also deals with ship construction, the size and strength of compartments and the intact and
damage stability.

We discuss the requirements of load lines and freeboard assignment in Chapters 18 and 19 respectively.
These are statutory requirements and surveys that are undertaken by the classification societies on
behalf of the individual flag administration.

There are additional statutory rules and regulations that govern the operation of passenger vessels.

The following pages show examples of the International Tonnage Certificate and the SOLAS certification
as issued by classification societies on behalf of various statutory authorities / flag administration.
 Example of an International Tonnage Certificate,
issued under the authority of the Government of the Republic of Liberia, by Germanischer Lloyd
 Example of a Cargo Ship Safety Construction Certificate,
issued under the authority of the Government of the United Kingdom, by Lloyd’s Register
Example of an Interim (short term) Cargo Ship Safety Equipment Certificate issued under the authority of the
Government of Republic of Liberia, by Germanischer Lloyd
Example of Cargo Ship Safety Radio Certificate issued under the authority of the Government of the United
Kingdom, by Lloyd’s Register
Example of Cargo Ship Safety Certificate issued under the authority of the Kingdom of Denmark,
by Lloyd’s Register, Page 1
Example of Cargo Ship Safety Certificate issued under the authority of the Kingdom of Denmark,
by Lloyd’s Register, Page 2
International Convention for the Prevention of Pollution from Ships
(MARPOL)
The International Convention for the Prevention of Pollution from
Ships (MARPOL) is the main international convention covering
prevention of pollution of the marine environment by ships from
operational or accidental causes.

MARPOL started in 1954 and at that time only dealt with oil pollution.
The MARPOL Convention was adopted on 2 November 1973 at IMO.
The Protocol of 1978 was adopted in response to a spate of tanker
accidents in 1976-1977. As the 1973 MARPOL Convention had not yet
entered into force, the 1978 MARPOL Protocol absorbed the parent
Convention. The combined instrument entered into force on 2 October
1983. In 1997, a Protocol was adopted to amend the Convention and
a new Annex VI was added which entered into force on 19 May 2005.
MARPOL has been updated by amendments through the years.

It is now titled MARPOL Consolidated Edition 2011 and has been amended to have six sections called
Annexes.

• Annex I,
Regulations for the Prevention of Pollution by Oil
(entered into force 2 October 1983)
The original section and certified under the International Oil Pollution Prevention Certificate,
requires ships over 400 gross tonnes to restrict their overboard discharges of oil to 30 litres per
nautical mile travelled and no discharges within coastal waters. The 1992 amendments to Annex I
made it mandatory for new oil tankers to have double hulls and brought in a phase-in schedule for
existing tankers to fit double hulls, which was subsequently revised in 2001 and 2003.

• Annex II,
Regulations for the Control of Pollution
by Noxious Liquid Substances in Bulk
(entered into force 2 October 1983)
This deals with noxious liquids and chemicals carried in bulk and
classifies these cargoes in accordance with their threat to sea life,
people etc., and the appropriate ship construction and equipment
requirements. Some 250 substances were evaluated and included
in the list appended to the Convention. This Annex is covered by
the International Code for the Construction and Equipment of
Ships Carrying Dangerous Chemicals in Bulk (IBC Code).
Annex III,
Prevention of Pollution by Harmful Substances Carried by Sea in Packaged Form
(entered into force 1 July 1992)
Contains general requirements for the issuing of detailed
standards on packing, marking, labelling, documentation,
stowage, quantity limitations, exceptions and notifications.

For the purpose of this Annex, “harmful substances” are those

substances which are identified as marine pollutants in the
International Maritime Dangerous Goods Code (IMDG Code)
or which meet the criteria in the Appendix of Annex III.

The IMDG Code, 2010 Edition is currently in force from 1

January 2012. Please note that the IMDG Code, 2012 Edition
will come into force on 1 January 2014 for two years and may
be applied voluntarily as from 1 January 2013.

• Annex IV,
Prevention of Pollution by Sewage from Ships
(entered into force 27 September 2003)
Contains requirements to control pollution of the sea by sewage; the discharge of sewage into
the sea is prohibited, except when the ship has in operation an approved sewage treatment
plant or when the ship is discharging comminuted and disinfected sewage using an approved
system at a distance of more than three nautical miles from the nearest land; sewage which is
not comminuted or disinfected has to be discharged at a distance of more than 12 nautical miles
from the nearest land.

In July 2011, IMO adopted the most recent amendments to MARPOL Annex IV which are
expected to enter into force on 1 January 2013. The amendments introduce the Baltic Sea as a
special area under Annex IV and add new discharge requirements for passenger ships while in a
special area.

• Annex V,
Prevention of Pollution by Garbage from Ships
(entered into force 31 December 1988)
Deals with different types of garbage and specifies the distances from land and the manner in
which they may be disposed of; the most important feature of the Annex is the complete ban
imposed on the disposal into the sea of all forms of plastics.

In July 2011, IMO adopted extensive amendments to Annex V which are expected to enter into
force on 1 January 2013. The revised Annex V prohibits the discharge of all garbage into the sea,
except as provided otherwise, under specific circumstances.
 • Annex VI,
Prevention of Air Pollution from Ships
(entered into force 19 May 2005)
Sets limits on sulphur oxide and nitrogen oxide emissions from ship exhausts and prohibits
deliberate emissions of ozone depleting substances; designated emission control areas set more
stringent standards for SOx, NOx and particulate matter.

In 2011, after extensive work and debate, IMO adopted ground breaking mandatory technical
and operational energy efficiency measures which will significantly reduce the amount of
greenhouse gas emissions from ships; these measures were included in Annex VI and are
expected to enter into force on 1 January 2013.

Examples of some of these MARPOL certificates are given on the following pages.

Every ship is required to comply with each of these Annexes and will be certified accordingly. However,
this will depend on whether the particular Annex has been ratified by the member country and if a
certificate or a statement of compliance will be issued.
Example of Annex I, IOPP Certificate issued under the authority of the Republic of Liberia
by Lloyd’s Register
Example of Annex V, Prevention of Pollution by Garbage Statement of Compliance
Issued be Lloyd’s Register
Example of a Certificate of Compliance with the International Labor Organisations Conventions No. 92 and 133,
on behalf of the Government of the Republic of Liberia,
Issued by Germanischer Lloyd
International Convention for the Control and Management of Ships’
Ballast Water and Sediment

While ballast water is essential for safe and efficient modern shipping operations, it may pose serious
ecological, economic and health problems due to the multitude of marine species carried in ships‟ ballast
water. These include bacteria, microbes, small invertebrates, eggs, cysts and larvae of various species.
The transferred species may survive to establish a reproductive population in the host environment,
becoming invasive, out-competing native species and multiplying into pest proportions.

Scientists first recognized the signs of an alien species introduction after a mass occurrence of the Asian
phytoplankton algae Odontella (Biddulphia sinensis) in the North Sea in 1903. But it was not until the
1970s that the scientific community began reviewing the problem in detail. In the late 1980s, Canada
and Australia were among countries experiencing particular problems with invasive species, and they
brought their concerns to the attention of IMO‟s Marine Environment Protection Committee (MEPC).

The spread of invasive species is now recognized as one of the greatest threats to the ecological and
the economic wellbeing of the planet. These species are causing enormous damage to biodiversity and
the valuable natural riches of the earth upon which we depend. Direct and indirect health effects are
becoming increasingly serious and the damage to environment is often irreversible.

IMO has been at the front of the international effort by taking the lead in addressing the transfer of
aquatic invasive species (AIS) through shipping. In 1991 the MEPC adopted Guidelines for preventing
the introduction of unwanted organisms and pathogens from ships‟ ballast water and sediment
discharges (MEPC resolution 50(31)); while the United Nations Conference on Environment and
Development (UNCED), held in Rio de Janeiro in 1992, recognized the issue as a major international
concern.

In November 1993, the IMO Assembly adopted resolution A.774(18) based on the 1991 Guidelines
requesting the MEPC and the MSC to keep the Guidelines under review with a view to developing
internationally applicable, legally-binding provisions. While continuing its work towards the development
of an international treaty, the Organization adopted, in November 1997, resolution A.868(20) -
Guidelines for the control and management of ships‟ ballast water to minimize the transfer of harmful
aquatic organisms and pathogens inviting its member states to use these new guidelines when addressing
the issue of IAS.

After more than 14 years of complex negotiations between IMO member

states, the International Convention for the Control and Management of
Ships‟ Ballast Water and Sediments (BWM Convention) was adopted by
consensus at a Diplomatic Conference held at IMO Headquarters in London
on 13 February 2004.

The Convention will require all ships to implement a Ballast Water and Sediments
Management Plan. All ships will have to carry a Ballast Water Record Book and will
be required to carry out ballast water management procedures to a given standard.
Parties to the Convention are given the option to take additional measures which
are subject to criteria set out in the Convention and to IMO guidelines.
Several articles and regulations of the BWM Convention refer to guidelines to be developed by the
Organization and Conference resolution 1 invites IMO to develop these guidelines as a matter of
urgency and adopt them as soon as practicable and, in any case, before the entry into force of the
Convention, with a view to facilitate global and uniform implementation of the instrument.

The Convention will enter into force 12 months after ratification by 30 states, representing 35 per
cent of world merchant shipping tonnage. As of July 2011, 28 states have ratified the Convention,
representing 25.43% of world merchant shipping tonnage.

The adoption of the last set of Guidelines for the uniform implementation of the BWM Convention and
the approval and certification of modern ballast water treatment technologies have removed the last
barriers to the ratification of the instrument and a significant number of countries have indicated their
intention to accede to this Convention in the near future.

For the most up to date information on the Ballast Water Managemenmt Convention and its
implementation the student is advised to refer to the IMO web site: www.imo.org

The International Convention for the Control and Management of Ships‟ Ballast Water and Sediments
(ISBN 92-801-0033-5, sales number: 1620M) can be purchased from the IMO publications web site.

The Hong Kong International Convention for the Safe and

Environmentally Sound Recycling of Ships

The Hong Kong International Convention for the Safe and Environmentally Sound Recycling of Ships,
2009 (the Hong Kong Convention), was adopted at a diplomatic conference held in Hong Kong, China,
from 11 to 15 May 2009, which was attended by delegates from 63 countries.

The Convention is aimed at ensuring that ships, when being recycled after reaching the end of their
operational lives, do not pose any unnecessary risks to human health, safety and to the environment.
The Hong Kong Convention intends to address all the issues around ship recycling, including the fact
that ships sold for scrapping may contain environmentally hazardous substances such as asbestos, heavy
metals, hydrocarbons, ozone-depleting substances and others. It also addresses concerns raised about
the working and environmental conditions at many of the world‟s ship recycling locations.

The text of the Hong Kong Convention was developed over three and a half years, with input from IMO
member states and relevant non-governmental organizations, and in co-operation with the International
Labour Organization and the parties to the Basel Convention.

Regulations in the new Convention cover: the design, construction, operation and preparation of
ships so as to facilitate safe and environmentally sound recycling without compromising the safety and
operational efficiency of ships; the operation of ship recycling facilities in a safe and environmentally
sound manner; and the establishment of an appropriate enforcement mechanism for ship recycling,
incorporating certification and reporting requirements.
Upon entry into force of the Hong Kong Convention, ships to be sent for recycling will be required
to carry an inventory of hazardous materials, which will be specific to each ship. An appendix to the
Convention provides a list of hazardous materials the installation or use of which is prohibited or
restricted in shipyards, ship repair yards, and ships of parties to the Convention. Ships will be required
to have an initial survey to verify the inventory of hazardous materials, additional surveys during the life
of the ship, and a final survey prior to recycling.

Ship recycling yards will be required to provide a “Ship Recycling Plan”, specifying the manner in which
each ship will be recycled, depending on its particulars and its inventory. Parties will be required to
take effective measures to ensure that ship recycling facilities under their jurisdiction comply with the
Convention.

The following guidelines have been developed and adopted to assist states in the early implementation
of the Convention‟s technical standards:

• 2011 Guidelines for the Development of the Inventory of Hazardous Materials, adopted by
resolution MEPC.197(62);

• 2011 Guidelines for the Development of the Ship Recycling Plan, adopted by resolution
MEPC.196(62);

• 2012 Guidelines for Safe and Environmentally Sound Ship Recycling, adopted by resolution
MEPC.210(63); and

• 2012 Guidelines for the Authorization of Ship Recycling Facilities, adopted by resolution
MEPC.211(63).

Two further guidelines are being developed that will assist in the implementation of the Convention
once it enters into force, while MEPC may also identify and develop additional guidance or circulars:

• Guidelines for Survey and Certification of Ships under the Hong Kong Convention; and

• Guidelines for Inspection of Ships under the Hong Kong Convention.

Entry into force criteria:

The Convention is open for accession by any state. It will enter into force
24 months after the date on which 15 states, representing 40 per cent of world merchant
shipping by gross tonnage, have either signed it without reservation as to ratification, acceptance
or approval or have deposited instruments of ratification, acceptance, approval or accession with
the Secretary-General. Furthermore, the combined maximum annual ship recycling volume of
those states must, during the preceding 10 years, constitute not less than 3 per cent of their
combined merchant shipping tonnage. For more detailed information please refer to resolution
MEPC.178(59) on the calculation of the recycling capacity for meeting the entry-into-force
conditions of the Hong Kong Convention and document MEPC 62/INF.13 on the same topic.
The International Safety Management Code (ISM Code)

The ISM Code deals with the technical aspects of the ship and
the required training of the crew. It is a management system
and comprises:

• the organisation on board the ship;

• the organisation on shore of the shipping company;
• communications between the company ashore and the ship.

The ISM Code is a standard consisting of thirteen safety elements,

each describing a business operation that is relevant to safety and the
environment. This is discussed in more detail in Chapter 20.

The International Code for the Security of Ships and Port Facilities
(ISPS Code)

The objectives of the International Code for the Security of Ships and of Port Facilities are to prevent
acts of terrorism which threaten the security of passengers and crew and the safety of ships. The ISPS
Code is a comprehensive set of measures to enhance the security of ships and port facilities, developed
in response to the perceived threats to ships and port facilities in the wake of the 9/11 attacks in the
United States. The ISPS Code is implemented through Chapter XI-2
Special measures to enhance maritime security in the International
Convention for the Safety of Life at Sea (SOLAS), 1974. The Code has
two parts, one mandatory and one recommendatory.

In essence, the Code takes the approach that ensuring the security
of ships and port facilities is a risk management activity and that, to
determine what security measures are appropriate, an assessment of
the risks must be made in each particular case. The purpose of the
Code is to provide a standardised, consistent framework for evaluating
risk, enabling governments to offset changes in threat with changes
in vulnerability for ships and port facilities through determination of
appropriate security levels and corresponding security measures.

This is explained further in Chapter 20.

There are other statutory certificates in common use, but are only required if the trading areas of the
vessel dictate the necessity. For instance, there is a Panama Canal Certificate, as there is a Suez Canal
Certificate, neither of which may be required if the ship will never trade in these areas. Also, the USA
has many additional statutory certification requirements for vessels operating and trading in US waters.
An example of one such certificate of conformity is shown on the following page.
Example of a Certificate of Conformity for US Coast Guard Regulations CFR 33,
issued by Germanischer Lloyd
Example of a statutory certificate for a Mobile Offshore Drilling Unit issued by ABS
on behalf of the Republic of Maldives
Performance Standards for Protective Coatings in Sea Water Ballast Tanks
(PSPC)

IMO MSC.215 (82), Performance Standards for Protective Coatings in Sea Water Ballast Tanks is a
standard designed to achieve a target coating lifetime of 15 years in dedicated sea water ballast tanks
and double side-skin spaces of bulk carriers.

Adopted on 8th December 2008, the IMO PSPC for water ballast tanks is applicable to all new
buildings > 500GT where:

• The building contract was placed on or after 1st July 2008

• The keel was laid on or after 1st January 2009
• The delivery is on or after 1st July 2012

For Common Structural rules vessels (Tankers and Bulkers) the adoption of the standard is now mandatory.

Coating System Approval

• Need for independently certified Statement of Compliance (type approval certificate).
• The certificate will confirm compliance with a series of laboratory tests – either those detailed
in the Annex of the Ballast Tank Standard, or tests based on ISO standards.
• Existing epoxy-based coating systems with proven performance may be approved without
laboratory testing by inspection of applications that have been in service for at least five years and
can be rated as remaining in the IACS-defined „GOOD‟ condition (“with only minor spot rusting”).
• The Ballast Tank Standard identifies the inspection and document recording requirements
through each of the primary surface preparation, block assembly and erection stages.
• Inspectors will have to be qualified and the certificates of these inspectors will be verified as
complying with, or being equivalent to, either of the two internationally recognised qualifications:

National Association of Corrosion Engineers, now known as NACE International (NACE) to

Level II; or the Norwegian Professional Council for Education and Certification for Surface
Treatment (FROSIO) to Level Red.

The Coating Technical File (CTF)

To be compiled by the shipyard and kept on board throughout the life of the ship. It will contain:

• Type Approval Certificate for the coating system.

• The manufacturer‟s Technical Data Sheet.
• The shipyard‟s application procedure and inspection procedures.
• The shipyard‟s inspection reports.
• Procedures for in-service maintenance and repair of the coating system.
• Records of all in-service maintenance, repair and partial re-coating activities.
(IMO Guidelines for Coating Maintenance and Repair.)
Verification
• The contents of the CTF.
• Compliance of the Technical Data Sheet and Type Approval Certificate with the Ballast
Tank Standard.
• That the batches of paint used are consistent with the Technical Data Sheet and Type
Approval Certificate.
• The qualifications of the shipyard inspectors.
• Compliance of the inspectors‟ reports.
• Monitor implementation of coating inspection requirements.

We also have to consider the safe carriage of specialist cargos such as „Bulk Cargoes‟, „Bulk Chemicals‟
and „Gas‟. The IMO have two specialist codes to cover these types of cargoes:

International Maritime Solid Bulk Cargoes Code (IMSBC Code)

On January 1 2011 the International Maritime Solid Bulk Cargo

(IMSBC) Code became mandatory. The aim of the Code is to
promote the safe carriage of solid bulk cargoes. All vessels carrying
solid bulk cargoes in general, and dangerous solid bulk cargoes in
particular, are now required to comply with the new IMSBC Code
irrespective of their size or year of build.

The IMSBC Code replaces the Code of Safe Practice for Solid Bulk
Cargoes, which was first introduced in 1965. In December 2008 the
International Maritime Organisation adopted Resolution MSC268
(85), which introduced the IMSBC Code for the carriage of solid bulk
cargoes. Owners have been asked to apply the IMSBC Code on a
voluntary basis since January 1 2009, but it became mandatory when
amendments to the International Convention for the Safety of Life at
Sea (SOLAS) entered into force in January 2011. A failure by owners
to comply with the IMSBC Code now constitutes a breach of the International Convention for the
Safety of Life at Sea.

The aim of the mandatory IMSBC Code is to facilitate the safe stowage and shipment of solid bulk
cargoes by providing information on the dangers associated with the shipment of certain types of cargo
and instructions on the appropriate procedures to be adopted.

The International Code of Safe Practice for Solid Bulk Cargoes (BC Code) includes recommendations
to governments, ship operators and shipmasters. Its aim is to bring to the attention of those concerned
an internationally-accepted method of dealing with the hazards to safety which may be encountered
when carrying cargo in bulk.
The Code highlights the dangers associated with the shipment of certain types of bulk cargoes; gives
guidance on various procedures which should be adopted; lists typical products which are shipped
in bulk; gives advice on their properties and how they should be handled; and describes various test
procedures which should be employed to determine the characteristic cargo properties.

The Code contains a number of general precautions and says it is of fundamental importance that
bulk cargoes be properly distributed throughout the ship so that the structure is not overstressed and
the ship has an adequate standard of stability. A revised version of the Code was adopted in 2004 as
Resolution MSC.193(79) Code of Safe Practice for Solid Bulk Cargoes, 2004.

International Code for the Construction and Equipment of Ships

Carrying Liquefied Gases in Bulk (IGC Code)

The purpose of this Code is to provide an international standard for

the safe transport by sea in bulk of liquefied gases and certain other
substances, by prescribing the design and construction standards
of ships involved in such transport and the equipment they should
carry so as to minimize the risk to the ship, its crew and to the
environment, having regard to the nature of the products involved.

The basic philosophy is that ship types should be related to the

hazards (which may have one or more properties) of the products
covered by the Code. A further possible hazard may arise owing to
the products being transported under cryogenic (refrigerated) or
pressurised conditions.

Severe collisions or strandings could lead to cargo tank damage and

uncontrolled release of the product. Such release could result in
evaporation and dispersion of the product and, in some cases, could
cause brittle fracture of the ship‟s hull.

The requirements in this Code are intended to minimize these risks as far as is practicable, based upon
present knowledge and technology.

The IGC Code is kept under review, taking into account experience and technological development.
The layout of this Code is in line with the International Code for the Construction of Equipment of
Ships Carrying Dangerous Chemicals in Bulk (IBC Code).

The IGC Code applies to gas carriers constructed on or after1 July 1986. Gas carriers constructed
before that date should comply with the requirements of the Code for the Construction and
Equipment of Ships Carrying Liquefied Gases in Bulk or the Code for Existing Ships Carrying
Liquefied Gases in Bulk.
International Code for the Construction and Equipment of Ships
carrying Dangerous Chemicals in Bulk (IBC Code)

Carriage of chemicals in bulk is covered by regulations in SOLAS

Chapter VII - Carriage of Dangerous Goods and MARPOL Annex II -
Regulations for the Control of Pollution by Noxious Liquid
Substances in Bulk.

Both Conventions require chemical tankers built after 1 July 1986 to

comply with the International Code for the Construction and
Equipment of Ships carrying Dangerous Chemicals in Bulk (IBC Code).

The IBC Code provides an international standard for the safe

carriage by sea of dangerous and noxious liquid chemicals in bulk.
To minimize the risks to ships, their crews and the environment, the
Code prescribes the design and construction standards of ships and
the equipment they should carry, with due regard to the nature of the
products involved. In December 1985, by resolution MEPC.19(22), the
Code was extended to cover marine pollution aspects and applies to ships built after 1 July 1986.

In October 2004, IMO adopted revised MARPOL Annex II Regulations for the control of pollution by
noxious liquid substances in bulk. This incorporates a four-category categorization system for noxious
and liquid substances and it entered into force on 1 January 2007.

Consequential amendments to the International Bulk Chemical Code (IBC Code) were also adopted
in October 2004, reflecting the changes to MARPOL Annex II. The amendments incorporate revisions
to the categorization of certain products relating to their properties as potential marine pollutants as
well as revisions to ship type and carriage requirements following their evaluation by the Evaluation of
Hazardous Substances Working Group.

Ships constructed after 1986 carrying substances identified in Chapter 17 of the IBC Code must follow
the requirements for design, construction, equipment and operation of ships contained in the Code.
Ships subject to the Code shall be designed to one of the following standards:

• A type 1 ship is a chemical tanker intended to transport Chapter 17 products with very severe
environmental and safety hazards which require maximum preventive measures to preclude an
escape of such cargo.
• A type 2 ship is a chemical tanker intended to transport Chapter 17 products with appreciably
severe environmental and safety hazards which require significant preventive measures to
preclude an escape of such cargo.
• A type 3 ship is a chemical tanker intended to transport Chapter 17 products with sufficiently
severe environmental and safety hazards which require a moderate degree of containment to
increase survival capability in a damaged condition.
Thus, a type 1 ship is a chemical tanker intended for the transportation of products considered to
present the greatest overall hazard and type 2 and type 3 for products of progressively lesser hazards.
Accordingly, a type 1 ship shall survive the most severe standard of damage and its cargo tanks shall be
located at the maximum prescribed distance inboard from the shell plating.

As well as the foregoing statutory information the IMO has also developed and adopted international
collision regulations and global standards for seafarers, as well as international conventions and codes
relating to search and rescue, the facilitation of international maritime traffic, load lines, the carriage of
dangerous goods and tonnage measurement.

The Maritime Safety Committee is IMO‟s senior technical body on safety-related matters. It is aided in
its work by a number of sub-committees.

The Maritime Safety Committee has developed the following recommendations, about which the
student can find more details through the IMO web site:

• Cargoes - Revised Recommendations on the safe transport of dangerous cargoes

and related activities in port areas
The Revised Recommendations on the safe transport of dangerous cargoes and related activities
in port areas were approved as MSC.1/Circ.1216 by the Maritime Safety Committee at its
eighty-second session (29 November to 8 December 2006), recognizing the need to align the
relevant provisions of the Recommendations with those of the IMDG Code, as amended, and
with the ISPS Code concerning security provisions.

• Fire protection, fire detection and fire extinction

On 1 July 2002, a comprehensive new set of requirements for fire protection, fire detection
and fire extinction on board ships entered into force as a new revised Chapter II-2 of the
International Convention for the Safety of Life at Sea (SOLAS), 1974, as amended, incorporating
technological advances in fire detection and extinction as well as lessons learned from fire
incidents over the years.

The regulations are designed to ensure that fires are first of all prevented from occurring - for
example by making sure that materials such as carpets and wall coverings are strictly controlled
to reduce the fire risk; secondly, that any fires are rapidly detected; and thirdly; that any fire is
contained and extinguished. Designing ships to ensure easy evacuation routes for crew and
passengers are a key element of the chapter.
The following publications are available from IMO:

• The International Code for Fire Safety Systems

(FSS Code), adopted by the MSC by resolution MSC.98(73),
which is mandatory under SOLAS

• Fire Test Procedures (FTP Code)

Which includes:
Model Course: 1.20 - Fire Prevention. & Fire Fighting
Model Course: 2.03 - Advanced Fire Fighting
Model Course: 3.05 - Survey of Fire Appliances
Symbols for Fire Control Plans

• Flag State Implementation (FSI) – Implementation,

Control and Coordination.
IMO was established to adopt legislation and governments
are responsible for implementing them. When a government
accepts an IMO Convention it agrees to make it part of
its own national law and to enforce it just like any other
law. The problem is that some countries lack the expertise,
experience and resources necessary to do this properly.

There is demonstrated statistical evidence, when analysing

the casualty rates or the port state control detentions of
the ships in relation with their respective flags, that a highly
significant difference exists between the performances of
States with a substantial and organized maritime safety
administration, manned with experienced ship surveyors, and
 other ones that are not in a position to properly fulfil the different tasks and responsibilities of
the flag state in relation with safety certification of ships.

IMO was concerned about this problem and in 1992 set up a special Sub-Committee on
Flag State Implementation (FSI) to improve the performance of governments. The FSI Sub-
Committee worked under a set terms of reference to carry out a comprehensive review of the
rights and obligations of states emanating from the IMO treaty instruments.

Another way of raising standards is through port state control. The most important IMO
conventions contain provisions for governments to inspect foreign ships that visit their ports
to ensure that they meet IMO standards. If they do not they can be detained until repairs are
carried out.

Experience has shown that this works best if countries join together to form regional port
state control organizations (PSC regimes). IMO has encouraged this process and memoranda
of understanding (MoUs)/agreements have been signed covering Europe and the North Atlantic
(Paris MoU); Asia and the Pacific (Tokyo MoU); Latin America (Acuerdo de Viña del Mar);
Caribbean (Caribbean MoU);West and Central Africa (Abuja MoU); the Black Sea region (Black
Sea MoU); the Mediterranean (Mediterranean MoU); the Indian Ocean (Indian Ocean MoU) and
the Persian Gulf (Riyadh MoU).

IMO also has an extensive technical co-operation programme which concentrates on improving
the ability of developing countries to help themselves. It concentrates on developing human
resources through maritime training and similar activities.

• Safety of Navigation (NAV) – Conventions,

resolutions and codes including guidelines on
navigation issues.
Besides conventions, IMO has also issued a series of
resolutions and codes, including guidelines on navigation
issues and performance standards for shipborne navigational
and radiocommunications equipment. Some are simply
recommendations - though such is their wide acceptance
that they effectively mark international policy - while
others are referred to by relevant regulations of specific
conventions, thereby giving them the same weight as the
convention regulations themselves.

• Radiocommunications (COMSAR) –
Radiocommunications and Search and Rescue.
Under the direct instruction of the Maritime Safety Committee (MSC) and as may be
requested by the Marine Environment Protection Committee (MEPC), the Sub-Committee on
Radiocommunications and Search and Rescue (COMSAR) considers matters related to the
following subjects:
 o performance standards, maintenance requirements
and relevant procedures for radiocommunication
equipment and operational communications related
to safety or maritime security, including the Global
Maritime Distress and Safety System (GMDSS);
o co-operation with the International
Telecommunication Union (ITU) regarding maritime
mobile radiocommunication matters;
o the GMDSS Master Plan;
o technical and operational measures and
recommendations on the worldwide implementation
of maritime search and rescue, including the
maintenance of the International Aeronautical and
Maritime Search and Rescue (IAMSAR) Manual;
o co-operation with the International Civil Aviation
Organization (ICAO) regarding joint aeronautical
and maritime search and rescue issues; and
o the Global SAR Plan.

• Ship Design and Equipment (DE) – Global-based construction standards for new ships.
The premise behind the development of global-based standards is that IMO should play a
larger role in determining the fundamental standards to which new ships are built. There is no
intention that IMO would take over the detailed work of the classification societies, but rather
that IMO would state what has to be achieved, leaving classification societies, ship designers
and naval architects, marine engineers and ship builders the freedom to decide on how best
to employ their professional skills to meet the required standards. At present there is no
international legislation or guidance on these matters.

• Stability and Load Lines and on Fishing Vessels

Safety (SLF) – Stability and subdivision.

Intact Stability Code

IMO has long developed intact stability criteria for
various types of ships, culminating in the completion
of the Code on Intact Stability for All Types of Ships
Covered by IMO Instruments (IS Code) in 1993
(resolution A.749(18)) and later amendments thereto
(resolution MSC.75(69)). The IS Code included
fundamental principles such as general precautions against
capsizing (criteria regarding metacentric height (GM) and
righting lever (GZ)); weather criterion (severe wind and
rolling criterion); effect of free surfaces and icing; and
watertight integrity. The IS Code also addressed related
 operational aspects like information for the master, including stability and operating booklets
and operational procedures in heavy weather.

In 2008, the Maritime Safety Committee, at its eighty-fifth session, adopted the International
Code on Intact Stability, 2008 (2008 IS Code), following extensive considerations by the SLF Sub-
Committee and taking into account technical developments, to update the 1993 Intact Stability
Code. MSC 85 also adopted amendments to the SOLAS Convention and to the 1988 Load Lines
Protocol to make the 2008 IS Code mandatory, which entered into force on 1 July 2010. The
2008 IS Code provides, in a single document, both mandatory requirements and recommended
provisions relating to intact stability that will significantly influence the design and the overall
safety of ships.

• Standards of Training and Watchkeeping (STW)

The IMO‟s International Convention on Standards of
Training, Certification and Watchkeeping for Seafarers
(STCW), 1978 was the first internationally-agreed
convention to address the issue of minimum standards of
competence for seafarers. In 1995 the STCW Convention
was completely revised and updated to clarify the standards
of competence required and provide effective mechanisms
for enforcement of its provisions.

A comprehensive review of the STCW Convention and the

STCW Code commenced in January 2006, and culminated
in a Conference of Parties to the STCW Convention which
was held in Manila, Philippines from 21 to 25 June 2010,
that adopted a significant number of amendments to the
STCW Convention and STCW Code. These amendments,
now referred to as the Manila amendments, that will provide enhanced standards of training for
seafarers now and for years to come, entered into force on 1 January 2012.

Future statutory legislative changes:

It is most important that we all keep ourselves up to date with all the changes happening in our
industry. There are many „rule‟ changes on the table at this moment, which are mainly statutory, and
which are mainly related to „Green Issues‟ as the marine industry tries to improve its environmental
impact standards. Some are just consolidations of existing regulations, but others are new and will have
considerable consequence on future ship design and operations. As with every new „rule‟ there must
be an action required for each ship owner and these can have an impact on the operating parameters
of each ship and thus its trading capabilities. In order to comply with these new regulations there
will undoubtedly be a cost implication to the owners too. These need to be factored into the annual
budgets, operating costs and where necessary the refit specification, if modifications and new equipment
are required to be applied to the ship for it to comply with a new regulation.

For reference please refer to the following web sites-

Chapter 10.
GENERAL RULES AND DEFINITIONS
In this chapter we shall identify some of the common terms and definitions used in shipping as well as
some general, non-class specific rules.

Let‟s start by looking at the principal dimensions and definitions of a ship‟s structure.

Breadth (B) The greatest moulded breadth, measured from side to side outside the
frames, but inside the shell plating.

Breadth Over All (Boa) The maximum breadth of the ship as measured from the outer hull on the
starboard to the outer hull on the port side.

Depth The vertical distance between the base line and the upper continuous
deck. The depth is measured at half-length between perpendiculars (Lpp).

Freeboard The distance between the water line and the top of the deck at the side.
Refer to Chapters 18 and 19 for more details on this subject.

Draught (T) The vertical distance between the water line and the underside of the
keel. This is normally measured at the forward and aft perpendiculars.

Air Draught The vertical distance between the water line and the highest point of the ship.
Draught at the Stern (TA) The vertical distance between the water line and the underside of the keel
measured at the aft perpendicular (AP).

Draught at the Stem (TF) The vertical distance between the water line and the underside of the keel
measured at the forward perpendicular (FP).

Fore Perpendicular (FP) A vertical line that intersects the water line and the stem.

Aft Perpendicular (AP) A vertical line usually taken on the centre line of the rudder stock.

Trim The difference between the draught at the stem and the draught at the stern.

Length Between Distance between the forward and the aft perpendiculars.
Perpendiculars (Lpp)

Length Over All (Loa) The horizontal distance from the stem to the stern.

Length on the The horizontal distance between the moulded sides of the stem and the
Water Line (Lwl) stern when the ship is at its summer freeboard.
Camber The athwart-ships curvature of the weather deck. This curvature helps
ensure sufficient drainage.

Turn of Bilge The turn of the hull form from the flat bottom to the parallel side.

Rise of Bottom The rise of the flat bottom from the keel to the turn of bilge.

Proportions Some common ratios in ship design which are used to obtain
information on the hull forms resistance in the water, its stability and its
manoeuverability are given below:

L/B The ratio of length and breadth can differ dramatically depending on the
type of vessel. Common values:
Passenger ships 6-8:1
Freighters 5-7:1
Tugs 3-5:1
The larger the L/B value then the more the vessel‟s hull form favours speed over manoeuverability.
L/D The length to depth ratio tends to vary between 10-15:1 and is used in
determining the freeboard and the longitudinal strength.

B/T The breadth to draught ratio tends to vary between 2.3-4.5:1. The larger
this ratio then the vessel will have a greater initial stability.

B/D The breadth to depth ratio tends to vary between 1.3-2:1. If this ratio is
greater than this then the vessel will become increasingly more unstable.

Volumes and Weights At the IMO conference in 1969 the units “gross tonnage” and “nett
tonnage” were introduced, to establish a worldwide standard in calculating
the size of ships. In many countries, the gross tonnage is used to
determine port dues and pilotage or to determine the number of people
in the crew.

Register Ton To determine the volume of a space the register ton is used. One register
ton equals 100 cubic feet (cft), or 2.83 m3.

Gross Tonnage (GT) The gross tonnage is calculated by using a formula that takes into account
the ship‟s volume in cubic metres below the main deck and the enclosed
space above the main deck, i.e. the volume of the accommodation and
engine casing. This is represented in the diagram below by the sum of the
yellow and blue coloured cuboids.

This volume is then multiplied by a constant, which results in a

dimensionless number (this means no units of T or m3 should be placed
after the number).

Diagram to show the relationship between nett and gross tonnage

Nett Tonnage (NT) The nett tonnage is also a dimensionless number that describes the
volume of the cargo space, as shown in the diagram above by the light blue
cuboid. The NT can be calculated from the GT by subtracting the volume
of the space occupied by:
crew;
navigation equipment;
propulsion equipment;
workshops.

The NT may not be less than 30% of the GT.

Displacement (in m3) The displacement equals the volume of the part of the ship below the
water line including the shell plating, propeller and rudder.

Displacement Δ The displacement is the weight of the volume of water displaced by the ship.
(in tonnes t) It can also be said that the displacement equals the total mass of the ship:

Displacement (t) = water displacement (m3) x density of water (t/m3)

Light Displacement (in t) This is the weight of the hull including the regular inventory. The regular
inventory includes: anchors, life-saving appliances, lubricating oil, paint
stocks, etc.

Dead Weight (in t) This is the weight a ship can load until the maximum allowable submersion
is reached. This is constant and unique to each ship.

Dead weight (t) = maximum weight Δ (t) – light displacement (t)

Dead weight (t) = maximum weight Δ (t) – actual weight (t)

Cargo Carrying, or This is the total weight of cargo a ship can carry. The cargo capacity (in
Dead Weight Capacity t) is not fixed, it depends on the ship‟s maximum allowable submersion,
(in t) which will include the capacity (in t) of fuel, provisions and drinking water.

Cargo capacity (t) = dead weight (t) – ballast, fuel, provisions, water (t)

Hence, the more fuel a ship loads (bunkers) for a given voyage, the less
cargo capacity it will have.
The table below gives the common standardisation of types of vessels and their relative tonnage.
Chapter 11. MATERIALS
“Materials” range from the steel plate for the hull construction to the bulb bars for frames and
stiffening, to the piping, to electrical cabling, to the glass in the windows, to machinery components.

All materials used in the construction or repair of a classed vessel and the associated machinery, must
be manufactured, tested and surveyed in accordance with the classification society rules.

At the building stage, it is required that the classification society, with which the vessel will be classed on
delivery, certifies all the components of the ship. In some cases components certified by another IACS
member may be accepted, but in the most part, each classification society has its own “List of Approved
Manufacturers of Materials‟, from whom these materials and components must be supplied to the
shipyard or the ship.

It may also be acceptable for materials to be supplied, if they have been manufactured to a recognised
international or national standard and have a manufacturer‟s certificate, from a company that is on the
approved list.

All materials must be clearly identifiable by means of a hard stamp, etching, paint marking, or non-
removable tag. This identification is a method of tracing the material from the manufacturer, through
a supplier, to the shipyard, to the building process of the ship, so that the attending surveyor and
classification society can be confident that the materials that go into the ship are of the correct standard
for the approved design. Each item will be individually identifiable and will have an individual certificate.
(An example is shown on the next page).

Examples of classification lists of approval:

• List of Approved Manufacturers of Materials.

• Approved Welding Consumables for use in Ship Construction.
• List of Paints, Resins, Reinforcements and Associated Materials.
• List of Approved Anchors.
Example (above) of a material certificate for a rudder horn casting for a Lloyd’s Register ship
Chapter 12.
HULL CONSTRUCTION AND EQUIPMENT
Before a ship can be built, the owner has first to enter into a contract with a shipyard and classification
society to build a ship to fulfil their specific needs. These needs will include:

• The type of vessel (Tanker, Passenger Ro-Ro, Car Carrier, Bulk Carrier, General Cargo, Passenger
Liner, LNG / LPG Carrier, Container Carrier, or other specialist type of hull form)
(see the table on the next page for the approximate deadweight‟s for typical ship types).
• The desired carrying capacity and tonnage.
• Desired speed and top speed.
• Layout of the holds and/or cargo (passenger) spaces.
• Hull strength considerations (i.e. ice class).
• Preferred suppliers of equipment such as engines, auxiliaries, navigational equipment, cargo gear, etc.
• Number of crew and passengers to be accommodated.
• Range of the vessel to determine the size of the fuel tanks and storage compartments.
• Limitations to the size of the ship in respect to the routes it will navigate.
• Required class notations and flag state authority certification.
• Desired delivery date.

With all these considerations agreed and the contract placed with a shipyard the building process can start.
We shall now look at the processes involved in the construction of the hull and its components.
The basic stages are as follows:

• Design appraisal.
• Plan approval.
• Material control and certification.
• Welding procedures.
• Non-destructive testing.
• Fabrication.
• Pre-erection and dock erection.
Design Appraisal

Certain essential drawings have to be submitted to the classification society where the ship is to be
registered in order for that design to be assessed against the classification society‟s rules. This will
include hull structural strength as well as approving the machinery, safety construction, safety equipment
and outfitting.

Plan Approval

A classification society plan approval office will approve all the principal structural plans submitted
by the shipyard and the attending surveyor will receive approved copies of these for use during the
building process.

Material Control and Certification

The materials will arrive at the shipyard with the associated certification. It is the responsibility of
the attending surveyor to verify that the shipyard maintains a record of the material‟s identity as it
progresses through the various production stages.

Material used for the construction of ships and associated machinery has to be manufactured,
tested and inspected in accordance with the classification society‟s rules. See Chapter 11 for more
details on materials.

Welding Procedures

The shipyard should have a series of approved welding procedures, previously witnessed by the
classification society, that cover all the materials and consumables used in the construction of the ship‟s
structure. It is also essential that the welders are appropriately certified to carry out such welds.

Non-Destructive Testing (NDE)

Various methods of NDE are employed in the examination of hull structural welding as well as Class
1 steam and pressure pipes and machinery components. In the most part the hull structure and Class
1 piping will require radiography by an approved company and operators. The classification society
surveyors will review these radiographs. Also employed, as methods of NDE in various areas, are
magnetic partial inspection (MPI), ultrasonic testing (UT) and dye penetrant tests (PT).
Fabrication

The hull fabrication starts in the cutting shop, where the plate is cut to shape. It is necessary at this
stage to identify the correct material, grade and thickness and its certification. Then the steel is erected
into blocks that form parts of the hull form. This stage is known as “pre-erection”. These blocks are
typically about 200 tonnes and known as mini-blocks. These mini-blocks are then placed with other
mini-blocks to form a mega-block, which could be between 1000 to 3000 tonnes, dependent on the
shipyard‟s lifting capacity. The mega-blocks are then aligned in a building dock and welded together to
produce the hull form. This stage is known as the “dock erection”. As an example, see the photograph
below, where the whole accommodation block for a modern 120,000 tonne tanker has been
prefabricated before lifting into place on top of the hull. This block weighs 1,200 tonnes.
Also shown below is the entablature (upper part) of a large MAN B&W main engine being lifted ready
for fitting into place onboard. This engine part weighs 350 tonnes approx.

Photograph (above) to show 1,200 tonne prefabricated accommodation block being lifted onto hull structure.
Photograph (above) shows the entablature (upper part) of a MAN B&W main engine being lifted into place.
Chapter 13.
MACHINERY INSTALLATIONS
We shall consider what main and auxiliary components are required to be surveyed for installation into
classed ships.

Construction and installation of main propulsion and auxiliary machinery systems, together with their
associated equipment, boilers, pressure vessels, pumping and piping arrangements and steering gear are
governed by classification society and statutory regulations.

In ships built under special survey (i.e. built to the regulations of an IACS classification society member),
all “important” units of equipment are to be surveyed at the manufacturer‟s works. That is to say, they
are to be built under the inspection of an attending surveyor and the surveyor is to be satisfied that the
component is suitable for its intended purpose and duty.

Components considered to be “main” machinery are:

• Main propulsion engines (which could mean diesel engines, steam or gas turbines), including their
associated gearing, flexible couplings and drive shafts.
• Boilers supplying steam for propulsion or for services essential for the safe operation of the ship
at sea. Also, other boilers having working pressure exceeding 3.4 bar and heated surface area
greater than 4.65 m2.
• Auxiliary engines that provide the source of power for services essential for the safety or
operation of the ship at sea.
• Steering machinery.
• Athwartships thrust units, their prime movers and control mechanisms.
• All pumps necessary for the operation of main propulsion and essential machinery, e.g. boiler
feed, cooling water, condensate extraction, oil fuel and lubricating oil pumps.
• All heat exchangers necessary for the operation of main propulsion and essential machinery, e.g.
air, water and lubricating oil coolers, oil fuel and feed water heaters, de-aerators and condensers,
evaporators and distiller units.
• Air compressors, air receivers and other pressure vessels for the operation of main propulsion
and essential machinery.
• All pumps essential for the safety of the ship, e.g. fire, bilge and ballast pumps.
• Valves and other components intended for installation in pressure piping systems having working
pressure exceeding 7 bar.
• Alarm and control equipment associated with main propulsion, essential machinery and
safety equipment.
• Electrical equipment and electrical propelling machinery as detailed further in Chapter 14.
Chapter 14.
ELECTRICAL INSTALLATIONS
Similar to Chapter 13, where we considered the requirements for main and auxiliary machinery
installations, we shall now consider electrical components that are required to be surveyed for
installation into classed ships.

Construction and installation of electrical machinery and components are governed by classification
society and statutory regulations as with the major machinery components.

The main items to be considered in the electrical installation of a ship are as follows:

• Main source of electrical power.

• Emergency source of electrical power.
• Supply and distribution.
• System design and protection.
• Switchgear.
• Rotating machines.
• Electrical cables.
• Batteries.
• Electrical equipment for use in explosive atmospheres or combustible dust atmospheres.
• Navigation and manoeuvring.
• Electric propulsion.
• Fire safety systems.
• Crew and passenger emergency safety systems.
• Ship safety systems.
• Test and trials.

Main Source of Electrical Power

As a general rule for electrical installations on ships, the electrical services required to maintain the
ship in its normal sea-going, operational and habitable condition, are to be maintained without the use
of the emergency source of power. The main source of electrical power, i.e. the number of electrical
generating sets, is to be considered at the design stage, so as to provide sufficient power to operate
essential electrical services. The generating capacity is to have a sufficient reserve to permit the starting
of large motors without causing any adverse effects to other running devices, or to cause any other
device to fail due to excessive voltage drop. The electrical generating installation must be able to
provide power to services required to start the main propulsion machinery from a dead ship condition
i.e. blacked out. The emergency source of power may be used to assist in the dead ship recovery.
Emergency Source of Electrical Power

Electrical equipment required for the safety of the ship‟s operation, navigation and the safety of its crew
are to be maintained under emergency conditions, i.e. an emergency source of power is to be provided.
The emergency source of electrical power is to be self-contained.

The emergency source of electrical power may be either a generator or an accumulator battery.

The emergency source of electrical power must be capable of providing all the following essential
equipment, simultaneously, for a period not less than 36 hours:

• Emergency lighting.
• Navigation lights.
• Internal communications equipment.
• Navigational aids.
• Fire detection and fire alarm systems.
• Intermittent use of a daylight signalling lamp and ship’s whistle.
• Emergency fire pump.
• Automatic fire sprinkler pump (if fitted).
• Emergency bilge pump/s and associated valves.
• Steering gear.

And for a period of half an hour:

• Watertight doors, their controls and indication circuits.

• Passenger lifts to be able to be brought to deck level.

Supply and Distribution

Various systems of generation and distribution are acceptable for ships other than oil tankers, liquefied
gas carriers and other cargoes with low flash points (not greater than 60°C).

• d.c. two wire;

• a.c. single-phase, two wire;
• a.c. three phase, three wire, or four wire with neutral earth.

For ships precluded from the above, the following methods of generation and distribution are acceptable:

• d.c. two-wire insulated;

• a.c. single phase, two-wire insulated;
• a.c. three-phase, three-wire, insulated;
• earthed systems, a.c. or d.c., in areas outside dangerous zones;
• high voltage systems with earthed neutral.
System voltages (a.c. or d.c.) are not to exceed:

• 15,000 V for generation and power distribution;

• 500 V for cooking and heating equipment;
• 250 V for lighting, heaters in cabins and public rooms, and other applications.

The location of the generating equipment, emergency generating equipment, switchboards, emergency
switchboard and distribution system is to take into account the system integrity in the event of a fire
in any one space, so as not to cause loss of services required to maintain the propulsion and safety of
the ship.

System Design and Protection

Installations are to be protected against over currents including short-circuits and other faults. Short-
circuit current protection may be provided by either circuit breakers or fuses. Overload protection
must be such as to protect the electrical machinery against overheating.

Every earthed distribution system is to be provided with a method of continuously monitoring the
current flow in the earth connection and, if the current exceeds 5 Amps, there is to be an alarm and an
automatic method of interrupting the fault current.

Design considerations have to be given to circuit breakers, fuses, and protection of generators, load
management, feeder circuits, motor circuits and protection of transformers.

Switchgear

The design and operating parameters for marine switchgear and control gear assemblies are detailed in the
International Electrical Code (IEC) Publications, which are, in turn adopted by the classification societies.

The areas of consideration are:

• Bus-bars.
• Circuit breakers.
• Contactors.
• Degrees of protection.
• Distribution boards.
• Earthing of high-voltage switchboards.
• Fuses.
• Instruments for alternating current generators.
• Wiring.
• Position of switchboards.
• Switchboard auxiliary power supplies.
• Testing.
Rotating Machines

The design and operating parameters for rotating machines is covered in the IEC Publication 92 and
classification society rules.

The general requirements are that all rotating machines are to have:

• a manufacturer’s test certificate,

• certified shaft material,
• post weld stress relief where welding is applied to the shaft as part of its construction,
• the rotating elements balanced so as not to have excessive vibration levels,
• all bearings effectively lubricated,
• adverse circulating currents within the machine prevented between the shaft,
bearings and body,
• the effects of sudden short circuit must be considered.

And, in a.c. generators and motors for electrical propulsion systems, there must be at least one
embedded temperature detector (ETD) in each phase of the machine‟s windings.

Electrical Cables

Electrical cables for fixed wiring are to be designed, manufactured and tested in accordance with
relevant IEC Publications in the following categories:

• Low-voltage shipboard cables.

• Single and multicore non-radial field power cables with extruded solid insulation for
rated voltages 1kV and 3kV.
• Single and multicore non-radial field power cables with extruded solid insulation for
rated voltages 6kV, 10kV and 15kV.
• Shipboard telecommunication cables and radio frequency cables, general
instrumentation, control and communication cables.
• Shipboard multicore cables for control circuits.
• Mineral insulated cables with a rated voltage not exceeding 750V.
Other considerations for electrical cabling are:

• Voltage rating.
• Operating temperature.
• Construction.
• Conductor size.
• Bunching of cables.
• Ambient temperature.
• Installation of electric cables.
• Mechanical properties of cables.
• Securing of cables.
• Penetration of bulkheads and decks by cables.
• Electrical cable ends.
• Joints and branch circuits in cable systems.

Batteries

Permanently installed batteries of the vented type or valve regulated sealed type are to be so
constructed as to prevent spilling the electrolyte due to motion and to minimize the risk of electrolyte
spray emission.

Batteries are to be located in a specified adequately ventilated compartment for battery use only, or in a
suitably well ventilated box on the open deck.

Other considerations for batteries:

• Installation.
• Ventilation.
• Charging facilities.
• Electrical equipment within the battery compartment.

Electrical Equipment for Use in Explosive Atmospheres or Combustible Dust Atmospheres

The installation of electrical equipment in areas containing flammable gas, flammable vapour or
combustible dust should be kept to a minimum as necessary for the safe operation of the ship.

There are special “safe type” electrical components which may be installed in areas with explosive
atmospheres. These components are given a special type test in accordance with the IEC Publication 79:
“Electrical Equipment for Explosive Gas Atmospheres” and are designated as follows:

• Intrinsically safe -Ex ‘i’

• Increased safety -Ex ‘e’
• Flameproof -Ex ‘d’ Increased
• Pressurised enclosure -Ex ‘p’ safety
• Powder filled -Ex ‘q’
• Encapsulated -Ex ‘m’

Components specifically designed for use in combustible dust atmospheres are to be designed so
as to minimize the accumulation of dust which, in turn, could affect the safe dissipation of heat from
that equipment.

Navigation and Manoeuvering

The following items of equipment have specific classification society rule requirements governing the
installation of their power supplies, control equipment and circuits:

• Steering gears.
• Thruster systems for steering.
• Thruster systems for dynamic positioning.
• Thruster systems for manoeuvring.
• Navigation lights.
• Navigation aids.

All these items are required for the safety of the ship‟s operation and / or the safety of other seafaring
vessels. As such, as a general rule, all the above are duplicated or have multiple power supplies fed from
alternative sources of power, so that a single failure will not render the equipment totally inoperable.

Electric Propulsion

This specialist equipment is to be designed with the following criteria in mind:

• Power requirements.
• Propulsion control.
• Protection of propulsion systems.
• Instrumentation.
Fire Safety Systems

This includes the following equipment:

• Fire detection and alarm systems.

• Automatic sprinkler systems.
• Fire pumps.
• Refrigerated liquid carbon dioxide system.
• Fire safety stops (fuel oil and lub oil pumps).
• Fire doors (magnetic hold backs and door indication).
• Fire dampers.
• Fire-extinguishing media release alarms.

Generally speaking, all the above are required to have their electrical supply through the emergency
switchboard so that, in the event of main power failure, they can be supplied by the emergency generator.

Crew and Passenger Emergency Safety Systems

The electrical equipment required in this category is as follows:

• Emergency lighting.
• General emergency alarm system.
• Public address system.

Again, these circuits will have their electrical supply through the emergency switchboard.

Ship Safety Systems

• Watertight doors are to have a completely separate power supply from any other
power circuit and to be supplied from the emergency switchboard. This includes
their associated control, indication and alarm circuits.
• Bow, stern and shell doors, loading doors and other closing appliances are to be
fitted with indicators to show when they are open or are not fully closed and secure.
• Bilge pumps for open-topped container ships are to have at least one pump supplied
from the emergency switchboard.
Test and Trials

All electrical equipment is to undergo a thorough „shop-trial‟ in accordance with its design requirements,
rules and as laid down by the classification society at the design stages. On satisfactory completion
of the shop-trial, in the presence of an attending classification society surveyor, the equipment will be
certified for use on or in a classed vessel.

Once the equipment is fitted on board the vessel it must again undergo extensive trials to prove it
under full extreme working conditions, in the presence of an attending classification society surveyor.

High voltage equipment has to undergo further, vigorous, testing to prove its safe operation after
installation onboard.

Electrical equipment installed in hazardous areas must be checked to ensure that it is of a type
permitted by the rules and has been installed correctly so that its integrity remains as specified.

In addition to the above, there are many more specific considerations for electrical installations on a
ship and the relevant codes, rules and classification society plan approval should always be addressed.
Chapter 15.
VESSEL EQUIPMENT
All equipment required for the operation of the ship, its safety and the safety of the crew must have
statutory type approval. That is to say, this equipment must comply with IMO conventions, national
administration and classification society rules for its construction and operation.

Depending on the product, different types of approval are required and

a classification society can issue the Type Approval Certificate, or the
Certificate of Conformity subject to their authorisation. The flag state
administration grants this authorisation to a classification society, i.e. in
the case of the UK this would be the Marine and Coastguard Agency
(MCA). Also, classification societies can issue certain certification under
the Marine Equipment Directive (MED).

Example of the “Wheel Mark” to show equipment conformity to type approval under the Marine Equipment Directive.

Products that are covered by statutory type approval include:

• life saving appliances;

• fire protection equipment;
• marine pollution prevention equipment;
• navigation equipment;
• radio communication equipment;
• equipment required by COLREG 72 (e.g. navigation lights and sound signals).

The classification society may be authorised as a “notified body” under the European Community (EC)
type-examination approval scheme which allows a product to be manufactured to specific guidelines and
for it to receive the “EC” marking and/or the “Wheel Mark” under the Marine Equipment Directive.

Statutory type approval is a quality system that ensures the product conforms to the manufacturing and
operating standards as set out in the statutory codes.

Photograph (above) to show equipment multiple approvals.

Approval granted by: European Community, Korean Register, Lloyd’s Register, Japanese Register, Det Norske Veritas,
Germanischer Lloyd, US Coast Guard and American Bureau of Shipping
All equipment, as listed above, must be supplied with the required approval marking affixed to it and
have a copy of the Type Approval Certificate supplied.

Generally speaking, a flag state‟s type approval will normally be accepted worldwide, but some national
administrations do have more stringent requirements for equipment that is to be used on their flagged
vessels. Classification societies have Lists of Type Approved Products that include the manufacturer‟s
name and product details.

An example of a Production Test Certificate for a lifeboat is shown on the following pages. The
production test is carried out by the classification society on behalf of the flag state administration on
the product (in this case a lifeboat) to confirm its conformity with the required statutory codes and
IMO Resolutions.
Example of a Production Test Certificate issued by Lloyd’s Register on behalf of “contracting governments”,
i.e. under IMO Resolutions.
Page 1 of 2
Example of a Production Test Certificate issued by Lloyd’s Register.
Page 2 of 2
Chapter 16.
FIRE PROTECTION
Fire protection forms part of the design and construction process of every vessel. The main statutory
code governing these requirements, to which all the classification societies rules pertain, is “SOLAS
Chapter II-2 Part C: Suppression of Fire”. This chapter describes type of bulkheads, material of
subdivision, use of non-flammable materials, fire proof doors, fire proof insulation, smoke boundaries,
fire detection and fire fighting.

We shall consider the following:

• Design.
• Fire detection.
• Smoke control.
• Fire pumps.
• Fixed fire-extinguishing systems.
• Portable fire-extinguishing equipment.

Let us first look at the construction of the ship and how it is divided into spaces and the categorisation
of these spaces.

An „A‟ class division is one that is formed by a bulkhead and/or a deck. This division will be constructed
of a suitably stiffened steel plate, or equivalent material, that is capable of preventing the transmission of
smoke and flame for a period of one hour, as prescribed in the standard flame test.

This „A‟ class division is to be insulated with an approved material so that the average temperature of the
unexposed side does not rise more than 140°C above the original temperature, and that no single point
shall rise more than 180°C above the original temperature within a prescribed time as listed below:

Class „A-60‟ 60 minutes

Class „A-30‟ 30 minutes
Class „A-15‟ 15 minutes
Class „A-0‟ 0 minutes

The abbreviated tables below are taken from SOLAS Regulation 9, to illustrate the application of these
different classes of division throughout the ship with the aim of containing a fire in the space of origin.

Ref:
SOLAS – Amendments 2000 – ISBN 92-801-1456-5
The * in each of these tables indicates the requirement for a division of steel or other equivalent
material, but is not required to be of „A‟ class standard.

„B‟ and „C‟ class divisions are defined further in SOLAS, but needless to say are of less rigorous
construction requirements to those of an „A‟ class division, given above.
 Photograph (above) to show A-60 bulkhead insulation and an A-60 window on a forward facing bulkhead in the
accommodation of a Tanker, before the bulkhead panelling is fitted in place.

The definition of “non-combustible material” is given in the IMO International Code for Application of
Fire Test Procedures (FTP Code), Annex 1, Part 1 and states that the material should neither burn nor
give off flammable vapours in sufficient quantity for self-ignition when heated to approximately 750°C.

Design

SOLAS and classification society rules go into the detailed requirements of fire safety:

• Materials - paints, deck insulation, piping systems, deck coverings and pipe insulation. The surface
of the insulation, if it is exposed to oil products, must be impervious to the oil and its vapour.
• Means of escape - stairways, ladders and corridor arrangements for safe means of escape and
egress onto a deck for embarkation into lifeboats or life rafts.

Exit signs, as shown on the right, in the

accommodation and in machinery spaces
to show the shortest and safest route out
of the compartment onto the open deck.
 • Ventilation systems – fans must be able to be stopped and the inlet and outlets of the ducts must
have closures outside of the space that they serve. Machinery ventilation ducts must not pass
through accommodation spaces, service spaces or control stations, unless suitably constructed.
Accommodation space ventilation ducts must not pass through machinery spaces, unless suitably
constructed. Battery compartments must have ventilation systems to prevent the accumulation
of gases. Store rooms used for the storage of flammable products are to be provided with an
independent ventilation system.
• Oil fuel arrangements – storage, distribution and utilization of the oil fuel are to be such as to
ensure the safety of the ship and the persons on board. Fuel tanks within machinery spaces
are not to contain fuel having a flashpoint of less than 60°C. Oil fuel, lubricating oil and other
flammable oils are not to be carried in the fore peak tanks.
• Special arrangements for Category „A‟ machinery spaces – the number of openings in the
machinery space boundaries are to be reduced to a minimum, i.e. skylights, doors, ventilators and
openings in funnels. Skylights are to be constructed of steel and must not contain glass panels.
They should be so arranged as to permit the release of smoke, in the event of fire within that
space. Windows must not be fitted in machinery space boundaries. Means are to be provided,
outside of the space concerned, to control:

• The opening and closure of skylights, openings in the funnel and

ventilation dampers.
• The release of smoke.
• The closure of power-operated doors.
• The stopping of ventilation fans.
• The stopping of forced and induced draught fans on boilers, oil
fuel transfer pumps, oil fuel unit pumps and other fuel pumps.

This summarises the basic SOLAS and classification society requirements for fire safety measures. Now
we should look at fire detection.

Fire Detection

It is a SOLAS requirement that ships have a fixed fire detection and alarm system installed and that
manually operated call points are placed effectively to enable ease of access. The fire detection system
is to detect a fire in a space of origin and provide an alarm for the safe escape of personnel.

Fire detectors are to be operated by heat, smoke or other products of combustion, flame or any
combination of these factors.

The function of the fixed fire detection and fire alarm systems must be regularly tested. This may
be achieved by the use of hot air equipment, or smoke, or aerosol particles having similar density or
particle size to that of smoke.
There are specific SOLAS and class requirements for the design and installation of fire detection and
alarm equipment in machinery spaces, accommodation, service spaces and control stations.

Photograph showing an example of a modern addressable fire alarm control panel.

Photograph (above) showing an example of a fire alarm smoke detector head.

(Other types of head are heat and flame
 Photograph (above) showing an example of a manual fire alarm activation point known as a “Break Glass”.

Smoke Control

The control of smoke spread is also a design consideration. In order to minimize the hazards from
smoke, means of controlling smoke in atriums, control stations, machinery spaces and concealed spaces
has to be considered.

Photograph (above) showing draught stops fitted at an internal bulkhead inside the accommodation, before the
bulkhead panelling is put in place.
SOLAS: Part C, Regulation 8, paragraph 4

“Air spaces enclosed behind ceilings, panelling or linings shall be divided by close-fitting draught stops
spaced not more than 14 m apart. In the vertical direction, such enclosed air spaces, including those
behind linings of stairways, trunks, etc., shall be closed at each deck.”

Fire Pumps

All ships are to be provided with fire pumps, fire mains, hydrants and hoses.

The fixed main fire pump, its associated piping (fire main), hydrants and hoses are to be designed such
that the pressure maintained at any hydrant is to be sufficient to produce a jet throw at any nozzle of
not less than 12 m. When testing this practically on an existing ship, it should be proven that there is
sufficient pressure in the fire main to provide a „good‟ jet throw from a nozzle at two extremes of the
installation simultaneously, i.e. at the highest point (the bridge wing) and the furthest point from the
pump (the foredeck).

The number and location of the hydrants are to be such that at least one jet of water will reach any
part of the ship that is normally accessible to the crew.

Fire hoses, together with any necessary fittings and tools, are to be kept ready for use in conspicuous
positions near each hydrant. The hoses are to be made from non-perishable class approved material and
should not exceed 18 m in length.

Fire nozzles are to be dual purpose, i.e. be capable of providing a spray and a jet, and must be able to be
shut off.

Photograph (above) to show a fire hose on a reel, jet / spray nozzle, hose spanner and a hydrant – typically found
in machinery spaces.
 Photograph (above) shows a fire hydrant and fire hose box as can be found on the upper deck.

Photograph (above) shows the contents of the fire hose box – hose, jet / spray nozzle and hose spanner.
 Photograph (above) to show a fire hose box as can be found in the accommodation.

Photograph (above) to show a small bore fire hose on a reel as can be found inside the accommodation
Fixed Fire-extinguishing Systems

The purpose of a fixed fire-extinguishing system is to suppress and rapidly extinguish a fire in the
space of origin. SOLAS Chapter II-2, Part C, Regulation 10 deals with fire fighting, as well as specialist
requirements of the classification societies‟ rules.

There are a number of fixed type systems in use and the spaces will often be covered by more than
one system.

Types of fixed fire-extinguishing systems:

• HALON.
• Carbon Dioxide (CO2).
• High-expansion foam.
• Pressurised water-spray system.

Note: HALON is a CFC (green house gas) and is not to be used in new ships and is actively being
phased out and removed from existing ships.

The requirements for the installation of a fixed system are such that the fire-extinguishing medium
must be piped to the protected spaces through suitable piping systems with control valves. The control
valves are to be situated outside of the protected space and should be clearly marked to identify the
space that they protect. The controls are to be grouped together in a readily accessible location and
shall have clear instructions posted for the system‟s operation. These instructions must include, in the
case of HALON and CO2 systems, due regard for the safety of personnel in the protected spaces, as the
inadvertent operation of these systems with personnel present within a space will undoubtedly kill them
due to the oxygen depletion.

In the case of the HALON and CO2 there must be an automatic audible warning of the release of the
medium into any space in which personnel normally work.

The exact quantity of any fixed fire-extinguishing medium must be carefully calculated at the design
stage so as to provide sufficient medium for fighting a fire in the largest protected space.
A fixed high-expansion foam system is to be able to discharge into the largest protected space at a rate
of at least 1 m in depth per minute.

The expansion ratio of the foam is not to exceed 1000 to 1.

The foam concentrate is to be of an approved type by the classification society and is to be tested at
least twice in a five-year period to establish that it remains fit for service.
 Photograph (above) to show a typical container label for foam concentrate.

Photograph (above) to show a type of fixed foam applicator as might be found in a machinery space
or pump room.
 Photograph above to show another type of fixed foam applicator as might be found in a machinery space
or pump room.

With a fixed pressure water-spraying system the number and arrangement of the nozzles is to be such
as to give an effective average distribution of the water of at least five litres per square metre per
minute in the protected space.

The system is to be kept charged at the necessary pressure and an automatically operated pump is to
be provided to maintain this system pressure.

Photograph (above) to show a water fog nozzle, fixed installation fire fighting system, as fitted in a machinery space
Other areas that are required to be provided with fixed fire protection are paint lockers, flammable
liquid lockers, galley extractor hoods and deep fat fryers. The system must be operable from outside of
the space to be protected. The systems used in these locations are one of the following:

• Carbon dioxide.
• Dry powder.
• Water spray.
• Wet chemical agent.

Photograph (above) to show CO2 fixed fire installation release control cabinet.
Photograph (above) to show a galley extractor hood fixed CO2 fire extinguishing system.

Photograph (above) to show a galley deep fat fryer fixed installation

“ANSUL R-102 WET CHEMICAL FIRE SUPPRESSION SYSTEM”
Additional fixed fire-extinguishing systems to cover cargo areas are required on specialist ships such as
gas carriers and chemical carriers; the International Gas Code and the codes for chemical tankers cover
these respectively.

Photographs (above and below) show a foam monitor as would be fitted on a tanker to cover the cargo deck area
and as would be fitted to cover a heli-deck if applicable.
Photographs (above and below) show a dry powder fixed fire fighting installation as might be fitted on a liquefied
gas carrier or a chemical carrier
Portable Fire-extinguishing Equipment

All portable fire-extinguishing appliances are to be type approved by the classification society.

The extinguishing medium in the appliance is to be selectively chosen to suit the compartment in which
it is situated and the type of possible fire associated with the equipment or fittings in that compartment.
As an example of this, the extinguishers for use in a machinery space for oil based fires are to be foam,
carbon dioxide gas, or dry powder and not water.

Portable fluid extinguishers should not be greater than 13.5 litres in capacity, but not less than 9 litres.

Other equivalent capacities are:

• 9 litre fluid extinguisher (water or foam)

• 5 kg dry powder
• 5 kg carbon dioxide

The location of each extinguisher should be such as to be readily accessible and located near the
entrance to the space it is intended to protect.

In accommodation spaces, service spaces and control rooms there should be an extinguisher readily
available in every compartment of the crew spaces.

Fire blankets are to be installed in galleys.

Photograph (above) shows a portable CO2 fire extinguisher.

 Photograph (above) shows a portable dry powder extinguisher.

Photograph (above) shows a large portable CO2 fire extinguisher.

 Photograph (above) shows a large portable foam fire extinguisher.

All the equipment and its location about the ship must be shown clearly on a “Fire Control Plan”. This
plan is to be displayed in the main crew accommodation, fire control stations and machinery control
rooms. There should also be copies of the Fire Control Plan located at conspicuous locations at the
entrance to the accommodation so that, if necessary, a shore side fire department can easily obtain this
information. The plan symbols are to comply with IMO standards.

Photograph (above) shows a fire control plan container.

(Above) Some IMO standard fire plan symbols
Chapter 17. INTACT STABILITY
It is an International Maritime Organisation (IMO) requirement, through the International Conference
of Load Lines, 1966, Annex 1, that the master of the ship shall be supplied with a loading and stability
information booklet. This booklet should contain details of typical service conditions, loading, unloading
and ballasting operations, so as to enable the master to load and operate the ship in a safe and
seaworthy manner. This is intact stability, i.e. the ship in its normal operating condition with no damage
to the hull structure.

With this in mind, we need to determine what conditions of loading and ballast are safe for the
operation of the ship.

Ships are designed to float upright.

The upthrust on a ship‟s hull (buoyancy force) is equal to the weight of the volume of displaced water.
This in turn is equal to the weight of the ship. This is Archimede‟s principle.

Stability is the ability of a submerged or partially submerged body floating upright, when brought out of
balance, to come back to the upright position when the out of balance force is removed.

The angle to which the body (ship) is displaced from the vertical is known as “list”.

It is easiest to explain stability using a series of diagrams, but first we must introduce a few new terms:

• Centre of Buoyancy (B) is the point through which the upthrust, caused by the displacement of
water, is acting and is a vector vertically upwards.
• Centre of Gravity (G) is the point through which the downward force of the body (ship) is
acting and is a vector downwards.
• Metacentre (M) is the point of intersection of the line of upthrust through B, for a small angle of
list (φ), with the line through BG.

For calculation, the location of M can be found with the formula:

MB = Ib / Vol

• MB is the vertical distance between B and M.

• Ib is the transverse moment of inertia of the waterline.
• Vol is the volume of the submerged part, the displacement.
Diagram to show a ship floating upright. As there are no external forces acting on the ship, the angle of list is 0°
and G, B and M are all acting vertically through the Centre Line. Example A on the GZ curve below.

Diagram to show the ship starting to list by a small angle φ.

 Example B on the GZ curve below.

The length of the lever is:

GZ = MG sin

This is called the static lever of initial stability. These levers can be calculated for various angles. The
curve of these levers is called the “curve of static levers”, with values in metres (m). When multiplied
with the ship‟s weight P, in the particular condition, in metric tonnes, the curve is called the “curve of
static stability” with values in tonne metres (tm).

An example of the “static lever” curve is shown below.

Generally speaking, the stability reduces considerably as soon as the deck is submerged or the bilge
rises above the waterline, as shown below.
Diagram to show the ship at an angle of heel where the centres of gravity G and buoyancy B are acting on the same
vertical line, the righting lever GZ is now 0 and no righting moment exists. Example C on the GZ curve above.

If the ship is inclined beyond this angle of heel, the centre of gravity G will move to the wrong side of
the vertical line drawn through the centre of buoyancy B resulting in a negative moment which will
cause the ship to capsize. This can be seen below in the final drawing, example D.

Example D of the GZ curve. GZ is now negative and the ship will capsize.
It should now be clear why we need to know about the intact stability of the ship and why it is very
important that the master is supplied with an accurate Stability Booklet.

As a generalization, wide ships with shallow draught like barges, or an empty tanker or bulk carrier, have
large initial stability. Narrow, slender ships, like passenger ships, or a large container ship with a deep
draught and with high freeboard, have a small initial stability.

The Stability Booklet and the tables it contains, with GZ curves, is calculated by carrying out an
“Inclining Test” when the ship is first built and before entering into service, or is carried out again on a
ship if it has undergone any major conversion.

The method for conducting an inclining test is detailed in the IMO Resolution A.749 (18) Annex 1 –
“Detailed Guidance for the Conduct of an Inclining Test”.

The specific provisions for “recommended general criteria” for intact stability for all ships is given in
IMO Resolution A.749 (18) 3.1.
Chapter 18. LOAD LINES
We cannot consider introducing “Load Lines” without first introducing the founder of the concept,
Samuel Plimsoll:

Samuel Plimsoll, M.P. (1824-1898)

“Samuel Plimsoll brought about one of the greatest shipping revolutions ever known by shocking the
British nation into making reforms which have saved the lives of countless seamen. By the mid-1800‟s,
the overloading of English ships had become a national problem. Plimsoll took up as a crusade the plan
of James Hall to require that vessels bear a load line marking indicating when they were overloaded,
hence ensuring the safety of crew and cargo. His violent speeches aroused the House of Commons;
his book, Our Seamen, shocked the people at large into clamorous indignation. His book also earned
him the hatred of many ship owners who set in train a series of legal battles against Plimsoll. Through
this adversity and personal loss, Plimsoll clung doggedly to his facts. He fought to the point of utter
exhaustion until finally, in 1876, Parliament was forced to pass the Unseaworthy Ships Bill into law,
requiring that vessels bear the load line freeboard marking. It was soon known as the “Plimsoll Mark”
and was eventually adopted by all maritime nations of the world.”

This article is extracted from The Plimsoll Club website: plimsoll@wtcno.org.

Since Samuel Plimsoll‟s intervention in 1876, it has been recognised that limitations on the draught to
which a ship may be loaded make a significant contribution to her safety. These limits are given in the
form of freeboards, which constitute, besides external weathertight and watertight integrity, the main
objective of the Convention.

The first International Convention on Load Lines, adopted in 1930, was based on the principle of
reserve buoyancy, although it was recognised then that the freeboard should also ensure adequate
stability and avoid excessive stress on the ship‟s hull as a result of overloading.

In the 1966 Load Lines Convention, adopted by IMO, provisions are made determining the freeboard of
tankers by subdivision and damage stability calculations.

The regulations take into account the potential hazards present in different oceanographic zones and
different seasons. The technical annex contains several additional safety measures concerning doors,
freeing ports, hatchways and other items. The main purpose of these measures is to ensure the
watertight integrity of ships‟ hulls below the freeboard deck.

All assigned load lines must be marked amidships on each side of the ship, together with the deck line.
Ships intended for the carriage of timber deck cargo are assigned a smaller freeboard as the deck cargo
provides protection against the impact of waves.
 The load line marking is still often referred to as the “Plimsoll Mark”:

The Plimsoll mark shown above is for the starboard side of a vessel; on the port side, the markings
are reversed. This diagram shows all the load line assignments in general use for cargo ships over 100
metres (freeboard length), but the assignment of the “Timber Freeboard Grid” is only necessary if a
timber cargo is being carried. There are other specialist markings assigned for passenger ships, which
are not shown here. The top of the horizontal line through the disk is placed at the loadline. The lines
are 25 mm think.

The Plimsoll mark or Freeboard mark consists of a circle with a diameter of (traditionally) one foot,
or 305 mm, which has a horizontal line drawn through its centre. The upper edge of this line indicates
the minimum freeboard in salt-water summer conditions. Besides the circle there are a number of
horizontal lines which indicate the minimum freeboard for the various oceanographic and seasonal
variations in the salt-water density. These other freeboards are shown below. The circle and its
horizontal line should be placed at the mid length of the ship and there must be a reference line
permanently marked also. This line is a reference point for all the others and is called the “Deck Line”
as it is normally positioned at the level of the main deck.

The letters signify:

LTF Lumber,Tropical, Fresh TF Tropical Fresh Water Mark

LF Lumber, Fresh F Fresh Water Mark
LT Lumber,Tropical T Tropical Load Line
LS Lumber, Summer S Summer Load Line
LW Lumber,Winter W Winter Load Line
LWNA Lumber,Winter, North Atlantic WNA Winter Load Line, North Atlantic
LR Lloyds Register of Shipping
The “LR”, as shown on this particular example, may be changed to signify the relevant classification
society for a particular ship.

The 1966 Load Line Convention applies to all ships engaged on international voyages, except as
indicated in the Convention.

Unless the sides of the ship are of wood or glass reinforced plastic (GRP), the marks may be:
(a) cut in;
(b) centre punched;
(c) welded;
(d) a metal profile of the complete disc and grid, welded to the side of the ship.

If the ship‟s sides are of wood, the marks are to be cut into the planking. If the ship‟s sides are of other
materials such as GRP and the foregoing methods cannot be applied, the marks are to be permanently
affixed to the sides of the ship by bonding or other approved method.

The deck line, ring, grid lines and lettering are to be painted in white or yellow on a dark background, or
in black on a light background.

Load Lines 1966 - Annexes

The Convention includes Annex I, divided into four Chapters

• Chapter I - General
• Chapter II - Conditions of assignment of freeboard
• Chapter III - Freeboards
• Chapter IV - Special requirements for ship sassigned timber freeboards.

Annex II covers zones, areas and seasonal periods.

Annex III contains certificates, including the International Load Line Certificate.

Amendments 1971, 1975, 1979, and 1983

The 1966 Convention provided for amendments to be made by positive acceptance. Amendments
could be considered by the Maritime Safety Committee, the IMO Assembly or by a Conference of
Governments. Amendments would then only come into force 12 months after being accepted by two-
thirds of Contracting Parties. In practice, amendments adopted between 1971 and 1983 never received
enough acceptances to enter into force. These included:

the 1971 amendments - to make certain improvements to the text and to the chart of zones and
seasonal areas;
the 1975 amendments - to introduce the principle of „tacit acceptance‟ into the Convention;
the 1979 amendments - to make some alterations to zone boundaries off the coast of Australia; and
the 1983 amendments - to extend the summer and tropical zones southward off the coast of Chile.
Adoption of Tacit Amendment Procedure 1988

The 1988 Protocol

Adoption: 11 November 1988
Entry into force: 3 February 2000

The Protocol was primarily adopted in order to harmonize the Convention‟s survey and certification
requirement with those contained in SOLAS and MARPOL 73/78.

All three instruments require the issuing of certificates to show that requirements have been met and
this has to be done by means of a survey that can involve the ship being out of service for several days.
The harmonized system alleviates the problems caused by survey dates and intervals between surveys
that do not coincide, so that a ship should no longer have to go into port or repair yard for a survey
required by one Convention shortly after doing the same thing in connection with another instrument.

The 1988 Load Lines Protocol revised certain regulations in the technical Annexes to the Load Lines
Convention and introduced the tacit amendment procedure (which was already applicable to the 1974
SOLAS Convention). Amendments to the Convention may be considered either by the Maritime Safety
Committee or by a Conference of Parties.

Amendments must be adopted by a two-thirds majority of parties to the Convention present and
voting. Amendments enter into force six months after the deemed date of acceptance - which must be
at least a year after the date of communication of adoption of amendments unless they are rejected by
one-third of Parties. Usually, the date from adoption to deemed acceptance is two years.

The 1995 amendments

Adopted: 23 November 1995
Entry into force: 12 months after being accepted by two-thirds of Contracting Governments.
Status: 7 acceptances have been received (currently, 95 acceptances are required before the
amendments can enter into force).The amendments concern the southern tropical zone off the coast of
Australia and are now likely to be incorporated in a general revision of the Convention.

The 2003 amendments

Adopted: June 2003
Entry into force: 1 January 2005 (under tacit acceptance)
The amendments to Annex B to the 1988 Load Lines Protocol (i.e. the International Convention on Load
Lines, 1966, as modified by the Protocol of 1988 relating thereto) include a number of important revisions,
in particular to regulations concerning: strength and intact stability of ships; definitions; superstructure
and bulkheads; doors; position of hatchways, doorways and ventilators; hatchway coamings; hatch covers;
machinery space openings; miscellaneous openings in freeboard and superstructure decks; cargo ports and
other similar openings; spurling pipes and cable lockers; side scuttles; windows and skylights; calculation of
freeing ports; protection of the crew and means of safe passage for crew; calculation of freeboard; sheer;
minimum bow height and reserve buoyancy; and others.
The amendments, which amount to a comprehensive revision of the technical regulations of the
original Load Lines Convention, will not affect the 1966 Load Line Convention and will only apply to
approximately two-thirds of the world‟s fleet, i.e. to those ships flying the flags of states party to the
1988 Load Line Protocol.

Note also that some national administrations have their own interpretations of the Convention
Regulations or have additional requirements to those contained in the Convention.
IACS interpretations of the International Convention on Load Lines, 1966 show that member societies
have agreed a number of unified interpretations of the Convention. Where appropriate, these
interpretations are included in the member societies‟ rules.

It is a condition of assignment that the master is supplied with sufficient information in an approved
form with regard to the loading, ballasting and stability of his ship (Reg. 10 of the Convention).
An example of a Load Line Certificate can be seen on the following page.
Example of an (Interim) Load Line Certificate issued on behalf of the
Government of the Republic of Liberia by Germanischer Lloyd.
Issue of Multiple Load Line Certificates:

Provided the national administration authorizes the issue of more than one certificate, the class society
plan approval office will compute the freeboards and forward the freeboard memoranda to the local
surveyor with a copy of the guidance notes for the master.

The surveyor is to verify all the freeboard marks and issue a certificate of restricted validity for each set
of marks. Only the freeboard in use is to be painted in.

Special requirements for specific ship types exist within the Convention and are applicable to:

• Fishing vessels.
• Dredgers and reclamation craft.
• Non-Ship type vessels which include:
- Self elevating units.
- Column-stabilized units.
- Multi-hull vessels.
- Dynamically supported craft.

References:
1966 International Convention on Load Lines
ISBN 92-801-5113-4
The Plimsoll Club, plimsoll@wtcno.org
Load Line Certificate reproduced with kind permission of Germanischer Lloyd.
Chapter 19. ASSIGNMENT OF FREEBOARD
Chapter II, Regulation 10 of the 1966 International Convention on Load Lines says that it is a condition
of assignment that the master is supplied with sufficient information in an approved form with regard to
the loading, ballasting and stability of his ship.

That is to say that the master is ultimately responsible for the seaworthiness of his ship and, as such, he
must have the information available to him, on board, to determine the safe loading condition of the ship
for any given voyage.

This information is normally provided as a book of loading tables known as the “Approved Stability
Manual”. These tables will give the various bending moments for the ships structure under various load
/ ballast conditions.

The Approved Stability Manual is derived from calculations which are completed after building the ship
and when an “inclining experiment” has been carried out and are approved by either a classification
society on behalf of a flag state, or by the flag state themselves.

Chapter II has further information as to the minimum structural requirements that must be complied
with for the assignment of freeboard. They are as follows:

Regulation 11. Superstructure and bulkheads.

Regulation 12. Doors.
Regulation 13. Position of hatches, doorways and ventilators.
Regulation 14. Cargo and other hatchways.
Regulation 15. Hatchways closed by portable covers and secured watertight by tarpaulins and
battening devices.
Regulation 16. Hatchways closed by weathertight covers of steel or other equivalent material
fitted with gaskets and clamping devices.
Regulation 17. Machinery space openings.
Regulation 18. Miscellaneous openings in freeboard and superstructure decks.
Regulation 19. Ventilators.
Regulation 20. Air pipes.
Regulation 21. Cargo ports and other similar openings.
Regulation 22. Scuppers, inlets and discharges.
Regulation 23. Sidescuttles.
Regulation 24. Freeing ports.
Regulation 25. Protection of the crew.
Regulation 26. Special conditions of assignment for type “A” ships.
For the purpose of freeboard computation, ships are divided into two types “A” and “B”:

• A type “A” ship is one which is designated to carry only liquid cargoes in bulk and in which
cargo tanks have only small access openings closed by watertight gasketed covers of steel or
equivalent material.
• A type “B” ship is one which is not covered within type “A”.

Full details and tables relating to these assignments can be found in the 1966 International Convention
on Load Lines, Chapters II and III.

All the above information pertaining to a particular ship will be supplied from the build by the building
port surveyor, as an accompanying document to the Load Line Certificate, known as the Assignment
of Load Line. If any changes or modifications are made to a ship during its life that affect any of these
items, they must be indicated on the Assignment of Load Line document and, depending on their
severity, it may be necessary to re-calculate the load line and hence change the Plimsoll markings. No
changes should be made to the load line related structures without the advanced request to, and
approval from, the certificating authority.

Reference:
1. 1966 International Convention on Load Lines
ISBN 92-801-5113-4
Chapter 20. QUALITY SYSTEM CERTIFICATION
We have seen in Chapter 19 that there are various statutory certificates issued by classification
societies on behalf of the flag state administrations. Three common quality systems within the maritime
industry, which are administered by classification societies, are:

• International Safety Management (ISM) Code.

• International Organisation for Quality Standardisation (ISO),
Quality Management Systems.
• International Ship and Port Facility Security (ISPS) Code.

ISM

The International Safety Management Code requires development and implementation of a safety
management system that addresses all the company‟s activities onshore and on board its ships. The
Code places the responsibility for the safety of ships and the prevention of pollution within the company
management structure. This means that the whole organisation is responsible for safety and not just the
ship‟s captain or superintendent ashore.

The structure of the Code provides a framework on which to build a safety management system, based
on an understanding and knowledge of the risks, and appropriate measures needed to manage them
during shipboard operations.

The classification societies undertake ISM audits on behalf of the flag state administration. A document
of compliance (DOC), or a safety management certificate (SMC), is an indication to port state control
officers, charterers and others worldwide that the company and its vessels are effectively implementing
the safety management system.

Every shipping company must possess a DOC. This document states that the shipping company is
seen fit to operate the ship, or ships, in accordance with the demands of the ISM Code. In order to
achieve the issuance of a DOC, the company must demonstrate that they have developed, executed and
maintained a safety management system (SMS).

The DOC remains valid for a period of five years, provided that the annual audits carried out by the
classification society remain satisfactory.

An individual ship can get a safety management certificate (SMC) if the DOC has been issued to
the shipping company (owners or operators). The SMC also remains valid for a period of five years
provided an onboard audit is satisfactorily completed between the second and third years.
ISO

ISO-9000 is voluntary. It sets the quality standards that enable the customer to be confident in the
product from that company.

The company draws up a quality management system (QMS) that can be certified by a classification society
.

The ISO-9000 standard is a general standard in common with the ISM Code. Which means that each
company draws up and operates its own QMS based on it own demands.

ISPS

The objectives of the International Code for the Security of Ships and of Port Facilities are to prevent
acts of terrorism that threaten the security of passengers and crew and the safety of ships. This is
explained in Part A section 1.2 of the Code, as follows:

1. “to establish an international framework involving co-operation between Contracting

Governments, Government agencies, local administrations and the shipping and port industries
to detect security threats and take preventive measures against security incidents affecting ships
or port facilities used in international trade;
2. to establish the respective roles and responsibilities of the Contracting Governments,
Government agencies, local administrations and the shipping and port industries, at the national
and international level, for ensuring maritime security;
3. to ensure the early and efficient collection and exchange of security-related information;
4. to provide a methodology for security assessment so as to have in place plans and procedures to
react to changing security levels; and
5. to ensure confidence that adequate and proportionate maritime security measures are in place”.

In order to achieve the objective of this Code, there are a number of functional requirements that are
given in section 1.3 of the Code as follows:

1. “gathering and assessing information with respect to security threats and exchanging such
information with appropriate Contracting Governments;
2. requiring the maintenance of communication protocols for ships and port facilities;
3. preventing unauthorized access to ships, port facilities and their restricted areas;
4. preventing the introduction of unauthorized weapons, incendiary devices or explosives to ships
or port facilities;
5. providing means for raising the alarm in reaction to security threats or security incidents;
6. requiring ship and port facility security plans based upon security assessments; and
7. requiring training, drill and exercises to ensure familiarity with security plans and procedures.”
This Code requires the development of a “Ship Security Plan”, which is a set of measures designed to
protect persons on board, cargo, cargo transport units, ship‟s stores, or the ship from the risks of a
security incident.

The “Port Facility Security Plan” requires the same measures as the Ship Security Plan except it is
related to the risks of a security incident within a port facility.

There are a number of key positions of responsibility in order to achieve this ISPS Code:

• Ship Security Officer

The ship security officer is a person nominated by the company to be responsible for the
security of the ship and accountable to the captain. He or she is required to implement and
maintain the ship security plan and to liaise with the company security officer and the port
facility officers.
• Company Security Officer
The company security officer is the company designated person who is required to ensure that a
ship security assessment is carried out and that the ship security plan is developed, submitted for
approval, and thereafter implemented and maintained. He or she is also required to liaise with
port facility security officers and the ship security officer.
The verification of ships will be carried out by nominated and trained persons from the
administration, who may be suitably qualified classification society surveyors.

After a successful verification survey of a new ship, or a ship which is revalidating its ISPS certification,
a certificate may be issued or, in the case of an interim verification, endorsed. The validity of the ISPS
Certificate shall not exceed five years and at least one intermediate verification survey must take place
between the second and third years of issuance.

An example of an ISPS certificate can be seen on the following page.

Example of an International Ship Security Certificate issued under the authority of the United Kingdom.
Chapter 21.
AUDIT AND REGISTRATION OF SAFETY
MANAGEMENT SYSTEMS
The intention in this chapter is not to make auditors of you but give a good insight into the process of
audit and registration of a safety management systems (SMS). It will help you considerably if you pre-
read the ISM Code as many references to it are incorporated in the following text.

Internationally, the importance of the human factors has been recognised in the prevention of marine
casualties together with the need to enhance the management of ship operations. As a result, the
International Safety Management (ISM) Code was incorporated into the SOLAS Convention.

The ISM Code came into effect on 1st July 1998 for all ship management companies and vessels to
which the Convention applies. This included oil tankers, chemical tankers, gas carriers, bulkcarriers, and
cargo high-speed craft 500GT and above, as well as passenger ships (including passenger high-speed craft
engaged in international voyages) together with owning or managing companies. On 1st July 2002, all
other cargo ships and mobile offshore drilling units (MODUs) of 500GT and above, and their owning or
managing concerns, were subject to the provisions of the ISM Code.

Under the Code, a safety management system (SMS) must be established to ensure the safe operation of
the ships under management. This includes:

• documenting;
• implementing the system;
• maintaining the system; and
• undergoing audits by a flag state or recognized organization in order to obtain certification of
the system.

A Document of Compliance (DOC) is then issued to a company found to be satisfying these provisions,
and a Safety Management Certificate (SMC) is issued to each individual ship as evidence that the
company and ship are capable of suitably carrying out the guidelines of the Code. Companies and
ships that do not secure the relevant certification face ever greater difficulties in being able to operate
internationally. Classification societies conduct such audits on behalf of flag administrations and issue
ISM Code certificates under their authority. Data on company and ship certifications are entered and
published in the Register of Company and Ship Safety Management Systems of the classification society.

Guidance for Shipboard Audit

Introduction – Written guidance is given to qualified classification society auditors for conducting
ISM shipboard audits which are very comprehensive and time consuming undertakings. The auditor‟s
concentration must be focused during this period to ensure all operational and human factors are
understood to determine if the company or ship is fully applying the requirements of the Code. In
addition, the classification societies produce checklists as an aide memoiré to assist the auditor.
The checklists contain items that should be verified by all auditors during the audits. Any items listed
therein may become objective evidence to constitute a non-conformity (NC) based on the ISM Code.
However, which evidence should be selected and determined as an item of non-conformity is dependent
upon the professional judgement of the auditor.

Matters for Attention During a Shipboard Audit

a An audit differs from an inspection in that, in an audit, a conformity or non-conformity (NC)

should be determined after comprehensive judgement has taken place over the result of the
collected samples.
b Objective evidence should be collected through “interview”, “observation of activity and
situation” and “investigation of quality records”. Therefore, the auditor cannot complete a
shipboard audit by only sitting with the captain.
c During the audit, the auditor should refrain from giving advisory guidance. Although an
encouragement of system improvement is one object of the audit, it should be achieved though
the audit itself. The auditor should only offer advice on completion of the audit.
d When interviewing key persons, the auditor should have the shipboard manual and procedures
available at hand in order to confirm responses. The auditor should be verifying the
implementation of what is described in the manual and procedures.
e The auditor should remember that the document review has been completed when undertaking
the shipboard audit. In other words, the auditor should not raise an NC relating to the
document, unless there is serious and clear defect in the text of the document. When serious
and clear defects are found, the auditor may enter this fact as an observation in note form to
remind other auditors who will attend the company for a periodical audit.

Opening Meeting

Auditor is to follow the following procedures

a Introduce all members of audit team to the auditees.

b Explain the scope and objectives of the audit.
c Confirm the audit schedule and ship‟s schedule, and explain the outline of audit.
d Confirm the attendants and fill in the „Attendance List for Shipboard Audit‟.
e Establish an official communication route between audit team and the auditees.
f Verify the responsible persons who will accompany the audit team to the audit sites.
g Verify the resources, documents and facilities which are necessary to conduct the audit.
h Declare that the audit team shall ensure confidentiality of the audit.
i Clearly explain that the audit is to be conducted for the SMS and not for individual persons.
j Verify the schedule of the Closing Meeting.
Essential Points to Be Confirmed Before/During the Audit

Prior to commencement of the shipboard audit, the auditor should confirm the following points:

a A copy of a valid DOC should be placed on board the ship as required by ISM Code 13.6.
Although some flag states recommend that a copy of the DOC should be certified, a simple copy
of both sides is acceptable, because the ISM Code does not require it to be certified.
b At the initial audit, auditors are to verify the objective evidence that the company‟s SMS has
been in operation on board the ship not less than 3 months. Auditors should also find objective
evidence of this from, not only the records of internal audit, but also from various operational
records and interviews with crew members.

Closing Meeting

The shipboard audit shall be closed according to the following steps:

a Explain the results of the audit including items noted for observation (OBS) to auditees (ship‟s
personnel) and observers.
b Explain the items noted for MNC and NC, with the reasons, referring to the applicable provision
of the ISM Code. (For MNC, the auditor will follow the procedure set out by the classification
societies instruction as an MNC is of much concern.)
c If an NC is raised, the auditor will hand over the original form to the company‟s attendant and
request him to submit an application for the follow-up audit to the office which conducted the
audit, together with a description of corrective action taken. If the company‟s attendant is not
available, the auditor will request the company at a later date to submit an application for the
follow-up audit.
d The original of short-term Safety Management Certificate will be handed to the master, and a copy to
the company‟s attendant.

Conducting the Audit

Shipboard Tour: The shipboard tour is an important element that constitutes a part of observation
and interview among the three major elements of the audit; i.e. “observation”, “interview” and “checking
of quality records”. It is, therefore, desired that an auditor spends reasonable time for the shipboard
tour. The auditor should ask the master to appoint a guiding crew to accompany him. The tour is better
made before the interview with key personnel. The objectives of tour are listed below;

• To observe how the SMS is implemented on board the ship.

• To observe how the ship and equipment are maintained.
• To verify the veracity of quality records stated by crew members
during the interview.
Observation over the maintenance activity for the ship and equipment need not be so precise as by
the ship‟s surveyor. For the auditor, it is sufficient to pick up major defects which are clearly found at a
glance. Some classification societies require the performance test or demonstration of drill when the
auditor finds “clear grounds” to request them.

Bridge: The auditor shall verify that the Charts and Notice to Mariners are properly retained in
accordance with the SMS, and corrections have been made and controlled by the master.

Accommodation Space: Including the habitual condition of the accommodation, the auditor
shall verify that medicaments in the hospital are properly controlled of their quantity and validity at
prescribed intervals.

On Deck: During tour on upper deck or superstructure decks, visual inspection is made to see general
maintenance condition of hull and equipment.

Engine Room / Steering Room: These spaces should be inspected to ensure cleanliness and
operational procedures are being carried out by verification of maintenance procedures and log book
keeping. Some classification societies require operational checks of equipment and their records to
ensure the Code requirements are fulfilled.

Interview with Ratings During Tour Through: An interview with at least one rating should be
made when he is alone, separate from master or key person. This interview is intended to see, by
vertical audit method, how a rating is involved in the SMS of the company, especially to verify how
he has engaged in training and drills after he joined the ship. The result of this interview should be
reflected to the audit held at later interview with key persons. The auditor can ask the type of training
he received. Prior to the interview, the auditor should read the procedures and know the type of signal
given in an emergency. If crew do not know them, this would constitute an NC or OBS being raised
relating to the ISM Code 8.1 or 8.2.

Interview with the Master: This may be an on-going process and cover all aspects with the SMS or
operations manuals. The auditor can ask direct questions of an in-depth nature such as ship / company
procedures during emergency situations. This will allow the auditor to check to see if the master does
fully understand and appreciate his command.

Statutory Certificates and Survey Records: Checking of valid statutory certificates and survey
records that should be placed on board is the most important verification activity relating to the ISM
Code 1,2,3,1. At least the following certificates should be checked, but they should not be limited to.

• Certificate of Registry. • International Tonnage Certificate.

• International Load Line Certificate. • Safety Construction Certificate.
• Safety Equipment Certificate. • Safety Radio Certificate.
• International Oil Pollution Prevention Certificate. • Gas Fitness Certificate.
• Chemical Fitness Certificate. • Minimum Safety Manning Certificate.
When valid statutory certificates or a record of mandatory periodical surveys are not evident on board,
an MNC should be raised relating to the ISM Code 1.2.3.1. as these are fundamental safety and training
requirements.

classification society Certificates and Records: Maintenance of classification is a basic

prerequisite condition for issuance of an SMC. An MNC should be raised for negative results.

Crew List: The crew list itself does not affect the audit unless the same is specified in the procedure. A
crew list serves as a basic of STCW requirements and assists the auditor to check crewing certification.

Certificates for Crew Members: An MNC should be raised relating to the ISM Code 1.2.3.1
(STCW) and 6.2 when the status of certification is negative. Valid certificate of competence means
those in compliance with the requirements of STCW 95, effective as of 1 February 2002. The auditor
may find the following types of documents on board the ship relating to the certification of crew
members:

1 Certificate issued by crew member‟s native government.

2 Endorsement made by crew member‟s native government that (1) is in conformity with
STCW95 amendment.
3 Certificate incorporating the above (2).
4 Endorsement made by ship‟s flag state on above (2) or (3).

When a crew member is on board the ship other than his native flag, he can hold a combination of
documents consisting of above (1)(2)(4) or (3)(4).

Matters for attention in checking documents relating to certification:

• Check of certificate should be made referring to the Minimum Safe Manning Certificate.
• Endorsement of above (2) is not required by convention for the ratings.
• Confirmation of capacity of the certificate (including endorsement) is not sufficient by only
checking the STCW regulation number. “Limitation” column should also be checked.
• For Tanker Training Certificate, check the type of tanker; whether it is applicable for oil, gas or
chemical. Endorsement on the seafarer‟s notebook may be accepted as a certificate by certain
flag states.
• Some flag states make endorsements on the seafarer‟s notebook as a certificate for the rating
forming part of navigation or engineering watch.
• When a crew member is not in possession of above (4), three months of grace period is
permitted provided that he has evidence of an application to the flag state.

Medical Examination Records: An NC or OBS may be raised if a crew member has not undergone
medical examination prior to joining, or if a crew member does not hold a valid medical certificate.
Log Book Entries: SOLAS requires entry into official log book about:

1 Abandon ship drill.

2 Fire drill.
3 Life-saving appliances drill.
4 On-board training.
5 Check and test of steering gear within 12 hours before departure.
6 Emergency steering gear drill.

Also an entry into the ship‟s log book should be found regarding:

1 Monthly inspection of life-saving appliances, including lifeboat equipment.

2 The reason why the ship did not proceed to the distress signal.

When the above entries have not been made properly, again an NC or OBS may be raised relating to
the ISM Code 1.2.3.1, 5.1.4 or 8.2.

Many companies prescribe in their SMS, the following:

1 Special navigation, i.e. heavy weather, narrow passage, high density traffic area.
2 Emergency response drill defined by the company.
3 Marine casualty.
4 Deportation of crew.
5 Signing on and off of crew member.

Should the above entries not be made properly as per that prescribed in the company‟s SMS, an NC or
OBS may be raised relating to the ISM Code 7, 5.1.4 or 8.2.

Oil Record Book and Garbage Record Book: With regard to the Oil Record Book and Garbage
Record Book, if entry has not been made properly, again an NC or OBS may be raised relating to the
ISM Code 1.2.3.1 or 5.1.4.

Providing Information to the Master: The following items are listed as examples of information
that should be provided to the master by the company.

• Preliminary personal information of new personnel joining on board.

• Information regarding the new voyage.
• Information regarding amendment of rules and regulations.
• Information from classification society.
• Technical information from shipyard and manufacturer.
• Information regarding requirements of flag state.
• Information of an accident which has occurred on a ship of the company’s fleet.
When there is evidence that the master is not provided with information regarding safety and pollution
prevention by the company, NC or OBS may be raised relating to the ISM Code 4, 6.1.3 or 6.4.

Flag State Requirements: An auditor should prepare by sampling method the items to check about
flag state requirements. If the ship is not in compliance with flag state requirements, NC or OBS may be
raised relating to the ISM Code 1.2.3.1.

Company Responsibilities: An auditor should find evidence which shows that the ship is managed by
the company indicated on the DOC. It may be the best way is to find a copy of the owner‟s document
submitted to the flag administration reporting the responsible entity for the operation of the ship, as
specified in ISM Code 3.1. If the above document is not placed on board, other means listed below
could be acceptable to substitute for the evidence such as:

• The result of interview with the master.

• Company name written on manual, procedures and other SMS documents.
• Company name appearing on correspondence address.
• Address name of survey status or audit status.
• Copy of Ship Management Contract, or other documents.

When the auditor finds clear evidence that the ship is managed by another company indicated on the
DOC, he should raise an MNC relating to ISM Code 13.1 and suspend the audit.

Designated Person: Regarding the requirements in Section 4 of the ISM Code, the auditor is to verify
the degree of the designated person‟s (DP) understanding of the relevant provision of the company‟s
SMS, by having him explain its contents, referring to manuals/procedures.

The intent of the interview is to verify from the ship‟s side, how the DP / master are conducting their
duties, internally, to prove a link between the company and those on board, also to check the degree of
conversance of the master and key persons with the SMS of the company.

Master’s Responsibilities and Authority: Regarding the requirements in Section 5 of the ISM Code,
the auditor is to verify the degree of the master‟s conversance with relevant provision of the company‟s
SMS, by having him explain its contents, referring to manuals/procedures.

Ascertain that the master understands the meaning of how to motivate the crew to observe the policy.
The motivating activity of the master can be verified through interview with crew members, rather
than with the master himself. The master‟s manner in issuing orders and instructions should be verified
through interview with crew members who receive the order and instruction, and by the:

• posting of standing orders;

• entry of night order book and so on.
Check to ensure that the master has verified observance of specified requirements. The auditor should
check if the master‟s verification has been made by interview with his crew members, observation of
onboard activities and investigation of quality control, as the auditor does during the shipboard audit.

Reporting between the master and company about results of routine reviews of the SMS should be
checked when SMS is so requiring. If the auditor finds through interview that the master is not satisfied
with the SMS, but has not reported his comments to the company, this fact may become an NC or OBS
relating to the ISM Code 5.1.5.

An NC or OBS may be raised when the master is not aware of his authority given by the ISM Code.
The auditor should ask if the master has experience of exercising his overriding authority and has
reported this fact to the company. If not reported, NC or OBS may be raised relating to 5.1.1 based on
the procedure of SMS.

Resources and Personnel: Regarding the requirements in Section 6 of the ISM Code, the auditor is
to verify the degree of the master‟s conversance with the relevant provisions of the company‟s SMS, by
having him explain its contents, referring to manuals/procedures.

Although the pre-joining training is not a mandatory requirement, many companies have established this
training referring to the ISM Code 6.4. When an auditor finds that crew members or master are not
familiar with, inter alia, the SMS, he may point out the lack of pre-joining training as NC or OBS relating
to the ISM Code 6.1.2 and 6.5.

1. Check if the training on shipboard in support of the SMS as specified in ISM Code 6.5 has been
conducted as per procedures.
2. Check if essential instructions necessary for training are given by the company.
3. Check to see if 6.4 is a mandatory requirement. When the training has not been carried out,
NC or OBS may be raised relating to the ISM Code 1.2.3.1, 5.1.1 and 6.3.
4. Interviewing newly joined crew would be better to verify the training rather than to check the
records. STCW A-
VI/1 specifies that a new person shall receive the following training prior to sailing.

The crew members should know what to do if:

• a person falls overboard;

• fire or smoke is detected;
• fire or abandon ship alarm is sounded;

and be able:

• to identify muster and embarkation stations and emergency escape routes;

• to locate and don life-jackets;
• to raise the alarm and have basic knowledge of use of portable fire extinguishers.
SOLAS III/19-4 specifies that a new person shall receive on-board training and instructions in the
use of the ship‟s life-saving appliances, including survival craft equipment, and in the use of the ship‟s
fire-extinguishing appliances, not later than 2 weeks after a crew member joins the ship. Check if
instructions in the use of the ship‟s fire-extinguishing appliances, life-saving appliances and in survival at
sea are given at the same interval as the drills are required in SOLAS III/19-4. If not given appropriately,
NC or OBS may be raised relating to the ISM Code 1.2.3.1 and 5.1.1.

Language: With regard to SMS related documents other than manuals, if any document is written in
a language not understood by the crew, this fact may be pointed out as NC or OBS related to the ISM
Code 6.6.

Examples of documents that should be written in a language understood by the master are;

• Controlled documents identified by the company in the SMS.

• Official information from the company including safety and pollution
prevention correspondence.

Examples of documents that should be written in a language understood by the master and
officers are;

• Finished drawings.
• Handling instructions of machinery and equipment.

Examples of documents that should be written in a language understood by all crew members,
including ratings, are;

• SOLAS training manual.

• Placards for disposal.

The ISM Code does not necessarily require that all crew members should understand the SMS
manual. In an extreme case, a situation could be accepted where only the master can read and
understand the manual depending on the conditions. Acceptance of such an extreme situation where
a ship has crew who cannot read the manual should be determined upon result of actions taken by
the company and the master. As a conditional example, although an officer should be fully familiar
with the procedures of his duty, a situation where they are not able to read the manual could be
acceptable if they can understand their duty through translated documents of manuals. As for the
ratings, a situation could be acceptable if they understand their duties through education and training
given by the master or officers about the manual.

For example, when at least “essential instruction prior to sailing” is written in a language understood by
crews, key points of the SMS manual are translated in the language understood by crews, and instruction
of the SMS manual is given to crew regularly, the above situation could be accepted.
The auditor should make careful observations of communication between; master and officers; master
and ratings; officers and ratings; and between ratings. The auditor is looking for good and effective
communication by various means as well as verbal conversation.

The master‟s awareness about the SMS is very important, since the ship‟s SMS may collapse if the master
is not conversant with the SMS of the company. Therefore, if the auditor finds, during the audit, that the
master has only very poor knowledge about the SMS, he should suspend the audit and raise an MNC
relating to the ISM Code 6.1.2 without hesitation. Objective evidence thereto should be listed, including
all relevant matters found during this audit. When the master is found to have some knowledge about
the SMS, but still has much room to study, NC or OBS may be raised relating to the ISM Code 4, 6.1.2
and 6.5.

Key Shipboard Operations: Regarding the requirements in Section 7 of the ISM Code, the auditor
is to verify the degree of the master‟s conversance with relevant provisions of the company‟s SMS, by
having him explain its contents referring to manuals/procedures.

Fundamentally, the company is responsible for identifying the key shipboard operations and to establish
their procedures. Accordingly, the auditor is to check by sampling method if the identified operations
have been carried out onboard in accordance with the procedures through interview, or by verification
of records. If not carried out, it may be raised as NC or OBS relating to the ISM Code 5.1.1 or 5.1.4. If
there are many operations that have not been carried out, they may be raised as NC or OBS relating to
the ISM Code 4 and 12.1 to point out the lack of company control.

Although we mentioned in the introduction of this guidance (5 paragraphs of matters for attention) that
the auditor need not conduct a document review during the shipboard audit, as an exceptional case,
when the procedure does not include the use of checklists for key operations, this fact may be raised as
OBS relating to the ISM Code 7. This action is in conformity with the ISM Code 7 as amended in July
2002. With regard to Check 7.6, if cargo handling procedures for the present cargo on board are not
found, OBS may be raised relating to the ISM Code 7.

Examples of special operations may include the following:

• Safe work procedures i.e. in enclosed space, for hot work, working at heights.
• Special navigation procedures i.e. heavy weather, reduced visibility, narrow passage,
high density traffic areas.
• Piracy or terrorism responding procedures.
• Drug or alcohol regulations.
• Helicopter operation procedures.
• Gas free, COW or tank cleaning operating procedures.
• Special maintenance work procedures.

Emergency Preparedness: Regarding the requirements in Section 8 of the ISM Code, the auditor
is to verify the degree of the master‟s conversance with relevant provisions of the company‟s SMS, by
having him explain its contents referring to manuals/procedures.
The emergency contact list is often subject to be updated. When the ship is not provided with this list
or when the list is not updated, NC or OBS may be raised relating to the ISM Code 8.1 or 8.2.

With regard to Check 8.3 and 8.8, the auditor should check the degree of familiarity of key personnel
with emergency situations identified by the company through sampling methods. This can be checked
by hearing their knowledge, but also by observing how soon they can open the relevant pages of the
manual and procedures. If not satisfactory, NC or OBS may be raised relating to the ISM Code 8.1 or
8.2 or depending on the situation, relating to 6.1.2 or 6.5.

Other than the above SOLAS requirements, emergency drills required in SOPEP and in operation
manuals for gas or chemical tankers, shall be added as mandatory requirements.

Examples of emergency drills provided in the SMS of many companies other than mandatory
requirements are listed:

• Collision.
• Grounding / stranding.
• Shifting of cargo.
• Man overboard / search and rescue.
• Oil spillage.
• Electrical power failure.
• Main engine failure at narrow passage.
• Terrorism or piracy and others. (Also the content of the ISPS Code).

The record of drills should be checked to see if drills were conducted regularly, not concentrated in
short periods of time, and are in conformity with the result of interviews. Interviews should be made
with the dedicated radio officer or deck officer holding a general operator‟s license about the handling
procedure of distress signal by VHF, MF/HF, and INMARSAT-C. If anyone is not aware of its handling, NC
or OBS may be raised relating to the ISM Code 8.1 or 8.2.

When SOPEP is not available onboard the ship, MNC should be raised. Also check that all appendices in
the SOPEP or SEMPEP are updated.

SOLAS III/19-3 requires that every crew member shall participate in at least one abandon ship drill and
one fire drill every month. Under the following cases, these drills should be held before sailing.

When a ship enters service for the first time (i.e. after new building, or after modification.)
When a new crew is engaged, i.e. changed to new owner or new management company.
Abandon ship drill shall include:

• Summoning with alarm followed by drill announcement.

• Reporting to stations and preparing for the duties described in the muster list.
• Checking that crew are suitably dressed.
• Checking that lifejackets are correctly donned.
• Lowering of at least one lifeboat.
• Starting and operating the lifeboat engine.
• Instruction in the use of radio life-saving appliances.
• Testing of emergency lighting for mustering and abandonment.
• Launching of each lifeboat and manoeuvring in water once every 3 months, i.e. for
free-fall type lifeboat, in water once every 6 (or 12) months.
• Launching of rescue boats (other than lifeboats which are also rescue boats) and
manoeuvring in water once every 3 months.

Fire drill shall include:

• Reporting to stations and preparing for the duties described in the muster list.
• Starting of a fire pump, using 2 jets of water.
• Checking of fireman’s outfit and other personal rescue equipment.
• Checking of relevant communication equipment.
• Checking the operation of watertight doors, fire doors, fire dampers and main inlets
and outlets of ventilation systems in the drill area.
• Checking the necessary arrangements for subsequent abandoning of the ship.

SOLAS V/19-2 requires the emergency steering drills at least once every 3 months (including direct
control from within the steering gear compartment, communication with navigating bridge, and
operation of alternative power supplies).

In addition to the above SOLAS requirements, the emergency response drills specified in SOLAS or the
operation manual of gas/chemical ships, are also a mandatory requirement for applicable ships.

The verification of a sea casualty is a golden opportunity for an auditor to see if the SMS has functioned
effectively or not. Therefore, when the ship encountered a sea casualty since the last audit, the auditor
should take sufficient time to check the progress taken to respond to the incident. Due attention
should be given to check if the casualty was handled by both onboard and onshore personnel in
accordance with the emergency procedures. But most important is the Check 8.13. When the
company has not investigated and analyzed the root cause of the casualty, and reviewed the SMS as
necessary, NC should be raised relating to ISM Code 9.1 and 12.2.

Various “information databases” are available to the auditor through their classification society, which
should be studied prior to carrying out an audit to verify the audit status.
Deficiency Control: Regarding the requirements in Section 9 of the ISM Code, the auditor is to verify
the degree of the master‟s conversance with relevant provisions of the company‟s SMS, by having him
explain its contents referring to manuals/procedures.

Auditors may not feel comfortable about the safety of the ship and equipment when no reports are
sent to the company about non-conformity, accident and hazardous occurrences. Auditors should
understand that the SMS functions effectively when all deficiencies are reported to the company and
appropriate actions thereto are taken by the company. Therefore, auditors should focus on whether the
ship has reported everything that should have been reported to the company appropriately.

The intent is to verify the company‟s activity with regard to implementation of system review of its SMS.
Auditors should recognise that an SMS without review is a system no better than a “dead SMS”, and
gather as much information relevant to system review before conducting the audit. When auditors find
evidence that the ship settled the matter involving the SMS, pointed out by the third party, only with
recovery of hardware, he should raise NC or OBS relating to ISM Code 12.2.

As a source of information about port state control (PSC) activity the auditor should seek further
information about the vessel from the following:

• EQAUASIS http://www.equasis.org/
• Tokyo MOU http://www.tokyo-mou.org
• Paris MOU http://www.parismou.org
• USCG http://www.uscg.mil/hq/g-m/psc
• Classification society databases.

Also, auditors should pay attention to distinguish the charterer‟s arbitrary requests written on vetting
reports. All reports should be checked from the viewpoint of system review and company‟s action
responding thereto.

If any deficiency found during the interview, tour or record checking is not reported to the company by
the master and falls under the category that should be reported, this fact may be raised as evidence of
NC or OBS relating to the ISM Code 9.1. Depending on circumstances, the same may be raised as NC
or OBS relating to the ISM Code 5.1.1 or 5.1.5.

When the company fails to respond to any one report, NC or OBS may be raised relating to the ISM
Code 4 and 9.1. The auditor should check if the corrective action is based on investigation and analysis.
The auditor should admit the delay of corrective action if it has appropriate reasons. If no corrective
action is taken NC should be raised relating to the ISM Code 9.2.

Maintenance: Regarding the requirements in Section 10 of the ISM Code, the auditor should verify
the degree of the master‟s conversance with relevant provisions of the company‟s SMS, by checking the
maintenance record and implementation of the maintenance procedures established by the company.
Auditor‟s visual inspection and interview with the ship‟s personnel would be necessary to ensure
effective verification for the shipboard maintenance program.
With regard to Check 10.2, auditors may be presented with a planned maintenance programme,
where all ships controlled under the SMS with documents were reviewed by the classification society
are expected to hold the maintenance plan established by the company. When the auditor finds that
an interval of maintenance is longer than the plan, he should check that the reason thereof has been
reported to the company and, if not reported, NC or OBS may be raised relating to the ISM Code 5.1.5.
When maintenance work has not been carried out, or not recorded properly, or when a procedure is
not provided, NC or OBS may be raised relating to the ISM Code 10.1 and 10.2.4.

SOLAS III/20 prescribes about maintenance of life saving appliances (LSA) as follows:

• Maintenance shall be carried out according to instructions complying with the

requirements of Regulation 36.
• Shipboard planned maintenance programme which includes the requirements of
Regulation 36 may be accepted in lieu of the above instructions.

The following tests and inspections shall be carried out weekly:

• Visual inspection of all survival craft, rescue boats and launching appliances.
• Test running of all engines in lifeboats and rescue boats.
• Test of general emergency alarm system.
• Monthly inspection shall be carried out of the life-saving appliances, including
lifeboat equipment, using the checklist required by Regulation 36.1.
• Entry into logbook would be accepted.

Shipboard technical deficiency may be controlled by the SMS under ISM Code 9 or Code 10. While
the point of control may be the same, the related ISM Code may be 10.2.2 & 10.2.3 or 9.1 & 9.2,
auditors should have a keen eye in verification of corrective action taken for deficiency. Restoration
of a hardware defect does not mean that corrective action has been taken. It should include a system
review based on investigation and auditors should take this big difference to heart that the meaning of
corrective action for “audit” differs greatly from corrective action for “survey”.

Handling the different methods of deficiencies found onboard ship greatly differs between the auditor
and surveyor. While the surveyor requests that deficiency be repaired in good order; the auditor
verifies if the deficiencies are dealt with as per established procedures, then requests correction of
the system if there is any non-conformity. Therefore, the auditor should not write a sentence such
as “a crack is found on a plate” like a survey report in the “Non-conformity Note” or “Observation”.
Different treatments are made, depending on the situation, whether the deficient part is included in
the maintenance plan or not. If not included, NC or OBS may be raised relating to the ISM Code
10.2.1 as the maintenance system is insufficient. If already included, NC or OBS may be raised relating
to 10.2.1 as a check interval is not appropriate, or relating to 5.1.1/ 5.1.4 as crew have not observed
the maintenance procedure. When the ship recorded is “good”, the defective item indicates that the
maintenance system has not functioned effectively, hence, NC or OBS may be raised relating to 5.1.1,
5.1.4 & 10.1.
Document Control: Regarding the requirements in Section 11 of the ISM Code, the auditor is
to verify the degree of the master‟s conversance with relevant provisions of the company‟s SMS, by
having him explain its contents referring to manuals/procedures. Check the edition number of the
ship‟s manuals with the number indicated on the Questionnaire for Shipboard Audit. If not the latest
version, NC or OBS may be raised relating to the ISM Code 11.1. When a revision record is not
attached, revision approval is not clear, or documents other than those recorded exist, NC or OBS
may be raised relating to the ISM Code 11.2.2. When an obsolete document is used, NC or OBS may
be raised relating to the ISM Code 11.2.2, but if the document is clearly distinguished as obsolete or
not controlled, they should be admitted. If the SMS manual is not readily available for all crew if it is
placed only in the master‟s room, or if the crew do not know where it is placed, NC or OBS may be
raised relating to the ISM Code 11.2.1. This check is made according to IMO Res. A.788(19) to verify
that modified parts of the manual, selected by sampling, are in compliance with applicable regulations.
Since this check is made at periodical audit for the company, sampling should be better focused on parts
modified after the last company audit. When any parts are not in compliance with applicable regulations,
NC or OBS may be raised relating to the ISM Code 1.2.3.1.

Other than the company‟s letters or information, various SMS related records are also to be checked.
The filing system would be adequate if auditees could produce relevant documents in no time as
requested by the auditor. When the auditor finds that filing papers are in a mess and the crew are
unable to find necessary documents, NC or OBS may be raised relating to the ISM Code 11.1.

Together with the check of updated publications, the auditor should check if all publications required
by the SMS are provided. Lack of updated publications required by IMO and flag state becomes NC or
OBS relating to the ISM Code 1.2.3.1. Deficiency in control of other publications may become NC or
OBS relating to the Code 11.2.1.

Internal Audit and System Review: The auditor should verify the degree of the master‟s
conversance with relevant provisions of the company‟s SMS regarding the requirements in Section 12 of
the ISM Code. Despite the internal audit performed recently, if many non-compliances with the SMS are
found during this audit, the effectiveness of the company‟s internal audit may be considered doubtful. In
this case, NC or OBS may be raised relating to the ISM Code 12.1. The auditor should check whether
the internal audit was conducted at specified intervals and by whom. If the interval was prolonged
without proper reason, or if the internal audit was carried out by a person other than specified in
the SMS, NC or OBS may be raised relating to the ISM Code 12.3. If the audit record is written in a
language not understandable by the master, status result becomes “no”. When status result is “no” for
Check 12.4 and 12.5, NC or OBS may be raised relating to the Code 12.5.

The auditor should check the result of corrective action that was taken after the previous internal audit
and see if NC raised by this audit (if any) has any relation with that of the previous one. If the same
type of NC as the previous is found, or if no action was taken for the previous internal audit, NC or
OBS may be raised relating to Code 12.6.

If the company has not notified the ship of the result of management review, NC or OBS may be raised
relating to the ISM Code 12.5.
Additional Check by Ship’s Type: Verification of the SMS for its effectiveness for each type of ship
has already been made by the foregoing evidence collection. The following checks are intended to
supplement them. The majority of the additional check items have been selected from Convention and
classification society requirements. Hence, if any item is not in compliance, NC or OBS may be raised
relating to the ISM Code 1.2.3.1. However, the auditor should take care for some cases where it may
not apply depending on special conditions.

A. Oil Tanker
• Convention requires to provide instrument for calibration. In general, maintenance
plan includes this requirement. SOLAS II-2 Reg. 59/5.
• OK if checked by 7.6 or 7.8. MARPOL I Reg. 13B.
• Check also that Oil Discharge Monitor manual is of a language which the cargo
handling crew can read. MARPOL I Reg. 15(3)(c).
• Check also that Inert Gas System manual is of a language which the responsible
crew can read. SOLAS I-2 Reg. 62/21.

B. Gas Carrier
• International Gas Code (IGC) requires that a calibration instrument should also
be provided. In general this requirement is included in the maintenance plan. IGC
Code 13.6.6.
• Auditor should firstly check what type of drill is specified in the manual. Some
companies do not include this drill in the SMS.
• Manual approved by classification society?
• First confirm if P&A manual is required for the ship. IBC Code 16A.3.
• Check if current cargo is listed on the Gas Fitness Certificate. If not indicated on
Certificate, MNC should be raised. IGC Code 18.2.

C. Chemical Tanker
• Auditor should firstly check what type of drill is specified in manual. Some
companies do not include this drill in the SMS.
• In view of possible serious casualty that may be caused by inadequate preparation
of operation manual, the procedures described therein should be verified with great
care. For example, cargo tanks may be cleaned by sea/fresh water, or with/without
detergent, and by other process. And the operation manual should indicate the
practical procedure most suitable for the intended cargo. Also the handling procedure
of residue and wash water after tank cleaning carried out as per P & A manual, should
be documented. If adequate procedure is not available, OBS relating to ISM Code 7
should be raised and the company asked to establish relevant procedures.
• Manual approved by classification society? IBC Code 16A.3.
• Auditor should verify if the ship’s personnel have been trained as required by IBC
Code 16.3 as shown below. When training/education have not been given, NC or
OBS may be raised relating to ISM Code 1.2.3.1 and 6.5.
IBC Code 16.3 Personnel Training
16.3.1: All personnel should be adequately trained in the use of protective equipment and have basic
training in the procedures appropriate to their duties necessary under emergency conditions.
16.3.2: Personnel involved in cargo operations should be adequately trained in handling procedures.
16.3.3: Officers should be trained in emergency procedures to deal with conditions of leakage, spillage
or fire involving the cargo, and a sufficient number of them should be instructed and trained in essential
first aid of cargoes carried.

IBC Code 16.3

Check if current cargo is listed on Chemical Fitness Certificate. If not indicated on certificate., MNC
should be raised.

IBC Code 1.5.4

There is a dangerous cargo which, however, does not affect sea pollution. In this MARPOL Appendix
case, this Check does not apply.
Validity of antidotes should also be checked. IBC Code 14.2.9

D. Bulk Carrier
• A typical example of cargo which may liquefy is nickel concentrate. The hazardous
nature of this cargo is well known. When the ship is not provided with loading
instructions of this cargo from the company, NC or OBS may be raised relating to
the ISM Code 7. SOLAS VI Reg. 7.
• When the ship is 150m and above in length, has 4 holds, and 15 years of age and
older, ask the master if this Check is applicable to the ship. SOLAS XII Reg. 9.
• This Check is applicable for loading cargo other than grain. If the loading booklet
is written in a language other than English, an English version is also to be provided.
SOLAS VI Reg. 7.
• Applicable for ships of 150m in length and above. The functioning condition of the
computer is to be checked. SOLAS XII Reg. 11.
• Grain includes wheat, maize (corn), oats, rye, barley, rice, pulses, seeds and processed
forms thereof. SOLAS VI Reg. 9.
• A damage control plan shall be permanently exhibited or readily available on the
navigation bridge. SOLAS II-1 Reg. 23-1.

E. Other Cargo Ship

• Check if cargo information is given to the master, especially when the ship is to
carry a different type of cargo other than that familiar with the master. When
appropriate information is not given, NC or OBS may be raised relating to the ISM
Code 4 and 6.1.3 rather than 1.2.3.1 since the matter has close relation with the
shipper. SOLAS VI Reg. 2.
• Manual approved by classification society? SOLAS VI Reg. 5.
 • Dangerous goods are carried in packaged form or in solid form in bulk. They are
divided into 9 classes: Class 1 (C1) explosives, (C2) gases (compressed, liquefied or
dissolved under pressure), (C3) flammable liquids, (C4.1) flammable solids and so
forth. The ship shall have a special list or manifest, or detailed stowage plan, which
identifies by class and sets out the location of the dangerous goods. SOLAS VII Reg. 5.
• The damage control plan shall be permanently exhibited or readily available on the
navigation bridge. SOLAS II-1 Reg. 23-1.

Registration of Safety Management Systems

Classification societies carry out audits on the safety management system of a company and each ship
concerned in accordance with the provisions of their rules. They also register the safety management
system of the company and each respective ship in a Safety Management System Register Book when
the safety management system has been found to satisfy the requirements of the ISM Code (hereinafter
referred to as ISM Registration).

The society enters and publishes the name of the company, the type of ships under management of
the company and other relevant details for registering the company, and the name of each respective
ship and other related details regarding the registration of the ship in the Safety Management System
Register Book. The registry is revised whenever the content of any registered item or items are
changed.

Companies are to notify the classification society of any changes made to any of the items listed as
entries in the Register of Company and Ship Safety Management Systems in a prompt and timely manner.

Maintenance of ISM Registration

• The company and each ship registered as described above are to undergo periodical audits and
additional audits in order to maintain ISM registration.
• The classification society carries out renewal audits of the company and each ship, and renews
and re-issues a DOC and SMC, respectively, if the SMS has been verified as being effectively
implemented in compliance with the requirements of the ISM Code.

Documents and Certificates

Classification societies issue a DOC or an Interim Document of Compliance (an Interim DOC) to
the SMS registered company, and an SMC or an Interim Safety Management Certificate (Interim SMC)
to the SMS registered ship provided that the SMS satisfies the requirements of the ISM Code and the
classification society‟s rules.

DOC and SMC

• The period of validity of a DOC and an SMC shall be five years from the date of completion of
each respective initial audit or the date of completion of each previous renewal audit.
• Notwithstanding the requirements set forth in 1 above, when the renewal audit is completed
within three months before the expiry date of the existing DOC or SMC, the new DOC or new
SMC shall be valid from the date of completion of the renewal audit for a period of five years
from the date of expiry of the existing DOC or SMC.
Interim DOC and Interim SMC
• Classification societies issue the Interim DOC and Interim SMC when considered appropriate
upon completion of an audit.
• The period of validity of an Interim DOC is no longer than 12 months after the date of
completion of the audit.
• The period of validity of an Interim SMC is no longer than 6 months after the date of
completion of the audit.
• The period of validity of an Interim SMC may be extended up to a period not to exceed 6
months subject to the approval of the administration of the ship.
• An Interim DOC or an Interim SMC shall become invalid when a full DOC or SMC is issued.

Invalidation of Documents and Certificates

1 A DOC or an Interim DOC shall become invalid when any of the following conditions are applicable:
• when the company does not undergo the periodical audits;
• when no corrective actions have been taken by the company to remedy major non-
conformities;
• when corrective actions for non-conformities found during a periodical audit have not been
taken by the company within the time period specified;
• when requirements of the ISM Code have been amended, but the company does not intend
to comply with the amendments of the ISM Code or is unable to conform thereto; or
• when audit fees and expenses have not been paid by the company.

2 An SMC or Interim SMC shall become invalid when any of the following conditions are applicable:
• when the ship managed by the company does not undergo periodical audits;
• when corrective actions to remedy major non-conformities concerning the ship have not
been taken by the company;
• when corrective actions to remedy non-conformities concerning the ship found during
periodical audits have not been taken within the time period specified;
• when the requirements of the ISM Code have been amended and the ship under
management of the company does not intend to comply with the amendments of the ISM
Code or is unable to conform thereto;
• when the company is not in possession of a valid DOC or an Interim DOC issued by the
society or any other classification society or issuing authority;
• when the ship is not in possession of the valid statutory certificates that are necessary for
international operation;
• when the ship is not classed and registered and further, does not maintain such class with
the society or any other classification society recognized by the society; or
• when audit fees and expenses have not been paid.
Retention, Re-issuance, Revision, or Returning of Documents
and Certificates

Retention of Documents and Certificates: The company shall retain the DOC or Interim DOC
and the copies of the SMC or Interim SMC of each ship at the company on file within the company.
Further, each ship is to retain the SMC or Interim SMC along with a copy of the DOC or Interim DOC
onboard the ship. The company shall present them to the society upon request.

Re-issuance of Documents and Certificates: When the DOC, Interim DOC, SMC or Interim SMC
has been lost or damaged; the company shall submit a request to the society without delay to have the
relevant document or certificate reissued.

Revising Entries on Documents and Certificates:

• The company shall, without delay, apply to the society to request that it rewrite and reissue the
DOC or Interim DOC, as well as the SMC or Interim SMC whenever there is a change in the
content of the same.
• When there is a decrease in the types of ships under management of the company, the company
shall apply to the society to have the DOC revised to reflect the change.

Returning Documents and Certificates:

• The company shall immediately return the Interim DOC or the Interim SMC of each ship to the
society when a DOC or an SMC is issued.
• The company shall immediately return the old DOC or old SMC of each ship to the society
whenever a DOC or an SMC is re-issued (except in the case of replacement of a missing DOC
or SMC) as per 2.4.2 or whenever the entries in such DOC or SMC are to be revised.
• The company shall immediately return the DOC or Interim DOC, or the SMC or Interim
SMC of each ship in the event that the ISM registration of the company is withdrawn and the
certificates have been invalidated.
• When a lost DOC, Interim DOC, SMC, or Interim SMC has been found after the same has
already been reissued, the company shall immediately return the former certificate thus found to
the society.

Termination of ISM Registration of Company: The society shall withdraw the ISM registration
of the company and notify the company of such termination whenever any of the following conditions
become applicable:

• when an application to cancel the ISM registration of the company is received from the company;
• when the SMCs or the Interim SMCs of all applicable ships subject to the SMS have become
invalidated; or
• when the DOC or Interim DOC becomes invalidated.
Termination of ISM Registration of Ship: The society shall withdraw the ISM registration of the ship
and notify the company of the same whenever either of the following conditions becomes applicable:

• when an application to cancel the ISM registration of the ship is received from the company; or
• when the SMC or Interim SMC becomes invalidated.

Conclusion

The process of verification that a vessel or company is in compliance with the ISM Code is a lengthy and
complicated business. It is hoped that you will now have a fundamental grasp of the depth of an audit
and the preparation a ship or company must have to “call for an audit”. The ship or company will bear
its soul and the auditor, like the surveyor, must walk away from the audit with the knowledge that that
particular concern will be able to undertake the rigors of the voyage.

We started out saying the intention was not to make an auditor out of you but, if it is your intention to
pursue this avenue of work, you will need to undertake a number of courses to add to the knowledge
you have gained here.

Ref:
SOLAS, MARPOL, ISM Code
Chapter 22. TECHNICAL SERVICES
Many classification societies are capable of providing a broad range of technical services born of
many years of experience performing survey and classification related work together with extensive
technical knowledge.

The following services are those that might be offered by the societies:

1. Ship Related Technical Consulting Services

Technical consulting services concerning ships and offshore structures from design to the supervision of
construction in the areas of:

• Planning of construction, conversion and repairs.

• Examination of drawings and specifications.
• Bidding support and onsite supervision.

2. Ship Related Appraisal and Certification Services

Technical services also encompass a diverse spectrum of appraisal and certification services which
include the following:

• Hull underwriter surveys.

• Condition surveys.
• Damage surveys and inspections.
• Appraisal surveys for navigation.
• Design and strength evaluations.
• Ship Condition Assessment Program (CAP)
• Fuel and lubricating oil analysis.
• Conformance certification of ship installations.
• Certification of accuracy of GPS devices.
• Tonnage certification for passage through Suez and Panama canals.

Industrial Inspection Services

Many societies also carry out industrial surveys and inspections concerned with the machinery,
materials and systems for shore-based plants, and other similar types of industrial structures as an
inspection organization.
Some have been authorized to carry out inspections during construction of boilers, pressure vessels,
pressure piping, as well as other types of machinery for industrial use imported into each respective
jurisdiction on behalf of the flag state administrations.

Other related activities in this regard include inspections as a designated third party related to purchase
contracts and inspections as agents on behalf of a purchaser.

Some of these services are explained in more detail below:

Plan Approval
All classification societies that are involved in new building or conversion of existing vessels will provide
a plan approval service. All major plans for a ship and its machinery are required to be approved by the
classification society prior to building. Equally, if a ship is to undergo a conversion or major repairs, then
all the plans related to this must also be approved.

Fuel and Lubricant Analysis

Many classification societies offer, in conjunction with specialist laboratories, analyses for fuel and
lubricating oil. This essential service can form part of a reliable planned maintenance program where
regular samples of fuel and lubricants are sent into the worldwide network of laboratories for analysis.
The results will show if the fuel has too high a water content, or sulphur, or solids, or microbiological
infestation. Similar results can be obtained for lubricants, including metal particulates, and offers a
reliable machinery condition assessment, which can reduce the need for expensive oil changes and down
time of machinery.

Planned Maintenance
Many classification societies offer approved planned maintenance schemes whereby the operators
and the onboard chief engineer officer operate the process of maintenance. This means that, by
use of bearing temperature monitoring, fuel and oil analysis, vibration monitoring, adherence to the
manufacturer‟s prescribed running hours for maintenance and an approved schedule, the chief engineer
officer can perform many surveys without the attendance of a classification society surveyor. The
records kept for the planned maintenance schedule will be audited by an attending surveyor at least on
an annual basis, and credits given for any of the work carried out in this period.

Customer Training
Many classification societies offer high quality training to their clients, which clarifies the role of the
classification in design, build and operations of their fleet. Training in non-classification subjects such as
risk management, ISM, statutory, security and environmental issues, are also offered.

Ship Evacuation Services

Some classification societies offer a specialist service to owners who operate ro-ro passenger ships
for the evaluation of ship evacuation. The service can carry out simplified or advanced evacuation
analysis using simulation software to help in the compliance with Regulation II-2/13-7.4 of the SOLAS
Convention, which requires the evaluation of escape routes.
Transfer of Class (ToC)
The classification business is competitive and owners have their preferred classification societies. If an
owner buys a ship that is classed by one society, he may wish to change it to another society who he
feels is giving him better service or is more cost effective for his fleet. For this reason it is possible to
transfer class within IACS. However, a classification society may decline to class a ship if it is felt that it
is not of a satisfactory standard.

Fatigue Life Analysis

Some classification societies offer specialist computer based programs to owners and operators to
assess the fatigue life on the ship‟s hull. This enables them to have increased confidence in the future
performance of their ships and helps manage the risks associated with new ship construction.

Joint Lloyd’s Register/ABS/DNV (LAN) Project for Common Rules for Tankers
This project started in 2000 and has been adopted by IACS as the Joint Tanker Project (JTP).

The project schedule was as follows:

• May 2004 – the draft version of the rules will be delivered for approved by
Technical Committees.
• January 2005 – the rules will be published.
• 1st July 2005 – the rules will become applicable.

It was the intention that machinery and equipment would be included and that, in the future, the rules
would be extended to other ship types.

For further details on technical services refer to the classification website home pages as outlined in
Chapter 2.
Chapter 23. EMERGENCY TECHNICAL ASSISTANCE
“6700 serious marine casualties and ship losses over the last 10 years”.

As a result of the litigious world we now live in, many ship owners need the availability of solid
technical expertise when things go drastically wrong. A number of classification societies offer
emergency services to assist the ship owner in the event of unforeseen circumstances such as a major
pollution or collision incident.

Recently, we have seen what seemed like an almost continuous parade of ships in crisis, from the “Erika”
to the “Ievoli Sun” and the “Castor” in European waters, and the “Natuna Sea” incident off Singapore, all
timely reminders that problems do, and will, arise.

These emergency services assist ship owners and their representatives ensure ship safety and prevent
or minimize the effects of marine pollution in the event of a serious ship casualty such as stranding,
collision or explosion. Working closely with the owner and salvage team, the emergency teams are the
brains behind the brawn, making sure that the salvage operations don‟t make the situation worse, or
minimizing any necessary negative impact.

Preparing for a crisis and mitigation of the incident commence with registering the vessels in a
company‟s fleet. All relevant data of the ships are stored in a database for easy retrieval in order to be
able compute the damage stability and the impact of damage on, for example, longitudinal strength in
case of an emergency. Technical advice can then be provided as to the best course of action that may be
taken to secure the safety of the vessel.

In the event of an emergency, the ship/client should contact the registered classification society
emergency team as soon as possible after the incident. The team takes the information provided by
the ship and uses it together with the data previously registered in the database to make the necessary
computations. Technical advice is then provided concerning transfer or off-loading of cargo, fuel or
ballast if necessary, as well as any necessary temporary repairs so that the master and crew of the
damaged ship can respond to the emergency as quickly and effectively as possible. Highly trained
specialists, including experienced surveyors, naval architects, master mariners and chief engineers, stand
ready to respond to any client request 24 hours a day, 365 days a year, and assist all over the world, as
time is often a critical factor in crisis management.

In most cases emergency teams assist in the ship owner‟s compliance requirements set forth in the
“Shipboard Oil Pollution Emergency Plan” as laid down by the amended Annex I of MARPOL 73/78 as
well as the “Vessel Response Plan” required for oil tankers entering any U.S. port as stipulated in the
provisions of the US Oil Pollution Act of 1990 (OPA 90).

Some of these are explained in more detail below:

OPA 90
This applies to oil tankers and oil barges operating in US waters. As part of the vessel response plan,
it requires shore-based, computerized damage stability and residual strength calculations that include
grounding and oil outflow, to be used to justify remedial actions.
MARPOL 73/78 Annex 1 Regulation 26
This applies to all tankers over 150 Gross Tonnes and all other ships over 400 Gross Tonnes. It
requires a “Shipboard Oil Pollution Emergency Plan” (SOPEP) to be placed onboard the ship. The
classification societies offer support in calculations for instances and eventualities that occur outside
and beyond this plan.

ISM Code
Since 2002 the ISM Code has been applicable to general cargo and container ships. The classification
societies emergency technical assistance is seen as a necessary provision to cover shipboard emergency
situations. A company must be able to respond at any time to such a situation and must undertake drills
and exercises to prepare for them.

SOLAS
Passenger ships need to have a decision support system on the bridge that covers incidents as part of
SOLAS. This can be provided by the various systems offered by the classification societies.

Several authorities require an emergency response plan to be validated prior to its implementation.
This can be carried out by a number of the classification societies.

The diagram below shows a method of emergency response:

Chapter 24. ADVANCED TECHNOLOGY
As you will now have become aware, classification societies have evolved to be very diverse businesses
and do not work exclusively in shipping. This diversity has enable the societies to expand into new
markets and new technology. A few of these areas are put forward bellow:

Offshore (Oil and Gas)

Whilst marine related, the offshore industry is a totally separate business and requires different
specialties to shipping. There are a number of parallels in that some Floating Production and Storage
Platforms (FPSO) are constructed about a hull form, similar to that of a tanker, but outside of this the
technology which goes into an FPSO is related to the oil industry. Other offshore construction can be
in the form of the BP “Thunder Horse” shown below. This is the world‟s largest drilling and production
rig in the world. It is seen here under construction in South Korea, before being towed to the Gulf of
Mexico to start drilling in some of the deepest waters in the world.

Photograph (above) of BP “Thunder Horse” drilling and production rig, under construction in South Korea.
Other areas that classification societies are involved in are the development of “wind energy” and “wave
energy”. Societies are working closely with specialist research and development companies in these
areas of eco-friendly power production.

Photograph (above) shows an example of an offshore “wind farm”.

Coming back to shipping and namely tankers, it has been known for some years that the vapours given
off from crude oil and the heavier distillates are, in themselves, useful products. For many years this
vapour has not been recoverable and it was lost to atmosphere during the transportation and pumping
processes involved in shipping. This is not ecologically friendly and also is not financially friendly as
these vapours contain useful products. Classification societies have developed, along with the oil majors,
methods to control vapour emissions and to contain the vapour for onward use.
For many years liquefied natural gas (LNG) carriers have used the “boil off” gas from the cargo to
fuel the ship‟s main boilers, to produce superheated steam and so power the steam turbines for the
ship‟s propulsion and electrical generation. New technology is coming into the shipping industry where
conventional “diesel” engines are able to run on dual fuel, namely „diesel‟ and / or „LNG‟. The diesel
engine is a more efficient method of propelling a ship. As it has considerably less thermal losses than
a steam plant, there is a financial incentive for this technology. Additionally, „LNG‟ can be considered a
cheap and clean fuel with much lower toxic emissions.

Taking this a stage further, proposals now exist to power a vessel using gas turbine generator sets,
running on LNG, with electric motors for propulsion.

Some classification societies are now involved in the classification of military vessels and have developed
specialist rules and codes to cover the requirements of these hull forms. Military vessels have many
similarities to commercial vessels but they are always pushing the boundaries of technology with
research and development. Some very specialist materials are used in military vessel hull construction
and the machinery outfitting is, by necessity, to considerably more exacting standards to those used in
commercial shipping.

There is an expanding industry in „Mega Yachts‟, in which the classification societies are actively involved.
Again, as with military vessels, there are many advances in the materials used to construct these luxury
craft, with many using composite man-made fibres and resins in the hull construction.

Photograph (above) of a modern “Mega Yacht” - “Tatoosh”.

Needless to say, the classification societies are world leaders in the development of IT for the shipping
industry. With specialist computer modelling programs enabling designers, shipyards and owners to
create new, exciting, hull forms which will be the ships of the future.

There are many other areas in which classification societies work and develop technology, which are
totally unrelated to the maritime industry, such as rail transportation and pharmaceuticals.

For further information and research into the advanced technology offered by the classification societies
it is suggested that you refer to the individual societies web sites as listed in Chapter 2.