Revoked by A.1140(31)
Resolution A.1120(30)
Adopted on 6 December 2017
(Agenda item 9)
SURVEY
GUIDELINES UNDER THE HARMONIZED SYSTEM OF SURVEY AND CERTIFICATION (HSSC), 2017
THE ASSEMBLY,
RECALLING Article 15(j) of the Convention on the International
Maritime Organization concerning the functions of the Assembly in relation to
regulations and guidelines regarding maritime safety and the prevention and
control of marine pollution from ships,
RECALLING ALSO the adoption by:
(a) the International Conference on the
Harmonized System of Survey and Certification, 1988 of the Protocol of 1988
relating to the International Convention for the Safety of Life at Sea, 1974
and of the Protocol of 1988 relating to the International Convention on Load
Lines, 1966, which, inter alia, introduced the harmonized system of survey and
certification into the International Convention for the Safety of Life at Sea,
1974 and the International Convention on Load Lines, 1966, respectively;
(b) resolution MEPC.39(29) of amendments to
introduce the harmonized system of survey and certification into the
International Convention for the Prevention of Pollution from Ships, 1973, as
modified by the Protocol of 1978 relating thereto (MARPOL);
(c) resolution MEPC.132(53) of amendments to introduce the
harmonized system of survey and certification into MARPOL Annex VI;
(d) the International Conference on Ballast
Water Management for Ships of the International Convention for the Control and
Management of Ships' Ballast Water and Sediments, 2004, which included the
harmonized system of survey and certification;
(e) the resolutions given below of amendments
to introduce the harmonized system of survey and certification into:
(i) the International Code for the
Construction and Equipment of Ships Carrying Dangerous Chemicals in Bulk (IBC
Code) (resolutions MEPC.40(29) and MSC.16(58));
(ii) the International Code for the
Construction and Equipment of Ships Carrying Liquefied Gases in Bulk (IGC Code)
(resolution MSC.17(58)); and
(iii) the Code for the Construction and Equipment
of Ships Carrying Dangerous Chemicals in Bulk (BCH Code) (resolutions
MEPC.41(29) and MSC.18(58)),
RECALLING FURTHER that, by resolution A.1104(29), it adopted the Survey
Guidelines under the Harmonized System of Survey and Certification, 2015 ("the
Survey Guidelines") with a view to assisting Governments in implementing
the requirements of the aforementioned instruments,
RECOGNIZING the need for the Survey Guidelines to be further
revised to take into account the amendments to the IMO instruments referred to
above which have entered into force or become effective since the adoption of
resolution A.1104(29),
HAVING CONSIDERED the recommendations made by the Marine
Environment Protection Committee, at its seventieth and seventy-first sessions,
and the Maritime Safety Committee, at its ninety-seventh and ninety-eighth
sessions,
1 ADOPTS the Survey
Guidelines under the Harmonized System of Survey and Certification (HSSC), 2017,
as set out in the annex to the present resolution;
2 INVITES
Governments carrying out surveys required by relevant IMO instruments to apply
the provisions of the annexed Survey Guidelines;
3 REQUESTS the
Maritime Safety Committee and the Marine Environment Protection Committee to
keep the Survey Guidelines under review and to amend them as necessary;
4 REVOKES resolution
A.1104(29).
Annex
SURVEY
GUIDELINES UNDER THE HARMONIZED SYSTEM OF SURVEY AND CERTIFICATION (HSSC), 2017
(These Guidelines take into account relevant IMO mandatory
instruments and amendments thereto entering into force up to and including 31
December 2017)
Table of contents
GENERAL
1 INTRODUCTION
2 TYPES OF SURVEY
3 APPLICATION AND
ARRANGEMENT OF THE GUIDELINES
4 DESCRIPTION OF THE
VARIOUS TYPES OF SURVEY
(I) 4.1 Initial
surveys
(A) 4.2 Annual
surveys
(In)
4.3 Intermediate
surveys
(P) 4.4 Periodical
surveys
(R) 4.5 Renewal
surveys
(B) 4.6 Inspections of the outside of the ship's
bottom of cargo ships
(Ad)
4.7 Additional
surveys
4.8 Completion of surveys
5 AMPLIFICATION OF TERMS AND CONDITIONS
5.1 Definition of related items
5.2 Extending to five years a certificate
issued for less than five years
5.3 Extending the period between inspections
of the outside of the ship's bottom
5.4 Definition of "short voyage"
5.5 Application of "special
circumstances"
5.6 Revalidation of certificates
5.7 Meaning of "any five-year
period"
5.8 Surveys required after transfer of the
ship to the flag of another State
5.9 Recommended conditions for extending the
period of validity of a certificate
5.10 Inspection of the outside of a passenger
ship's bottom
5.11 Survey of radio installations
5.12 Survey of the automatic identification
system (AIS)
5.13 Survey for ships intended to operate in
polar waters
Annex 1
SURVEY
GUIDELINES UNDER THE 1974 SOLAS CONVENTION, AS MODIFIED BY THE 1988 PROTOCOL
RELATING THERETO
(E) 1 GUIDELINES FOR SURVEYS FOR THE CARGO
SHIP SAFETY EQUIPMENT CERTIFICATE
(EI)
1.1 Initial
surveys
(EA)
1.2 Annual
surveys
(EP)
1.3 Periodical
surveys
(ER)
1.4 Renewal
surveys
(C) 2 GUIDELINES
FOR SURVEYS FOR THE CARGO SHIP SAFETY CONSTRUCTION CERTIFICATE
(CI)
2.1 Initial
surveys
(CA)
2.2 Annual
surveys
(CIn)
2.3 Intermediate
surveys
(CR)
2.4 Renewal
surveys
(B) 3 GUIDELINES
FOR THE INSPECTION OF THE OUTSIDE OF THE SHIP'S BOTTOM OF CARGO SHIPS
(R) 4 GUIDELINES
FOR SURVEYS FOR THE CARGO SHIP SAFETY RADIO CERTIFICATE
(RI)
4.1 Initial
surveys
(RP)
4.2 Periodical
surveys
(RR)
4.3 Renewal
surveys
(P) 5 GUIDELINES
FOR SURVEYS FOR THE PASSENGER SHIP SAFETY CERTIFICATE
(PI)
5.1 Initial
surveys
(PR) 5.2 Renewal
surveys
Annex 2
SURVEY
GUIDELINES UNDER THE 1966 LL CONVENTION, AS MODIFIED BY THE 1988 PROTOCOL
RELATING THERETO
(L) 1 GUIDELINES
FOR SURVEYS FOR THE INTERNATIONAL LOAD LINE CERTIFICATE OR INTERNATIONAL LOAD
LINE EXEMPTION CERTIFICATE
(LI)
1.1 Initial surveys
(LA)
1.2 Annual surveys
(LR)
1.3 Renewal surveys
Annex 3
SURVEY GUIDELINES UNDER THE MARPOL CONVENTION
(O) 1 GUIDELINES
FOR SURVEYS FOR THE INTERNATIONAL OIL POLLUTION PREVENTION CERTIFICATE
(OI)
1.1 Initial surveys
(OA)
1.2 Annual surveys
(OIn)
1.3 Intermediate surveys
(OR)
1.4 Renewal surveys
(N) 2 GUIDELINES FOR SURVEYS FOR THE INTERNATIONAL
POLLUTION PREVENTION CERTIFICATE FOR THE CARRIAGE OF NOXIOUS LIQUID SUBSTANCES
IN BULK
(NI)
2.1 Initial surveys
(NA)
2.2 Annual surveys
(NIn)
2.3 Intermediate surveys
(NR)
2.4 Renewal surveys
(S) 3 GUIDELINES FOR SURVEYS FOR THE INTERNATIONAL
SEWAGE POLLUTION PREVENTION CERTIFICATE
(SI)
3.1 Initial surveys
(SR)
3.2 Renewal surveys
(A) 4 GUIDELINES FOR SURVEYS FOR THE INTERNATIONAL
AIR POLLUTION PREVENTION CERTIFICATE AND THE NOX TECHNICAL CODE
(AI)
4.1 Initial surveys
(AA)
4.2 Annual surveys
(AIn)
4.3 Intermediate surveys
(AR)
4.4 Renewal surveys
Annex 4
SURVEY
GUIDELINES UNDER THE INTERNATIONAL CONVENTION FOR THE CONTROL AND MANAGEMENT OF
SHIPS' BALLAST WATER AND SEDIMENTS, 2004
(B) 1
GUIDELINES FOR SURVEYS FOR THE
INTERNATIONAL BALLAST WATER MANAGEMENT CERTIFICATE
(BI)
1.1 Initial
surveys
(BA)
1.2 Annual
surveys
(BIn)
1.3 Intermediate
surveys
(BR)
1.4 Renewal
surveys
Annex 5
SURVEY GUIDELINES UNDER MANDATORY CODES
(D) 1 GUIDELINES
FOR SURVEYS FOR THE INTERNATIONAL CERTIFICATE OF FITNESS FOR THE CARRIAGE OF
DANGEROUS CHEMICALS IN BULK AND THE CERTIFICATE OF FITNESS FOR THE CARRIAGE OF
DANGEROUS CHEMICALS IN BULK
(DI)
1.1 Initial
surveys
(DA)
1.2 Annual
surveys
(DIn)
1.3 Intermediate
surveys
(DR)
1.4 Renewal
surveys
(G) 2 GUIDELINES
FOR SURVEYS FOR THE INTERNATIONAL CERTIFICATE OF FITNESS FOR THE CARRIAGE OF
LIQUEFIED GASES IN BULK
(GI)
2.1 Initial
surveys
(GA)
2.2 Annual
surveys
(GIn)
2.3 Intermediate
surveys
(GR)
2.4 Renewal
surveys
(W) 3 GUIDELINES
FOR THE SURVEYS FOR THE POLAR SHIP CERTIFICATE ADDITIONAL TO SOLAS CERTIFICATES
(WI)
3.1 Initial
surveys
(WA)
3.2 Annual
surveys
(WIn)
3.3 Intermediate
surveys
(WP)
3.4 Periodical
surveys
(WR)
3.5 Renewal
surveys
Appendix
1 SUMMARY OF AMENDMENTS TO MANDATORY
INSTRUMENTS REFLECTED IN THE SURVEY GUIDELINES UNDER THE HSSC
Appendix
2 THE HARMONIZED SYSTEM OF SURVEY AND
CERTIFICATION DIAGRAMMATIC ARRANGEMENT
GENERAL
1 INTRODUCTION
1.1 These Guidelines
supersede the guidelines adopted by resolution A.1104(29), and take account of the Harmonized
System of Survey and Certification in the following instruments:
.1 International Convention for the Safety
of Life at Sea, 1974 (1974 SOLAS Convention, or SOLAS 74), as modified by the
Protocol of 1988 relating thereto, as amended (SOLAS 74/88);
.2 International Convention on Load Lines,
1966 (1966 LL Convention, or LLC 66), as modified by the Protocol of 1988
relating thereto, as amended (LLC 66/88);
.3 International Convention for the
Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978
relating thereto, and as further amended by the Protocol of 1997, as amended
(MARPOL);
.4 International Convention for the Control
and Management of Ships' Ballast Water and Sediments, 2004 (Ballast Water
Management Convention (BWM Convention));
.5 International Code for the Construction
and Equipment of Ships Carrying Dangerous Chemicals in Bulk, as amended (IBC
Code);
.6 International Code for the Construction
and Equipment of Ships Carrying Liquefied Gases in Bulk, as amended (IGC Code);
.7 Code for the Construction and Equipment
of Ships Carrying Dangerous Chemicals in Bulk, as amended (BCH Code); and
.8 International Code for Ships Operating in
Polar Waters (Polar Code).
1.2 These Guidelines
take into account the BWM Convention, the Polar Code and other amendments to
statutory instruments which entered into force before or on 31 December 2017
(see appendix 1), and contain the following:
.1 Survey Guidelines under the 1974 SOLAS
Convention, as modified by the Protocol of 1988 relating thereto (annex 1);
.2 Survey Guidelines under the 1966 LL
Convention, as modified by the Protocol of 1988 relating thereto (annex 2);
.3 Survey Guidelines under the MARPOL
Convention (annex 3);
.4 Survey Guidelines under the International
Convention for the Control and Management of Ships' Ballast Water and
Sediments, 2004 (annex 4); and
.5 Survey Guidelines under mandatory codes
(annex 5).
1.3 The harmonized
system, a diagrammatic arrangement of which is given in appendix 2, provides
for:
.1 a one-year standard interval between
surveys, based on initial, annual, intermediate, periodical and renewal
surveys, as appropriate, except for MARPOL Annex IV, which is based on initial
and renewal surveys;
.2 a
scheme providing the necessary flexibility to execute each survey, with
provision for:
.1 completion of the renewal survey within
three months before the expiry date of the existing certificate with no loss of
its period of validity; and
.2 a "time window" of six months
from three months before to three months after the anniversary date of the
certificate for annual, intermediate and periodical surveys;
.3 a maximum period of validity of five
years for all cargo ship certificates;
.4 a maximum period of validity of 12 months
for the Passenger Ship Safety Certificate;
.5 a system for the extension of
certificates limited to three months, enabling a ship to complete its voyage,
or one month for ships engaged on short voyages;
.6 when an extension has been granted, the
period of validity of the new certificate starting from the expiry date of the
existing certificate before its extension;
.7 a flexible system for inspection of the
outside of the ship's bottom on the following conditions:
.1 a minimum of two inspections during any
five-year period of validity of the Cargo Ship Safety Construction Certificate
or the Cargo Ship Safety Certificate; and
.2 the interval between any two such
inspections should not exceed 36 months;
.8 a Cargo Ship Safety Certificate under
SOLAS 74/88, as an alternative to separate Cargo Ship Safety Construction,
Cargo Ship Safety Equipment and Cargo Ship Safety Radio Certificates; and
.9 a flexible system concerning the frequency
and the period of validity of certificates, subject to the minimum pattern of
surveys being maintained.
1.4 In implementing the
harmonized system, the following principal changes made to the survey and
certification requirements of SOLAS 74/88 have been taken into account:
.1 unscheduled inspections are no longer
included and annual surveys are mandatory for cargo ships;
.2 intervals between the periodical surveys
of equipment covered by the Cargo Ship Safety Equipment Certificate are
alternately two and three years instead of two years;
.3 intermediate surveys are required for all
ships under the Cargo Ship Safety Construction Certificate;
.4 inspection of the outside of the ship's
bottom is required for all cargo ships;
.5 intermediate surveys for the Cargo Ship
Safety Construction Certificate are held within three months of either the
second or third anniversary date;
.6 all cargo ship certificates may be issued
for any period of validity up to and including five years;
.7 there is provision for a Cargo Ship
Safety Certificate; and
.8 the extension provisions have been reduced
from five months to three months to enable a ship to complete its voyage and
the extension for one month for a period of grace is limited to ships engaged
on short voyages.
1.5 With regard to LLC
66/88, the principal changes to the requirements for survey and certification
are the introduction of similar extension provisions (see 1.4.8) and linking of
the period of validity of the new certificate to the expiry date of the
previous certificate (see 1.3.6).
1.6 With regard to
MARPOL and the IBC, IGC and BCH Codes, the main changes are the linking of the
period of validity of the new certificate to the expiry date of the previous
certificate (see 1.3.6), the holding of the intermediate survey within three
months of the second or third anniversary date and the introduction of the same
extension provisions (see 1.4.8).
2 TYPES OF SURVEY
The types of survey used in the harmonized system are as follows:
(I) 2.1 An initial survey is a complete
inspection before a ship is put into service of all the items relating to a
particular certificate, to ensure that the relevant requirements are complied
with and that these items are satisfactory for the service for which the ship
is intended.
(P) 2.2 A periodical survey is an
inspection of the items relating to the particular certificate to ensure that
they are in a satisfactory condition and fit for the service for which the ship
is intended.
(R) 2.3 A renewal survey is the same as
a periodical survey but also leads to the issue of a new certificate.
(In) 2.4 An intermediate survey is an
inspection of specified items relevant to the particular certificate to ensure
that they are in a satisfactory condition and fit for the service for which the
ship is intended.
(A) 2.5 An annual survey is a general
inspection of the items relating to the particular certificate to ensure that
they have been maintained and remain satisfactory for the service for which the
ship is intended.
(B) 2.6 An inspection of the outside of the
ship's bottom is an inspection of the underwater part of the ship and
related items to ensure that they are in a satisfactory condition and fit for
the service for which the ship is intended.
(Ad) 2.7 An additional survey is an
inspection, either general or partial according to the circumstances, to be
made after a repair resulting from investigations or whenever any important
repairs or renewals are made.
2.8 List of types of survey in Conventions
and Codes
(I) 2.8.1 Initial surveys
SOLAS
74/88 regulations I/7(a)(i) and 7(b)(i)
regulations
I/8(a)(i) and 8(b)(i)
regulations
I/9(a)(i) and 9(b)(i)
regulations
I/10(a)(i) and 10(b)(i)
LLC 66/88 article 14(1)(a)
MARPOL Annex I regulation 6.1.1
MARPOL Annex II regulation 8.1.1
MARPOL Annex IV regulation 4.1.1
MARPOL Annex VI regulation
5.1.1
BWM Convention regulation E-1.1.1
IBC Code regulation 1.5.2.1.1
IGC Code regulation 1.4.2.1
BCH Code regulation 1.6.2.1.1
(P) 2.8.2 Periodical surveys
SOLAS 74/88 regulations I/8(a)(iii) and 8(b)(ii)
regulations
I/9(a)(iii) and 9(b)(iii)
(R) 2.8.3 Renewal surveys
SOLAS 74/88 regulations I/7(a)(ii) and 7(b)(ii)
regulations
I/8(a)(ii) and 8(b)(ii)
regulations
I/9(a)(ii) and 9(b)(ii)
regulations
I/10(a)(ii) and 10(b)(ii)
LLC 66/88 article 14(1)(b)
MARPOL Annex I regulation 6.1.2
MARPOL Annex II regulation 8.1.2
MARPOL Annex IV regulation 4.1.2
MARPOL Annex VI regulation 5.1.2
BWM Convention regulation E-1.1.2
IBC Code regulation 1.5.2.1.2
IGC Code regulation 1.4.2.2
BCH Code regulation 1.6.2.1.2
(In) 2.8.4 Intermediate surveys
SOLAS 74/88 regulations
I/10(a)(iii) and 10(b)(iii)
MARPOL Annex I regulation
6.1.3
MARPOL Annex II regulation
8.1.3
MARPOL Annex VI regulation
5.1.3
BWM Convention regulation
E-1.1.3
IBC Code regulation
1.5.2.1.3
IGC Code regulation 1.4.2.3
BCH Code regulation
1.6.2.1.3
(A) 2.8.5 Annual surveys
SOLAS 74/88 regulations I/8(a)(iv), 8(b)(iii),
and10(a)(iv) and 10(b)(iv)
LLC 66/88 article 14(1)(c)
MARPOL Annex I regulation 6.1.4
MARPOL Annex II regulation 8.1.4
MARPOL Annex VI regulation 5.1.4
BWM Convention regulation E-1.1.4
IBC Code regulation 1.5.2.1.4
IGC Code regulation 1.4.2.4
BCH Code regulation 1.6.2.1.4
(B) 2.8.6 Inspection of the outside of the ship's
bottom
SOLAS 74/88 regulations I/10(a)(v) and
10(b)(v)
(Ad) 2.8.7 Additional surveys
SOLAS 74/88 regulations I/7(a)(iii) and
7(b)(iii)
regulation I/8(a)(iv)
regulation I/9(a)(iv)
regulation
I/10(a)(iv)
MARPOL Annex I regulation 6.1.5
MARPOL Annex II regulation 8.1.5
MARPOL Annex IV regulation 4.1.3
MARPOL Annex VI regulation 5.1.5
BWM Convention regulation E-1.1.5
IBC Code regulation 1.5.2.1.5
IGC Code regulation 1.4.2.5
BCH Code regulation 1.6.2.1.5
3 APPLICATION AND
ARRANGEMENT OF THE GUIDELINES
3.1 The Guidelines
provide a general framework upon which Administrations will be able to base
their arrangements for carrying out surveys. It is recognized that survey provisions
contained in the guidelines are not necessarily applicable to all types and
sizes of ship.
3.2 While the
Guidelines are intended to cover instruments listed in 1.1, they should be
applied, as appropriate, to drilling rigs and other platforms covered by MARPOL
Annex I regulation 39 and Annex VI regulation 5.
3.3 A description of
the various types of survey is given in section 4 and, as shown on the contents
page, this is followed by the detailed requirements for the various surveys for
each of the certificates.
3.4 When appropriate,
the detailed requirements for the various surveys contain a section that is
applicable to all cargo ships followed by a section that only applies to
specific ship types.
3.5 While the
Convention or Code references are included, where possible, it should be noted
that, in general, it has not been possible to indicate where there are
differing requirements dependent upon the ship's year of build. Consequently,
care should be taken in applying specific requirements, particularly where
there have been amendments that are only applicable to ships built after a
certain date.
3.6 Although also part
of the requirements for the Cargo Ship Safety Construction Certificate, a
separate section is provided for inspection of the outside of the ship's
bottom.
3.7 SOLAS 74/88
regulation I/12(v) provides for a Cargo Ship Safety Certificate to be issued as
an alternative to the Cargo Ship Safety Equipment Certificate, the Cargo Ship
Safety Construction Certificate and the Cargo Ship Safety Radio Certificate.
Consequently, the surveys for the issue and renewal of the Cargo Ship Safety
Certificate should be in accordance with the certificates it replaces and,
similarly, the annual and intermediate surveys should be the same as those
required for the replaced certificates and the appropriate sections of the
Cargo Ship Safety Certificate, endorsed accordingly.
3.8 On the left-hand
side of each item to be surveyed may be found two letters in brackets, the
first indicating the certificate to which the survey relates, as follows:
(E) for
the Cargo Ship Safety Equipment Certificate;
(C) for
the Cargo Ship Safety Construction Certificate;
(R) for
the Cargo Ship Safety Radio Certificate;
(L) for
the International Load Line Certificate;
(O) for
the International Oil Pollution Prevention Certificate;
(N) for the International Pollution Prevention Certificate for
Carriage of Noxious Liquid Substances in Bulk;