Revoked by A.1156(32)

 

Resolution A.1140(31)

Adopted on 4 December 2019

(Agenda item 10)

 

SURVEY GUIDELINES UNDER THE HARMONIZED SYSTEM OF SURVEY AND CERTIFICATION (HSSC), 2019

 

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; and

 

(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 resolution A.1120(30), by which it adopted the Survey Guidelines under the Harmonized System of Survey and Certification (HSSC), 2017 (hereafter referred to as the "Survey Guidelines"), following successive revocation of resolutions A.1104(29), A.1076(28), A.1020(26), A.997(25), A.948(23) and A.746(18), replacing the guidelines adopted by resolutions A.560(14), MEPC.11(18) and MEPC.25(23),

 

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.1120(30),

 

HAVING CONSIDERED the recommendations made by the Marine Environment Protection Committee, at its seventy-fourth session, and the Maritime Safety Committee, at its 101st session, 

 

1          ADOPTS the Survey Guidelines under the Harmonized System of Survey and Certification (HSSC), 2019, 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.1120(30).

 

ANNEX

 

SURVEY GUIDELINES UNDER THE HARMONIZED SYSTEM OF SURVEY AND CERTIFICATION (HSSC), 2019

 

(These Guidelines take into account relevant IMO mandatory instruments and amendments thereto entering into force before or on 31 December 2019)

 

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 survey

(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

(BAd) 1.5       Additional 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 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.1120(30), 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, as amended (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 amendments to statutory instruments which entered into force before or on 31 December 2019 (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:

 

.1       a repair resulting from investigations or whenever any important repairs or renewals are made; or,

 

.2       change, replacement, or significant repair of the structure, equipment, systems, fittings, arrangements and material (BWM Convention regulation E-1.1.5).

 

            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)(ii)

 

(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)(v)

                                    regulation I/9(a)(iv)

                                    regulation I/10(a)(vi)

 

            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