Revoked by Resolution A.997(25)

 

Resolution A.948(23)

REVISED SURVEY GUIDELINES UNDER THE HARMONIZED SYSTEM OF SURVEY AND CERTIFICATION

(Adopted on 5 December 2003)

 

 

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 concerning maritime safety and the prevention and control of marine pollution from ships,

 

RECALLING ALSO:

 

(a) the adoption by 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 the Protocol of 1988 relating to the International Convention on Load Lines, 1966, which, inter alia, introduced the harmonized system of survey and certification under the International Convention for the Safety of Life at Sea, 1974 and the International Convention on Load Lines, 1966, respectively,

 

(b) the adoption by 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 1978 Protocol relating thereto (MARPOL 73/78), and

 

(c) the adoption, by 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)),

 

(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.746(18), it adopted the Survey Guidelines under the Harmonized System of Survey and Certification, with a view to assisting Governments in the implementation of the requirements of the aforementioned instruments,

 

RECOGNIZING the need for the above Survey Guidelines to be revised to take account of the amendments to the IMO instruments referred to above, which have entered into force or become effective since the adoption of resolution A.746(18),

 

HAVING CONSIDERED the recommendations made by the Maritime Safety Committee at its seventy-seventh session and the Marine Environment Protection Committee at its forty-ninth session,

 

1. ADOPTS the Revised Survey Guidelines under the Harmonized System of Survey and Certification set out in the annex to the present resolution;

 

2. INVITES Governments carrying out surveys required by the relevant IMO instruments to follow the provisions of the annexed Revised Survey Guidelines; and

 

3. REQUESTS the Maritime Safety Committee and the Marine Environment Protection Committee to keep the Revised Survey Guidelines under review and amend them as necessary;

 

4. REVOKES resolution A.746(18).

 

 

Annex.

REVISED SURVEY GUIDELINES UNDER THE HARMONIZED SYSTEM OF SURVEY AND CERTIFICATION CONTENTS

 

GENERAL

 

1. INTRODUCTION

 

1.1 These Guidelines supersede the guidelines adopted by resolution A. 746(18) 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 (SOLAS 1974), as modified by its 1988 Protocol and as amended by resolutions MSC.92(72) and MSC.100(73) (SOLAS 74/88/00);

 

.2 International Convention on Load Lines, 1966 (LLC 1966) as amended and as modified by its 1988 Protocol (LL 66/88);

 

.3 International Convention for the Prevention of Pollution from Ships, 1973 and of the Protocol of 1978 relating thereto (MARPOL 73/78), as amended by resolution MEPC.39(29) (MARPOL 73/78/90);

 

.4 International Code for the Construction and Equipment of Ships Carrying Dangerous Chemicals in Bulk (IBC Code), as amended by resolutions MEPC.40(29), MSC.16(58), MSC.28(61), MSC 50(66), MSC.58(67) and MSC.102(73) (IBC Code 83/90/00);

 

.5 International Code for the Construction and Equipment of Ships Carrying Liquefied Gases in Bulk (IGC Code), as amended by resolutions MSC.17(58), MSC.30(61), MSC.59(67) and MSC.103(73) (IGC Code 83/90/00); and

 

.6 Code for the Construction and Equipment of Ships Carrying Dangerous Chemicals in Bulk (BCH Code), as amended by resolutions MEPC.41(29) and MSC.18(58) (BCH Code 85/90);

 

1.2 These Guidelines contain amendments to statutory instruments up to the year 2000:

 

.1 Survey Guidelines under the 1974 SOLAS Convention, as modified by the 1988 Protocol relating thereto (annex 1);

 

.2 Survey Guidelines under the 1966 Load Line Convention, as modified by the 1988 Protocol relating thereto (annex 2);

 

.3 Survey Guidelines under the 1973/78 MARPOL Convention (annex 3); and

 

.4 Survey Guidelines under the mandatory Codes (annex 4).

 

1.3 The harmonized system, a diagrammatic arrangement of which is given in the appendix, provides for:

 

.1 a one-year standard interval between surveys, based on initial, annual, intermediate, periodical and renewal surveys, as appropriate;

 

.2 a scheme for providing the necessary flexibility for the execution of each survey with the provision that:

 

- the renewal survey may be completed within 3 months before the expiry date of the existing certificate with no loss of its period of validity;

 

- a "time window" of 6 months - from 3 months before to 3 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 certificates for cargo ships;

 

.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 enables 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 starts 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:

 

- 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;

 

- the interval between any two such inspections shall not exceed 36 months;

 

.8 a provision for a Cargo Ship Safety Certificate under SOLAS 74/88/00, as an alternative to separate Cargo Ship Safety Construction, Cargo Ship Safety Equipment and Cargo Ship Safety Radio Certificates; .9 a flexible system concerning the frequency and the period of validity of certificates, provided that the minimum pattern of surveys is maintained.

 

1.4 In implementing the harmonized system, the following principal changes have been made to the survey and certification requirements of SOLAS 74/88/00:

 

.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 alternatively at intervals of 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 are 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;

 

.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 73/78/90 and the IBC Code 83/90/00, the IGC Code 83/90/00 and the BCH Code 85/90, 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 surveys 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 surveys in conventions and codes

 

(I)2.8.1 Initial surveys

 

SOLAS 74/88, chapter I, regulation 7(a)(i)

regulation 8(a)(i)

regulation 9(a)(i)

regulation 10(a)(i)

LLC 66/88, article 14(1)(a)

MARPOL 73/78/90, Annex I, regulation 4(l)(a)

MARPOL 73/78/90, Annex II, regulation 10(1)(a)

IBC Code 83/90, regulation 1.5.2.1.1

IGC Code 83/90, regulation 1.5.2.1.1

BCH Code 85/90, regulation 1.6.2.1.1

 

(P)2.8.2 Periodical surveys

 

SOLAS 74/88, chapter I, regulation 8(a)(iii)

regulation 9(a)(iii)

 

(R)2.8.3 Renewal surveys

 

SOLAS 74/88, chapter I, regulation 7(a)(ii)

regulation 8(a)(ii)

regulation 9(a)(ii)

regulation 10(a)(ii)

LLC 66/88 article 14(1)(b)

MARPOL 73/78/90, Annex I, regulation 4(1)(b)

MARPOL 73/78/90, Annex II, regulation 10(1)(b)

IBC Code 83/90, regulation 1.5.2.1.2

IGC Code 83/90, regulation 1.5.2.1.2

BCH Code 85/90, regulation 1.6.2.1.2

 

(In)2.8.4 Intermediate surveys

 

SOLAS 74/88, chapter I, regulation 10(a)(iii)

MARPOL 73/78/90, Annex I, regulation 4(1)(c)

MARPOL 73/78/90, Annex II, regulation 10(1)(c)

IBC Code 83/90, regulation 1.5.2.1.3

IGC Code 83/90, regulation 1.5.2.1.3

BCH Code 85/90, regulation 1.6.2.1.3

 

(A)2.8.5 Annual surveys

 

SOLAS 74/88, chapter I, regulation 8(a)(iv)

regulation 10(a)(iv)

LLC 66/88, article 14(1)(c)

MARPOL 73/78/90, Annex I, regulation 4(1)(d)

MARPOL 73/78/90, Annex II, regulation 10(1)(d)

IBC Code 83/90, regulation 1.5.2.1.4

IGC Code 83/90, regulation 1.5.2.1.4

BCH Code 85/90, regulation 1.6.2.1.4

 

(B)2.8.6 Inspection of the outside of the ship's bottom

 

SOLAS 74/88, chapter I, regulation 10(a)(v)

 

(Ad)2.8.7 Additional surveys

 

SOLAS 74/88, chapter I, regulation 7(a)(iii)

regulation 8(a)(v)

regulation 9(a)(iv)

regulation 10(a)(vi)

MARPOL 73/78/90, Annex I, regulation 4(1)(e)

MARPOL 73/78/90, Annex II, regulation 10(1)(e)

IBC Code 83/90, regulation 1.5.2.1.5

IGC Code 83/90, regulation 1.5.2.1.5

BCH Code 85/90, 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 Whilst 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 73/78/90 Annex I regulation 21.

 

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 oil tankers.

 

3.5 Whilst the Convention or Code references are included, when 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 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 surveys for the annual and intermediate 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; (D) for the International Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk or the Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk;

 

(G) for the International Certificate of Fitness for the Carriage of Liquefied Gases in Bulk.

 

(P) for the Passenger Ship Safety Certificate;

 

and the second for the type of survey, as follows:

 

(I) for the initial survey; (A) for the annual survey; (In) for the intermediate survey; (P) for the periodical survey; (R) for the renewal survey;

 

(B) for inspection of the outside of the ship's bottom; (Ad) for additional survey.

 

Consequently, for example, "(EI)", "(OIn)" and "(PR)" indicate the initial survey for the Cargo Ship Safety Equipment Certificate, the intermediate survey for the International Oil Pollution Prevention Certificate and the renewal survey for the Passenger Ship Safety Certificate respectively.

 

3.9 The amplification of various terms and conditions are given in section 5.

 

4. DESCRIPTION OF THE VARIOUS TYPES OF SURVEYS

 

(I)4.1 Initial surveys

 

4.1.1 Frequency

 

4.1.1.1 The initial survey, as required by the relevant regulations (see 2.8.1), should be held before the ship is put in service and the appropriate certificate is issued for the first time.

 

4.1.2 General

 

4.1.2.1 The initial survey before the ship is put into service should include a complete inspection, with tests when necessary, of the structure, machinery and equipment to ensure that the requirements relevant to the particular certificate are complied with and that the structure, machinery and equipment are fit for the service for which the ship is intended.

 

4.1.2.2 The initial survey should consist of:

 

.1 an examination of the plans, diagrams, specifications, calculations and other technical documentation to verify that the structure, machinery and equipment comply with the requirements relevant to the particular certificate;

 

.2 an inspection of the structure, machinery and equipment to ensure that the materials, scantlings, construction and arrangements, as appropriate, are in accordance with the approved plans, diagrams, specifications, calculations and other technical documentation and that the workmanship and installation are in all respects satisfactory;

 

.3 a check that all the certificates, record books, operating manuals and other instructions and documentation specified in the requirements relevant to the particular certificate have been placed on board the ship.

 

4.1.3 Examination of plans and designs

 

4.1.3.1 An application for an initial survey should be accompanied by plans and designs referred to in sections 1, 2, 4 and 5 of Annex 1 and in Annexes 2, 3 and 4, as appropriate, together with:

 

.1 the particulars of the ship;

 

.2 any exemptions sought;

 

.3 any special conditions.

 

(A)4.2 Annual surveys

 

4.2.1 Frequency

 

4.2.1.1 The annual survey, as required by the relevant regulations (see 2.8.5) and as shown diagrammatically in the appendix, should be held within three months before or after each anniversary date of the certificate.

 

4.2.2 General

 

4.2.2.1 An annual survey should enable the Administration to verify