Circular Letter
MSC-MEPC.5/Circ.2
SURVEY AND CERTIFICATION-RELATED MATTERS*
Guidelines for
Administrations to ensure the adequacy of transfer of class-related matters
between recognized organizations (ROs)
(adopted on 22
July 2005)
______________
* In order to facilitate the
identification and retrieval of information circulated by means of joint
MSC—MEPC circulars, from now on such information will be disseminated through
the following circular series:
1. Organization and methods
of work, as MSC—MEPC.1/Circ. ...
2. General matters, as
MSC-MEPC.2/Circ. ...
3. Casualty-related matters,
as MSC-MEPC 3/Circ. ...
4. Port State control-related
matters, as MSC-MEPC.4/Circ. ...
5. Survey and
certification-related matters, as MSC-MEPC.5/Circ.
6. National contact points
for safety and pollution prevention and response, as MSC-MEPC.6/Circ. ...
1. The Maritime Safety Committee,
at its eightieth session (11 to 20 May 2005) and the Marine Environment
Protection Committee, at its fifty-third session (18 to 22 July 2005) approved
the Guidelines for Administrations to ensure the adequacy of transfer of
class-releted matters between recognized organizations (ROs).
2. Under the provisions of
resolution A.739(18) on Guidelines for the authorization of organizations acting
on behalf of the Administration, the Administration should establish a system
to ensure the adequacy of work performed by the organizations autfiorized to
act on its behalf. Such a system should, inter alia, include the monitoring and
verification of class-related matters, as applicable.
1. Organization
and methods of work, as MSC—MEPC.1/Circ. ...
2. General
matters, as MSC-MEPC.2/Circ. ...
3.
Casualty-related matters, as MSC-MEPC 3/Circ. ...
4. Port State
control-related matters, as MSC-MEPC.4/Circ. ...
5. Survey and
certification-related matters, as MSC-MEPC.5/Circ.
6. National
contact points for safety and pollution prevention and response, as
MSC-MEPC.6/Circ. ...
3. To facilitate the development
of a system for ensuring the adequacy of work performed with respect to the
transfer of class-related matters between recognized organizations, maritime
Administrations are invited to apply the guidelines set out at annex.
4. Member Governments are also
invited to consider implementing a system of monitoring and verification of the
transfer of class-related matters between recognized organizations.
Annex.
GUIDELINES FOR THE ADMINISTRATION TO ENSURE THE ADEQUACY OF TRANSFER OF
CLASS-RELATED MATTERS BETWEEN RECOGNIZED ORGANIZATIONS (ROs)
Gaining recognized organization
means a recognized organization which accepts a ship as meeting its
requirements, only after all overdue surveys, overdue recommendations or
overdue conditions of class-related matters previously issued against the ship
have been completed by or as specified by the losing recognized organization.
Classification certificate means
within the context of these Guidelines a certificate attesting to compliance
with class-related matters.
Losing recognized organization
means the recognized organization from which class-related matters are being
transferred. In the case of ships accepted as meeting the class-related
requirements by more than one recognized organization, the losing recognized
organization means all recognized organizations from which class-related
matters are being transferred.
Outstanding means still to be
dealt with.
Overdue means overdue on the date
the losing recognized organization receives the request by the gaining
recognized organization for its current survey status class-related matters.
Recommendations and Conditions of
Class are requirements to the effect that specific measures, repairs, surveys,
etc., should be carried out within a specific time limit in order to retain the
same status with respect to class-related matters.
Class-related matters, within the
context of these Guidelines, means the responsibilities associated with
checking compliance with the design, construction and maintenance of the
structural, mechanical and electrical requirements of a classification society
which is recognized by the Administration in accordance with the provisions of
SOLAS regulation XI-1/1 or with applicable national standards of the
Administration which provide an equivalent level of safety.
1.1 Obligations and
reporting of the gaining recognized organization
1.1.1 Whenever a recognized
organization is requested by an owner to accept an existing ship as meeting its
requirements, the gaining recognized organization should immediately notify the
owner in writing that:
.1 the relevant
surveys specified in section 2.2 should be satisfactorily completed for
issuance of the classification certificate;
.2 for ships
less than 15 years of age, an interim classification certificate could be issued
only after the gaining recognized organization has completed:
.1 all overdue
surveys;
.2 all overdue
recommendations/conditions of class previously issued against the ship as
specified to the owner by the losing recognized organization;
.3 for ships 15
years of age and over, an interim classification certificate could be issued
only after the losing recognized organization has completed:
.1 all overdue
surveys and
.2 all overdue
recommendations/conditions of class previously issued against the vessel;
.4 any
outstanding recommendations/conditions of class should be dealt with by their
due dates;
.5 the
principles given in paragraphs 1.1.1.1, 1.1.1.2 and 1.1.1.3 should apply to any
additional recommendations/conditions of class issued against the ship arising
from surveys which were not included in the initial survey status of
class-related matters provided to the gaining recognized organization by the
losing recognized organization because the surveys were carried out in close
proximity to the request for transfer of class-related matters. Such additional
recommendations/conditions of class if received after the issuance of the
interim classification certificate by the gaining recognized organization and
which are overdue should be dealt with at the first port of call by the
relevant recognized organization depending on the age of the ship;
.6 copies of the
plans listed in section 3 should be provided to the gaining recognized
organization as a prerequisite to obtaining a full term classification certificate.
If the owner is unable to provide
all of the required plans, the gaining recognized organization should request
that the owner authorize the losing recognized organization to transfer copies
of such of these plans as it may possess directly to the gaining recognized
organization upon request from the gaining recognized organization.
1.1.2 Prior to issuing an interim
classification certificate the gaining recognized organization should obtain:
.1 from the
owner, a written request for transfer of class-related matters, containing an
authorization for the gaining recognized organization to obtain the current
status of class-related matters from the losing recognized organization; and
.2 the current
survey status of class-related matters from the headquarters of the losing
recognized organization or one of its designated control or management centres.
1.1.3 Within two working days of
receipt of a written request from the owner for transfer of class-related
matters at a recognized organizations headquarters or one of its designated
control or management centres, the gaining recognized organization should
notify the losing recognized organization of the requested transfer of
class-related matters and attaching the owner's authorization for release of the
survey status. If the gaining recognized organization does not receive the
survey status of class-related matters from the losing recognized organization
within three working days from request, the gaining recognized organization
might utilize the losing recognized organization's survey status information of
class-related matters provided by the owner and, after complying with the other
relevant requirements of these Guidelines, might issue an interim
classification certificate. In such cases, a statement should be included in or
with the interim classification certificate reminding the owner that the
conditions in paragraph 1.1.1 are still applicable.
1.1.4 The gaining recognized
organization should not issue an interim classification certificate, or other
documents enabling the ship to trade:
.1 until all
relevant surveys specified in section 2.2 have been satisfactorily completed;
.2 until all
overdue surveys and all overdue recommendations/conditions of class previously
issued against the subject ship as specified to the owner by the losing
recognized organization, have been completed and rectified by:
.1 the gaining
recognized organization, for ships less than 15 years of age;
.2 the losing
recognized organization, for ships 15 years of age and above;
.3 before giving
the opportunity to the flag Administration to provide any further instructions
within three working days.
1.1.5 When facilities are not
available in the first port of survey, an interim classification certificate
might be issued to allow the ship to undertake a direct voyage to a port where
facilities are available to complete the required surveys and/or rectify
overdue recommendations/conditions of class. In such cases:
.1 the surveys
specified in section 2.2 should be carried out to the maximum extent
practicable at the first port of survey, but in no case less than the scope of
surveys required in paragraphs 2.2.2.1.1 and 2.2.2.2 in cases where both
gaining and losing recognized organizations agree; and
.2 the
recognized organization completing the overdue items should inform the other
recognized organization of the decision taken, direct voyage conditions agreed
and the agreed port survey.
1.1.6 The validity of the interim
classification certificate and the subsequent classification certificate should
be subject to any outstanding recommendations/conditions of class previously
issued against the ship being completed by the due date and as specified by the
losing recognized organization. Any outstanding recommendations/conditions of
class with their due dates should be clearly stated on:
.1 the interim
classification certificate or an attachment to the interim classification
certificate, and/or survey record of class-related matters available on board;
and
.2 the survey
status of class-related matters when the full term classification certificate
is issued.
1.1.7 The gaining recognized
organization should, within one month from issuing its interim classification
certificate, advise the losing recognized organization of the date of issuing
this certificate and confirm the date, location and action taken to satisfy
each overdue survey and overdue recommendation/condition of class, if any,
issued against the subject ship as specified to the owner by the losing
recognized organization.
1.1.8 Any additional information
regarding outstanding surveys or recommendations/conditions of class received
from the losing recognized organization in accordance with paragraph 1.2.3
should be dealt with in accordance with paragraphs 1.1.4 to 1.1.6, as
applicable, and reported to the losing recognized organization within one month
from the completion of the survey. If this additional information is received
after the interim classification certificate has been issued, any surveys or
recommendations/conditions of class which are overdue should be dealt with at
the first port of call by:
.1 the gaining
recognized organization for ships less than 15 years of age; and
.2 the losing
recognized organization for ships 15 years of age or over.
1.1.9 If the conditions set out
in paragraph 1.1.8 are not fulfilled, the interim classification certificate
should be withdrawn immediately and the Administration so advised, unless the
owner agrees to proceed directly, without further trading, to a suitable port
where any overdue surveys or overdue recommendations/conditions of class should
be carried out by the relevant recognized organization based on the age of the
ship.
1.1.10 Prior to final acceptance
of class-related matters, the gaining recognized organization's obligation
should be to:
.1 carry out the
review of survey records of class-related matters of the losing recognized
organization to the extent deemed necessary but not less than those items
indicated below in order to prepare auditable documentation of this review:
.1 damages by
events and dates*;
.2 major
repairs/rectifications by dates*;
.3 conversion of
hull-dates*;
.4 major
alterations of machinery installation-dates*;
.5 condition
evaluation/hull summary report if applicable;
.6 type of cargoes
(coal, logs, aggressive bulks, chemical product, type of oil), when available;
.7 history of
recommendations/conditions of class*;
.8 thickness
measurements from last renewal survey and subsequent thickness measurements,
including areas with substantial corrosion;
.9 report of
last renewal survey and subsequent periodical reports;
.10 information
on coating condition of water ballast tanks*;
________
* As retained by the losing
recognized organization.
.11
restrictions/limitations in navigation area;
.12 optional
photos when available;
.2 advise the
losing recognized organization in writing of the anticipated date of final
acceptance of class-related matters.
1.1.11 The gaining recognized
organization may, if deemed necessary, carry out the review of survey records
of class-related matters of other recognized organizations which had previously
issued a classification certificate for the ship.
1.1.12 Within one month of the
date of final acceptance of class-related matters, the gaining recognized organization
should advise the losing recognized organization and the Administration. In
cases where the losing recognized organization has reported
recommendations/conditions of class on the ship, the gaining recognized
organization should provide the losing recognized organization with an itemized
list of actions taken with the date and location and actions to be taken, to
satisfy each recommendation/condition of class.
1.1.13 The reporting by the
gaining recognized organization to the losing recognized organization required
in paragraphs 1.1.7 to 1.1.9 and 1.1.12 should be done in accordance with the
harmonization of reporting as contained in the appendix.
1.2 Obligations and reporting of the losing
recognized organization
1.2.1 If an owner advises the
losing recognized organization of an intention to transfer class-related
matters, the losing recognized organization should immediately confirm to the
owner any overdue surveys and outstanding recommendations/conditions of class.
1.2.2 The losing recognized
organization should:
.1 within two
working days of receipt of a written request, at its headquarters or one of its
designated control or management centres, notify the gaining recognized
organization of the latest details of class-related matters in its possession including a full list of overdue surveys
and recommendations/conditions of class — with the respective due dates —
issued against the subject ship.
In cases where the status of
class-related matters is received in a language not readily understood by the
gaining recognized organization or contains vague or unclear descriptions, the
losing recognized organization should provide additional detailed information
on request of the gaining recognized organization. The losing recognized
organization should advise the gaining recognized organization of the
possibility of further recommendations/conditions of class arising from surveys
which the losing recognized organization knows have been carried out but for
which reports have not yet been received;
.2 make
available, within one month of the receipt of the request referred to in
paragraph 1.2.2.1, all survey records class-related matters to the gaining
recognized organization for record review and relevant reporting, to the extent
this information is in the possession of the losing recognized organization, to
enable the gaining recognized organization to prepare auditable documentation,
in accordance with paragraph 1.1.10;
.3 alternatively
to the requirements in paragraph 1.2.2.2, upon request, provide the gaining
recognized organization, within one month of the receipt of the request
referred to in paragraph 1.2.2.1, a copy of all the survey records of
class-related matters, to enable it to prepare auditable documentation, in
accordance with paragraph 1.1.10. These survey records should be transferred
electronically if electronic files are available; and
.4 submit,
within one month of the receipt of the request referred to in paragraph
1.2.2.1, any auditable documentation regarding class-related items (see
paragraph 1.1.10.1) available from prior transfers of class-related matters
performed after 1 July 2001.
1.2.3 The losing recognized
organization would have one month from issuance of its survey status of
class-related matters to the gaining recognized organization as per paragraph
1.2.2 to forward to the gaining recognized organization:
.1 the
additional information on outstanding surveys and/or recommendations/conditions
of class arising from surveys performed proximate to the date of the owner's
written request for transfer of class-related matters which were not included
in the said status; and
.2 the
structural diminution allowances which were applicable to the ship.
1.2.4 In order to ensure mutual
exchange of information on ships transferring class-related matters and on the
survey status of such ships, the losing recognized organization should, on
completion of a withdrawal of the classification certificate, notify the
gaining recognized organization.
1.2.5 Should the losing
recognized organization, upon receiving information from the gaining recognized
organization, pursuant to the disposition of the transfer of class-related
matters, have clear grounds for believing that the gaining recognized
organization did not fulfil its obligations as specified in section 1.1, the
losing recognized organization should notify the gaining recognized
organization and the Administration of its concerns and attempt to resolve any
differences with the gaining recognized organization.
1.3.1 The obligations of the
gaining and losing recognized organizations should continue to apply when a
ship's classification certificate is suspended and for six months following
withdrawal of a ship's classification certificate.
1.3.2 Any differences, which
could not be settled between the gaining and losing recognized organizations,
should be brought to the attention of the Administration for final resolution.
1.3.3 Recognized organizations,
which may have issued classification certificates for the ship prior to the
losing recognized organization, should have the same obligations contained in
paragraph 1.2.2.2 or 1.2.2.3 as the obligations of the losing recognized
organization, if so requested by the gaining recognized organization, in
accordance with paragraph 1.1.11.
2.1.1 The gaining recognized
organization should request copies of plans showing the main scantlings and
arrangements of the actual ship and machinery, together with any proposals for
alterations being dealt with, from the owner. Receipt of plans listed in
section 3, or equivalent, alternative technical data in lieu of specific plans
or items, should be identified to the owner as a prerequisite to the issuance
of a full term classification certificate by the gaining recognized
organization.
2.1.2 However, having made a good
faith effort to obtain the information, if it proves not practicable to acquire
certain plans as listed in section 3, or equivalent, alternative technical
data, the gaining recognized organization might issue the full term
classification certificate provided that its records of class-related matters
document that the ship is being accepted under its requirements for
class-related matters on the basis of a recorded internal review of the
circumstances prevailing with respect to availability of plans.
2.1.3 Upon receiving the
requested plans and documents, the gaining recognized organization should,
prior to issuing the full term classification certificate, review the submitted
plans and documents and deal with the result of the review appropriately.
2.2.1 A survey of the scope of a
renewal or initial survey, as appropriate, should be carried out by the gaining
recognized organization. However, where both losing and gaining recognized
organizations are in agreement, the above scope of survey might be modified as
per paragraph 2.2.2.
2.2.2 Notwithstanding the records
indicating that all surveys are up to date, a survey should be held by the
gaining recognized organization, the extent of which should be based on the age
of the