Certificates & Surveys by Capt. Kyaw Mya Oo

Certificates & Survey
Ship Master’s Business
Compiled by
Capt. Kyaw Mya Oo B.Sc.(DSA)
Master Mariner
SHIP’S CERTIFICATES AND SURVEY
HISTORY
The United Nations Convention on the Law of the Sea, 1982 (UNCLOS) establishes the general rights and
obligations of the flag State.
Of all international conventions adopted by United Nations dealing with maritime safety, the most
important is the International Convention for the Safety of Life at Sea (SOLAS).
It is also one of the oldest, the first version having been adopted at a conference held in London in 1914.
Since then there have been four other SOLAS conventions: the second was adopted in 1929 and entered
into force in 1933; the third was adopted in 1948 and entered into force in 1952; the fourth was
adopted (under the auspices of IMO) in 1960 and entered into force in 1965; and the present version
was adopted in 1974 and entered into force in 1980.
The SOLAS conventions have all covered many aspects of safety at sea. The 1914 version, for example,
included chapters on safety of navigation, construction, radiotelegraphy, life-saving appliances and fire
protection. These subjects are still dealt with in separate chapters in the 1974 version.
The incident which led to the convening of the 1914 international SOLAS conference was the sinking of
the White Star liner Titanic on her maiden voyage in April 1912. More than 1,500 passengers and crew
died and the disaster raised so many questions about the safety standards in force that the United
Kingdom Government proposed holding a conference to develop international regulations. The
Conference was attended by representatives of 13 countries and the SOLAS Convention which resulted
was adopted on 20 January 1914.
Within the United Nations two specialised agencies deal with maritime affairs, the International
Maritime Organization (IMO) and the International Labour Organization (ILO), and they have a
responsibility for devising and developing conventions and guidelines under which ships can be
regulated. In general, matters concerning safety at sea, pollution prevention and the training of
seafarers are dealt with by IMO, whereas the ILO deals with matters concerning working and living
conditions at sea. While IMO and ILO set the international regulatory framework for ships, each member
State bears the responsibility for enforcing the international conventions it has ratified on the ships
flying its flag.
The international conventions developed by IMO form the main framework of safety, training and
pollution prevention regulation (SOLAS, MARPOL, STCW, ISM, ISPS), with Tonnage Measurement and
Load Line conventions being the key regulations. These are supported by classification rules that largely
focus on the structure of the ship, including the materials used in its construction, the size of scantlings
and essential engineering systems like the main engine. Classification and convention requirements can
be inter-related. The issuing of Load Line and Cargo Ship Safety Construction certificates would require,
for example, the ship to be built and maintained to class rules.
Evidence that convention standards and classification rules have been met is generally provided by the
presence on board of valid certificates. To ensure that a ship meets and then subsequently maintains
convention standards, a flag State needs to have in place arrangements for ensuring that its ships are
periodically surveyed and re-certified. This responsibility applies regardless of whether a flag State
carries out its own surveys using its own surveyors or, authorises a Recognized Organisation (RO) to
conduct surveys and issue international certificates on its behalf.
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The member societies of the International Association of Classification Societies (IACS) meet the
minimum standards required of an RO. In many cases therefore, it would be a class surveyor who
undertakes all the certification work on board ship.
CLASSIFICATION SOCIETIES
In the second half of the 18th century, London merchants, shipowners, and captains often gathered at
Edward Lloyds’ coffee house to gossip and make deals including sharing the risks and rewards of
individual voyages. This became known as underwriting after
the practice of signing one's name to the bottom of a document
pledging to make good a portion of the losses if the ship didn’t
make it in return for a portion of the profits. It did not take long
to realize that the underwriters needed a way of assessing the
quality of the ships that they were being asked to insure. In
1760, the Register Society was formed — the first classification
society and which would subsequently become Lloyd's Register
— to publish an annual register of ships. This publication
attempted to classify the condition of the ship’s hull and
equipment. At that time, an attempt was made to classify the
condition of each ship on an annual basis. The condition of the hull was classified A, E, I, O or U,
according to the state of its construction and its adjudged continuing soundness (or lack thereof).
Equipment was G, M, or B: simply, good, middling or bad. In time, G, M and B were replaced by 1, 2 and
3, which is the origin of the well-known expression 'A1', meaning 'first or highest class'. The purpose of
this system was not to assess safety, fitness for purpose or seaworthiness of the ship. It was to evaluate
risk.
The first edition of the Register of Ships was published by Lloyd's Register in 1764 and was for use in the
years 1764 to 1766.
Bureau Veritas (BV) was founded in Antwerp in 1828, moving to Paris in 1832. Lloyd's Register
reconstituted in 1834 to become 'Lloyd's Register of British and Foreign Shipping'. Where previously
surveys had been undertaken by retired sea captains, from this time surveyors started to be employed
and Lloyd's Register formed a General Committee for the running of the Society and for the Rules
regarding ship construction and maintenance, which began to be published from this time.
In 1834, the Register Society published the first Rules for the survey and classification of vessels, and
changed its name to Lloyds Register of Shipping. A full time bureaucracy of surveyors (inspectors) and
support people was put in place. Similar developments were taking place in the other major maritime
nations.
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. Then after RINA was founded in Genoa, Italy
in 1861 under the name Registro Italiano, to meet the needs of Italian maritime operators. Six years
later Germanischer Lloyd (GL) was formed in 1867 and Nippon Kaiji Kyokai (ClassNK) in 1899. The
Russian Maritime Register of Shipping (RS) was an early offshoot of the River Register of 1913.
As the classification profession evolved, the practice of assigning different classifications has been
superseded, with some exceptions. Today a ship either meets the relevant class society’s rules or it does
not.
Today there are a number of classification societies, the largest of which are Det Norske Veritas, Lloyd's
Register, Germanischer Lloyd, Nippon Kaiji Kyokai, RINA and the American Bureau of Shipping.
Classification societies employ ship surveyors, material engineers, piping engineers, mechanical
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engineers, chemical engineers and electrical engineers, often located at ports and office buildings
around the world.
Marine vessels and structures are classified according to the soundness of their structure and design for
the purpose of the vessel. The classification rules are designed to ensure an acceptable degree of
stability, safety, environmental impact, etc.
All nations require that ships and other marine structures flying their flag meet certain standards; in
most cases these standards are deemed to be met if the ship has the relevant certificate from a member
of the IACS or EMSA. Certificates issued by the classification society on behalf of the flag country are also
required for pumps, engines, and other equipment vital to the ship's function. Equipment under certain
sizes is usually excluded from these certificate requirements.
As a consequence it is either 'in' or 'out' of 'class'. Classification societies do not issue statements or
certifications that a vessel is 'fit to sail' or 'unfit to sail', merely that the vessel is in compliance with the
required codes. This is in part related to legal liability of the classification society.
In particular, classification societies may be authorised to inspect ships, oil rigs, submarines, and other
marine structures and issue certificates on behalf of the state under whose flag the ships are registered.
As well as providing classification and certification services, the larger societies also conduct research at
their own research facilities in order to improve the effectiveness of their rules and to investigate the
safety of new innovations in shipbuilding.
There are more than 50 marine classification organizations worldwide, some of which are listed below.
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However, 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 criteria that may be either specific to
that vessel type or that are in excess of the standard classification requirements. See Ice class as an
example.
The International Association of Classification Societies, IACS, was formally established in 1968 with
three main purposes:
1. To promote improvement of standards of safety at sea and prevention of pollution of the
marine environment;
2. To consult and cooperate with relevant international and maritime organizations;
3. To maintain close cooperation with the world’s maritime industries.
Main activities of IACS

Classification & Statutory Works
International Maritime Organization (IMO)
International Safety Management (ISM Code)
International Ship and Port Security Code (ISPS Code)
Port State Control (PSC)
Transfer of Class Agreement (TOCA)
Enhanced Survey Programmes (ESP)
Unified Requirement (UR)
LIST OF CERTIFICATES
− Certificate of Nationality (the ship's register)
− lnternational Tonnage Certificate
− (Panama and Suez Canal Tonnage Certificates)
− lnternational Load Line Certificate (1966)
− Passenger Ship Safety Certificate
− Cargo Ship Safety Construction Certificate
− Cargo Ship Safety Equipment Certificate - Cargo Ship Safety Radiotelegraph Certificate
− Cargo Ship Safety Radiotelephony Certificate
− lnternational Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk
− lnternational Certificate of Fitness for the Carriage of Liquefied Gases in Bulk
− lnternational Oil Pollution Prevention Certificate
− lnternational Pollution Prevention Certificate for the Carriage of Noxious Liquid Substances in
Bulk
− lnternational Sewage Pollution Prevention Certificate (1973)
− Certificate of financial security required under the lnternational Convention on Civil Liability for
Oil Pollution Damage, 1969
− Special Trade Passenger Ship Safety Certificate
− -Special Trade Passenger Ship Space Certificate
− Exemption certificates, where applicable
− register of, and certificates for, cargo-handling appliances
− licence (s) for the ship radio station - INMARSAT access authorization certificate
− Classification Society Certificates for Hull and Machinery, and where appropriate, Refrigerating
Machinery and Cargo-handling Appliances
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− Anchor and Chain Cable Certificate
− Inflatable Liferaft Inspection Certificates
− Stability, Loading and Ballasting Information
− Damage Control Plan and Booklets - Document of Authorization for Grain Loading
− Oil Record Book
− Official Log-book; Deck, Engine-room and Radio Log-books
− Articles of Agreement with the Crew
− Seamen's Discharge Books
− Certificates for Competency of Officers and Ratings
− Minimum Safe Manning Document
− Safety Management Certificate
− copy of the owner's or manager's Document of Compliance
Lists as minimum additional documents required at arrival or departure:

− Last Port Clearance
− general declaration
− cargo declaration - dangerous goods manifest or plan
− ship's stores declaration
− crew's effects declaration
− crew list
− passenger list
− Deratting or Deratting Exemption Certificate/SSCEC
− Maritime Declaration of Health
Trading Certificates
Registration Certificate (Registry)
International Tonnage Certificate (1969)
Certificate of Classification
International Ship Security Certificate (ISSC)
Safety Management Certificate and Document of Compliance
Ship Sanitary Control/Exemption Certificate SSCEC
Statutory Certificates
Certificates issue under SOLAS, MARPOL, the Load Line Convention and the Gas and Chemical Tanker
Codes, as follows:
Passenger Ship Safety Certificate;
Cargo Ship Safety Construction Certificate;
Cargo Ship Safety Equipment Certificate;
Cargo Ship Safety Radio Certificate;
International Oil Pollution Prevention Certificate;
International Noxious Liquid Substances Prevention Certificate;
International Load Line Certificate;
International Certificate of Fitness for the Carriage of Liquefied Gases in Bulk; and
International Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk.
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SOLAS 74 Chapter I Regulation 6 - Inspection and survey
Regulation 6
Inspection and survey
a) The inspection and survey of ships, so far as regards the enforcement of the provisions of the
present regulations and the granting of exemptions there from, shall be carried out by officers of
the Administration. The Administration may, however, entrust the inspections and surveys either
to surveyors nominated for the purpose or to organizations recognized by it.
b) An Administration nominating surveyors or recognizing organizations to conduct inspections and
surveys as set forth in paragraph (a) shall as a minimum empower any nominated surveyor or
recognized organization to:
i. require repairs to a ship;
ii. carry out inspections and surveys if requested by the appropriate authorities of a port
State.
The Administration shall notify the Organization of the specific responsibilities and conditions of
the authority delegated to nominated surveyors or recognized organizations.
c) When a nominated surveyor or recognized organization determines that the condition of the ship
or its equipment does not correspond substantially with the particulars of the certificate or is such
that the ship is not fit to proceed to sea without danger to the ship, or persons on board, such
surveyor or organization shall immediately ensure that corrective action is taken and shall in due
course notify the Administration. If such corrective action is not taken the relevant certificate
should be withdrawn and the Administration shall be notified immediately; and, if the ship is in
the port of another Party, the appropriate authorities of the port State shall also be notified
immediately. When an officer of the Administration, a nominated surveyor or a recognized
organization has notified the appropriate authorities of the port State, the Government of the port
State concerned shall give such officer, surveyor or organization any necessary assistance to carry
out their obligations under this regulation. When applicable, the Government of the port State
concerned shall ensure that the ship shall not sail until it can proceed to sea, or leave port for the
purpose of proceeding to the appropriate repair yard, without danger to the ship or persons on
board.
d) In every case, the Administration shall fully guarantee the completeness and efficiency of the
inspection and survey, and shall undertake to ensure the necessary arrangements to satisfy this
obligation.
“Ships to which SOLAS applies, shall comply with the technical standards, contained in the annex. In
order to ensure that at all times a ship meets these standards, the ship is subjected to various surveys
and inspections, and these are carried out by duly authorized officers of the maritime administration of
the Flag State or by the surveyors or organizations nominated or recognized by the Flag State
Administration. In all cases, the relevant maritime administration guarantees the completeness and
efficiency of the surveys and inspections.”
Certificates and Other Documents Required to be Carried on Board Ships by International Conventions
and Agreements
The master must be familiar with all the certificates and other documents required by the vessel and by
the crew. These will be subject to inspection by both the flag state and by port State control officers.
Documents found not to be in order can cause delays on detentions to the voyage.
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Relatively-new requirements include the Safety Management Certificate denoting that the company and
its shipboard management operate in accordance with the approved safety management system. A copy
of the Document of compliance shall also be kept on board the ship in order that the master can
produce it for verification.
SHIP’S CERTIFICATES
1. REGISTRATION CERTIFICATE (CERTIFICATE OF REGISTRY)
UNCLOS PROVISIONS RELATING TO SHIPS’ FLAG AND NATIONALITY
• Every State, whether coastal or land-locked, has the right to have ships flying its flag on
the high seas (Article 90).
• Every State must fix the conditions for the grant of its nationality to ships, for the
registration of ships in its territory, and for the right to fly its flag (Article 91).
• Ships have the nationality of the State whose flag they are entitled to fly (Article 91).
• There must be a genuine link between the State and the ship (Article 91).
• Every State must issue to ships to which it has granted the right to fly its flag documents
to that effect (Article 91).
• Ships must sail under the flag of one State only and, save in exceptional cases expressly
provided for in international treaties and UNCLOS, must be subject to its exclusive
jurisdiction on the high seas (Article 92).
• A ship may not change its flag during a voyage or while in a port of call, save in the case
of a real transfer of ownership or change of registry (Article 92).
• A ship which sails under the flags of two or more States, using them according to
convenience, may not claim any of the nationalities in question with respect to any
other State, and may be regarded as similar to a ship without nationality (Article 92).
A certificate of nationality, often called the ship's register, is required by the Geneva Convention on the
High Seas, 1958, and by the UNCLOS, 1982. 'The form of certificate and the conditions for its issue are
determined by each national government. In some cases it remains valid until the ship is scrapped or
changes ownership or nationality, in others it is subject to regular renewal.
Registration of a ship -
o establishes the ship’s nationality, measurements and tonnage for identification
purposes;
o provides documentary evidence of ownership (in the register, not on the Certificate of
Registry);
o allows the ship to operate commercially (since clearance from ports normally requires
production of a Certificate of Registry to prove nationality);
o grants recognition as a vessel of the flag State and enjoyment of the normal privileges
accorded to vessels of that State, e.g. consular assistance in foreign ports and the
protection of the flag State’s armed forces.
o able to use the vessel as security for a marine mortgage. Most finance companies prefer
the security of having their mortgage on a ship registered so that their claim against the
ship is clear.
o facilitates ship purchase, sale and mortgaging (since proof of title is shown to a buyer or
lender by the details on the register, and registration is usually a pre-requisite for
mortgaging a ship).
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Additional benefits of “flag of convenience” (FOC) registration
* An FOC register may offer any or all of the following:
• freedom to employ foreign nationals as master, officers and/or crew;
• low taxes on company earnings;
• low registry fees;
• low statutory survey fees;
• limitation of owner’s liability;
• relaxed or non-existent foreign exchange controls on owners’ earnings;
• non-restrictive ownership qualifications allowing a foreign company or foreign national
to register there;
• freedom to raise a loan by mortgaging the ship; and/or
• benefits from bilateral or multilateral agreements on trade, cargo sharing, port entry or
taxation.
The advent of open registers, or flags of convenience, has led to competition between classification
societies and to a relaxation of their standards.
The first open register was Panama in 1916. Fear for political instability and high and excessive consular
fees led the president of Liberia, William Tubman, in 1948 to start an open register with the help of
Edward Stettinius, Jr.. The World Peace of Stavros Niarchos was the first ship in that register. In 1967
Liberia passed the United Kingdom as the largest register. Nowadays, Panama, currently the largest
register, and Liberia have one third of the world fleet under their flag.
Flags of convenience have lower standards for vessel, equipment, and crew than traditional maritime
countries and often have classification societies certify and inspect the vessels in their registry, instead
of by their own shipping authority. This made it attractive for ship owners to change flag, whereby the
ship lost the economic link and the country of registry. With this, also the link between classification
society and traditional maritime country became less obvious - for instance Lloyd's with the United
Kingdom and ABS with the United States. This made it easier to change class and introduced a new
phenomenon; class hopping. A ship owner that is dissatisfied with class can change to a different class
relatively easily. This has led to more competition between classes and a relaxation of the standards. In
July of 1960, Lloyds Register published a new set of rules. Not only were scantlings relaxed, but the
restrictions on tank size were just about eliminated. The other classification Societies quickly followed
suit. This has led to the shipping industry losing confidence in the classification societies, and also to
similar concerns by the European Commission.
To counteract class hopping, the IACS has established TOCA (Transfer of Class Agreement).
In 1978, a number of European countries agreed in The Hague on memorandum that agreed to audit
whether the labour conditions on board vessels were according the rules of the ILO. After the Amoco
Cadiz sank that year, it was decided to also audit on safety and pollution. To this end, in 1982 the Paris
Memorandum of Understanding (Paris MoU) was agreed upon, establishing Port State Control,
nowadays 24 European countries and Canada. In practice, this was a reaction on the failure of the flag
states - especially flags of convenience that have delegated their task to classification societies - to
comply with their inspection duties.
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2. THE INTERNATIONAL TONNAGE CERTIFICATE 1969
The International Tonnage Certificate is issued by the Flag State in accordance with The International
Tonnage Convention 1969 which was aimed at achieving a unified system of tonnage measurement
which would be relatively simple to apply with none of the anomalies existing in the various systems
employed previously in Convention countries. A ship must be measured by a surveyor appointed by a
Certifying Authority or an authorized classification society prior issuance of the certificate.
It provides more meaningful tonnage figures than those derived from earlier systems.
It does not involve any special tonnage units (such as “tons”, “gross tons” or “net tons”), with the
consequence that the values obtained are simply a “gross tonnage” and a “net tonnage” (without units).
It requires that ships of Convention countries are issued with an International Tonnage Certificate
(1969) certifying their gross and net tonnages as measured under the 1969 system.
It was brought into full effect from the date of build of ships built since July 1982, while older vessels
were given a further 12 years, i.e. until 17 July 1994, in which to obtain an International Tonnage
Certificate (which required older ships to be re-measured for tonnage).
Under the 1969 tonnage measurement system -

every ship is assigned a gross tonnage and a net tonnage.
single-deck ships, such as tankers and bulk carriers, had their gross and net tonnages largely
unchanged on re-measurement. The most significant effect was in ships such as ro-ro ferries,
many of which had their tonnages considerably increased.
there is no longer any need for such phrases as “tonnage deck”, “deducted spaces”, “exempted
spaces”, “alternative tonnage”, “modified tonnage” or “tonnage mark”, since these are not used
in the 1969 Convention.
Gross tonnage -
is expressed as a whole number, without any unit, e.g. “Gross tonnage: 8756”.
is a realistic indication of the ship’s size based on the moulded volume of the entire ship (hull
plus erections and all enclosed spaces) without deductions, exemptions or special allowances.
is used mainly in the compilation of statistics.
Net tonnage -
is expressed as a whole number, without any unit, e.g. “Net tonnage: 3367”.
is a general indication of the ship’s earning capacity, derived from a formula based on the
moulded volume of the cargo spaces, the number of passengers carried, the moulded depth of
the ship and the summer draught.
is used by many authorities as the basis for charging dues, e.g. light dues, port charges and canal
dues.
Where alterations are made in the arrangement, construction, capacity, use of spaces, total number of
passengers the ship is permitted to carry under the terms of the ship’s passenger certificate, assigned
load line, or permitted draught such as would cause an increase in the gross or net tonnage, the existing
International Tonnage Certificate (1969) will cease to be valid and must be delivered up to and cancelled
by the Certifying Authority.
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2A. THE PANAMA AND SUEZ CANAL TONNAGE CERTIFICATES
The Panama and Suez Canal Tonnage Certificates are included for completeness; they are not required
by international conventions. Any ship wishing to traverse either canal must be measured and obtain
the appropriate certificate before doing so. In general, they remain valid until alterations to the ship's
structure or in the use of spaces are made.
3. CERTIFICATE OF CLASS
A Certificate of Class is a document issued by a classification society certifying the structural and
mechanical fitness of a ship for a particular use or service in accordance with the rules and regulations
laid down and made public by that society.
There are no international agreements requiring a ship to be classed by a classification society, but
practically all ships are. Loss of class would be an indication to a port State control officer that a
thorough inspection of the ship should be made. Maintenance of class is a condition for the continuance
of insurance in many cases.
* A valid Certificate of Class may be a requirement of:
• a Hull and Machinery insurer, for a ship being insured;
• a P&I club, for an entered ship;
• a cargo insurer, for the carrying ship;
• the flag State Administration, for ship registration purposes;
• a port authority or customs administration, for port clearance purposes.
MAINTENANCE OF CLASS
Maintenance of class depends on the programme of periodical hull and machinery surveys being carried
out within stipulated periods. Survey programmes consist chiefly of special, annual and intermediate
surveys.
Special surveys of the hull are carried out at 5 yearly intervals in order to establish the condition of the
hull structure to confirm that the structural integrity is satisfactory in accordance with the classification
requirements, and will remain fit for its intended purpose until the next special survey, subject to proper
maintenance and operation. Special surveys are also intended to detect possible damages and to
establish the extent of any deterioration. Special surveys of machinery are carried out at the same
intervals and have corresponding aims. Following satisfactory completion of special surveys (as reported
by Class surveyors), a new Certificate of Class is issued by the society.
Annual surveys must be carried out within 3 months before or after each anniversary date of the
completion commissioning or special survey in order to confirm that the general condition of the vessel
is maintained at a satisfactory level. Following satisfactory completion of an annual survey, the
Certificate of Class is endorsed by the Class surveyor.
Intermediate surveys are carried out on all ships instead of either the second or third Annual Survey.
Following satisfactory completion of an intermediate survey, the Certificate of Class is endorsed by the
Class surveyor.
Docking surveys are carried out by arrangement with the owner. Ships under 15 years old must be
examined in drydock twice in any 5 year period; not more than 3 years may elapse between dockings.
Ships 15 or more years old must be examined in drydock at 2-yearly intervals with extension to 2.5 years
when a suitable high-resistance paint is applied to the underwater portion of the hull.
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Continuous surveys of the hull are permitted on all ships other than bulk carriers, combination carriers
and oil tankers, which are now subject to enhanced surveys. All hull compartments are to be opened up
for survey and testing in rotation with a 5-year interval between examinations of each part.
Complete surveys of machinery (CSM) are carried out every 5 years, with parallel arrangements as for
the hull.
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Chief engineer’s examinations of machinery may be made where the society agrees to some items of
the machinery being examined by the ship’s chief engineer at ports where the society is not
represented, or, where practicable, at sea. A limited confirmatory survey is carried out at the next port
where a society surveyor is available. Where an approved planned maintenance system operates,
confirmatory surveys may be held at annual intervals.
In-water Surveys may be accepted in lieu of any one of the two Docking Surveys required every 5 years
on ships less than 15 years old and are to provide the information normally obtained from Docking
Surveys, so far as practicable. The beam must be greater than 30m (or as agreed), and a suitable high-
resistance paint must have been applied to the underwater portion of the hull.
Inert gas systems must be surveyed annually. In addition, on ships to which an IGS notation has been
assigned, a special survey of the IG plant must be carried out every 5 years.
• Following satisfactory completion of any periodical survey, the Class surveyor will issue an Interim
Certificate of Class to the ship and send his survey report to the society with his recommendation
that class be maintained with new records as shown on the Interim Certificate.
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TITANIC DISASTER
Titanic Disaster, one of the worst maritime disasters in history. The luxury liner Titanic (46,000 gross
tons) on its maiden voyage from Southampton to New York City struck an iceberg about 153 km (about
95 mi) south of the Grand Banks off Newfoundland just before midnight on April 14, 1912. Of the more
than 2,220 persons aboard, about 1,513 died. Subsequent investigations found that the ship had been
steaming too fast in dangerous waters, that the captain had ignored radio transmissions warning of ice,
that lifeboat space had been provided for only about half of the passengers and crew, and that the
Californian, close to the scene, had not come to the rescue because its radio operator was off duty and
asleep.
Many treaties and conventions have been adopted over the years with the objective of increasing the
safety of life at sea. One of the most important agreements provided for the establishment of the
International Iceberg Patrol in 1913, after the Titanic disaster. The first version of the SOLAS treaty was
passed in 1914 in response to the sinking of the RMS Titanic. It prescribed numbers of lifeboats and other
emergency equipment along with safety procedures, including continuous radio watches.
Newer versions were adopted in 1929, 1948, 1960, and 1974.
Under the International Load-Line Convention of 1930, ship loading was regulated on the basis of size,
cargo, and route of the vessel. The International Convention for the Safety of Life at Sea, which governs
ship construction, was ratified by most maritime nations in 1936, and updated in 1948, and again in 1960
and 1974.
The intention had been to keep the convention up to date by periodic amendments, but the procedure to
incorporate the amendments proved to be very slow: it could take several years for the amendments to be
put into action since countries had to give notice of acceptance to IMO and there was a minimum
threshold of countries and tonnage.
As a result, a complete new convention was adopted in 1974 which includes all the agreements and
acceptant procedures. Even the Convention was updated and amended on numerous times, the
Convention in force today is sometimes referred as SOLAS, 1974.

SOLAS
The International Convention for the Safety of Life at Sea (SOLAS), 1974, requires flag States to ensure
that their ships comply with minimum safety standards in construction, equipment and operation. It
includes articles setting out general obligations, etcetera, followed by an annex divided into twelve
chapters. Of these, chapter five (often called 'SOLAS V') is the only one that applies to all vessels on the
sea, including private yachts and small craft on local trips as well as to commercial vessels on
international passages. Many countries have turned these international requirements into national laws so
that anybody on the sea who is in breach of SOLAS V requirements may find themselves subject to legal
proceedings.
Chapter I – General Provisions

Surveying the various types of ships and certifying that they meet the requirements of the convention.
Chapter II-1 – Construction – Subdivision and stability, machinery and electrical installations
The subdivision of passenger ships into watertight compartments so that after damage to its hull, a
vessel will remain afloat and stable.
Chapter II-2 – Fire protection, fire detection and fire extinction
Fire safety provisions for all ships with detailed measures for passenger ships, cargo ships and tankers.
Chapter III – Life-saving appliances and arrangements
Life-saving appliances and arrangements, including requirements for life boats, rescue boats and life
jackets according to type of ship.
Chapter IV – Radiocommunications
The Global Maritime Distress Safety System (GMDSS) requires passenger and cargo ships on
international voyages to carry radio equipment, including satellite Emergency Position Indicating Radio
Beacons (EPIRBs) and Search and Rescue Transponders (SARTs).
Chapter V – Safety of navigation
This chapter requires governments to ensure that all vessels are sufficiently and efficiently manned
from a safety point of view. It places requirements on all vessels regarding voyage and passage planning,
expecting a careful assessment of any proposed voyages by all who put to sea. Every mariner must take
account of all potential dangers to navigation, weather forecasts, tidal predictions, the competence of the
crew, and all other relevant factors. It also adds an obligation for all vessels' masters to offer assistance to
those in distress and controls the use of lifesaving signals with specific requirements regarding danger and
distress messages. It is different to the other chapters, which apply to certain classes of commercial
shipping, in that these requirements apply to all vessels and their crews, including yachts and private
craft, on all voyages and trips including local ones.
Chapter VI – Carriage of Cargoes
Requirements for the stowage and securing of all types of cargo and cargo containers except liquids
and gases in bulk.
Chapter VII – Carriage of dangerous goods
Requires the carriage of all kinds of dangerous goods to be in compliance with the International
Maritime Dangerous Goods Code (IMDG Code).
Chapter VIII – Nuclear ships
Nuclear powered ships are required, particularly concerning radiation hazards, to conform to the Code
of Safety for Nuclear Merchant Ships.

Chapter IX – Management for the Safe Operation of Ships
Requires every shipowner and any person or company that has assumed responsibility for a ship to
comply with the International Safety Management Code (ISM).
Chapter X – Safety measures for high-speed craft
Makes mandatory the International Code of Safety for High-Speed Craft (HSC Code).
Chapter XI-1 – Special measures to enhance maritime safety
Requirements relating to organisations responsible for carrying out surveys and inspections, enhanced
surveys, the ship identification number scheme, and operational requirements.
Chapter XI-2 – Special measures to enhance maritime security
Includes the International Ship and Port Facility Security Code (ISPS Code). Confirms that the role of
the Master in maintaining the security of the ship is not, and cannot be, constrained by the Company, the
charterer or any other person. Port facilities must carry out security assessments and develop, implement
and review port facility security plans. Controls the delay, detention, restriction, or expulsion of a ship
from a port. Requires that ships must have a ship security alert system, as well as detailing other measures
and requirements.
Chapter XII – Additional safety measures for bulk carriers
Specific structural requirements for bulk carriers over 150 metres in length.
EXAMPTED VESSELS AS PER SOLAS (Reg 3)
i. Ships of war and troopships.

ii. Cargo ships of less than 500 gross tonnage.
iii. Ships not propelled by mechanical means.
iv. Wooden ships of primitive build.
v. Pleasure yachts not engaged in trade.
vi. Fishing vessels.


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ĐĞƌƚŝĨŝĐĂƚĞĐĂůůĞĚĂWĂƐƐĞŶŐĞƌ^ŚŝƉ^ĂĨĞƚǇĞƌƚŝĨŝĐĂƚĞƐŚĂůůďĞŝƐƐƵĞĚĂĨƚĞƌĂŶŝŶŝƚŝĂůŽƌƌĞŶĞǁĂůƐƵƌǀĞǇƚŽ
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ϱ͘Z'K^,/W^&dzKE^dZhd/KEZd/&/d

ĐĞƌƚŝĨŝĐĂƚĞĐĂůůĞĚĂĂƌŐŽ^ŚŝƉ^ĂĨĞƚǇŽŶƐƚƌƵĐƚŝŽŶĞƌƚŝĨŝĐĂƚĞƐŚĂůůďĞŝƐƐƵĞĚĂĨƚĞƌƐƵƌǀĞǇƚŽĂ ĐĂƌŐŽ
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ŽƚŚĞƌƚŚĂŶƚŚŽƐĞƌĞůĂƚŝŶŐƚŽĨŝƌĞͲĞǆƚŝŶŐƵŝƐŚŝŶŐĂƉƉůŝĂŶĐĞƐĂŶĚĨŝƌĞĐŽŶƚƌŽůƉůĂŶƐ͘

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ƐƵďũĞĐƚƚŽƚŚĞƐƵƌǀĞǇƐĂŶĚŝŶƐƉĞĐƚŝŽŶƐƐƉĞĐŝĨŝĞĚďĞůŽǁ͗
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ŝŶƐĞƌǀŝĐĞ͖
ŝŝ͘ ĂƌĞŶĞǁĂůƐƵƌǀĞǇĂƚŝŶƚĞƌǀĂůƐƐƉĞĐŝĨŝĞĚďǇƚŚĞĚŵŝŶŝƐƚƌĂƚŝŽŶďƵƚŶŽƚĞǆĐĞĞĚŝŶŐϱǇĞĂƌƐ
ŝŝŝ͘ ĂŶŝŶƚĞƌŵĞĚŝĂƚĞƐƵƌǀĞǇǁŝƚŚŝŶƚŚƌĞĞŵŽŶƚŚƐďĞĨŽƌĞŽƌĂĨƚĞƌƚŚĞƐĞĐŽŶĚĂŶŶŝǀĞƌƐĂƌǇĚĂƚĞŽƌǁŝƚŚŝŶ
ƚŚƌĞĞ ŵŽŶƚŚƐ ďĞĨŽƌĞ Žƌ ĂĨƚĞƌ ƚŚĞ ƚŚŝƌĚ ĂŶŶŝǀĞƌƐĂƌǇ ĚĂƚĞ ŽĨ ƚŚĞ ĂƌŐŽ ^ŚŝƉ ^ĂĨĞƚǇ ŽŶƐƚƌƵĐƚŝŽŶ
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ǀ͘ ĂŵŝŶŝŵƵŵŽĨƚǁŽŝŶƐƉĞĐƚŝŽŶƐŽĨƚŚĞŽƵƚƐŝĚĞŽĨƚŚĞƐŚŝƉΖƐďŽƚƚŽŵĚƵƌŝŶŐĂŶǇĨŝǀĞǇĞĂƌƉĞƌŝŽĚĂŶĚ
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ǀŝ͘ ĂŶĂĚĚŝƚŝŽŶĂůƐƵƌǀĞǇĨŽƌƌĞƉĂŝƌĂŶĚĚĂŵĂŐĞ͘

ϲ͘Z'K^,/W^&dzYh/WDEdZd/&/d

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ƌĞůĞǀĂŶƚƌĞƋƵŝƌĞŵĞŶƚƐŽĨƚŚĞ^K>^ƌĞŐƵůĂƚŝŽŶƐ͘
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ŐƌĂŶƚĞĚ͘
KŶĞŶŶƵĂů^ƵƌǀĞǇŝƐƌĞƋƵŝƌĞĚĚƵƌŝŶŐƚŚĞĚƵƌĂƚŝŽŶŽĨƚŚĞĐĞƌƚŝĨŝĐĂƚĞĂŶĚ͕ŝŶƚŚĞĐĂƐĞŽĨƚĂŶŬĞƌƐŽǀĞƌϭϬ
ǇĞĂƌƐŽůĚ͕ŽŶĞ/ŶƚĞƌŵĞĚŝĂƚĞ^ƵƌǀĞǇŝƐƌĞƋƵŝƌĞĚ͘ůƚŚŽƵŐŚƚŚĞƐƵƌǀĞǇƌĞƋƵŝƌĞŵĞŶƚƐĨŽƌƐĂĨĞƚǇĞƋƵŝƉŵĞŶƚ
ĂƌĞ ƚŚĞ ƐĂŵĞ ĨŽƌ ďŽƚŚ ŶŶƵĂů ĂŶĚ /ŶƚĞƌŵĞĚŝĂƚĞ ^ƵƌǀĞǇƐ͕ ŝƚ ŝƐ ĞƐƐĞŶƚŝĂů ƚŚĂƚ ƚŚĞ ĐŽƌƌĞĐƚ ƐƵƌǀĞǇ ƚŝƚůĞ ŝƐ
ƐƚĂƚĞĚŽŶĐĞƌƚŝĨŝĐĂƚĞƐĂŶĚŝŶƌĞƉŽƌƚƐ͘
ƐƉĂƌƚŽĨƚŚĞĂŶŶƵĂůƐƚĂƚƵƚŽƌǇƐƵƌǀĞǇĨŽƌ^ĂĨĞƚǇƋƵŝƉŵĞŶƚĞƌƚŝĨŝĐĂƚŝŽŶ͕ƚŚĞĨŽůůŽǁŝŶŐŝŶƐƉĞĐƚŝŽŶƐĂŶĚ
ƚĞƐƚƐƐŚŽƵůĚďĞĐĂƌƌŝĞĚŽƵƚƚŽĞŶƐƵƌĞƚŚĂƚ͗
ϭ͘ ĂůůĨŝƌĞĞǆƚŝŶŐƵŝƐŚĞƌƐĂƌĞĐŚĞĐŬĞĚĨŽƌƉƌŽƉĞƌůŽĐĂƚŝŽŶ͕ĐŚĂƌŐŝŶŐƉƌĞƐƐƵƌĞ͕ĂŶĚĐŽŶĚŝƚŝŽŶ͖
Ϯ͘ ĨŝƌĞĚĞƚĞĐƚŝŽŶƐǇƐƚĞŵƐĂƌĞƚĞƐƚĞĚĨŽƌƉƌŽƉĞƌŽƉĞƌĂƚŝŽŶ͕ĂƐĂƉƉƌŽƉƌŝĂƚĞ͖
ϯ͘ ĂůůĨŝƌĞĚŽŽƌƐĂŶĚĚĂŵƉĞƌƐĂƌĞƚĞƐƚĞĚĨŽƌƌĞŵŽƚĞŽƉĞƌĂƚŝŽŶ͖
ϰ͘ ĂůůĨŽĂŵͲǁĂƚĞƌĂŶĚǁĂƚĞƌͲƐƉƌĂǇĨŝǆĞĚĨŝƌĞͲĨŝŐŚƚŝŶŐƐǇƐƚĞŵƐĂƌĞƚĞƐƚĞĚĨŽƌŽƉĞƌĂƚŝŽŶ͖
ϱ͘ ĂůůĂĐĐĞƐƐŝďůĞĐŽŵƉŽŶĞŶƚƐŽĨĨŝǆĞĚĨŝƌĞͲĨŝŐŚƚŝŶŐƐǇƐƚĞŵƐĂƌĞǀŝƐƵĂůůǇŝŶƐƉĞĐƚĞĚĨŽƌƉƌŽƉĞƌ
ĐŽŶĚŝƚŝŽŶ͖
ϲ͘ ĂůůĨŝƌĞƉƵŵƉƐ͕ŝŶĐůƵĚŝŶŐƐƉƌŝŶŬůĞƌƐǇƐƚĞŵƉƵŵƉƐ͕ĂƌĞĨůŽǁƚĞƐƚĞĚĨŽƌƉƌŽƉĞƌƉƌĞƐƐƵƌĞƐĂŶĚĨůŽǁƐ͖
ϳ͘ ĂůůŚǇĚƌĂŶƚƐĂƌĞƚĞƐƚĞĚĨŽƌŽƉĞƌĂƚŝŽŶ͖
ϴ͘ ĂůůĂŶƚŝĨƌĞĞǌĞƐǇƐƚĞŵƐĂƌĞƚĞƐƚĞĚĨŽƌƉƌŽƉĞƌƐŽůƵƚŝŽŶƐ͖
ϵ͘ ƐƉƌŝŶŬůĞƌƐǇƐƚĞŵĐŽŶŶĞĐƚŝŽŶƐĨƌŽŵƚŚĞƐŚŝƉ͛ƐĨŝƌĞŵĂŝŶĂƌĞƚĞƐƚĞĚĨŽƌŽƉĞƌĂƚŝŽŶ͖
ϭϬ͘ ĂůůĨŝƌĞŚŽƐĞƐĂƌĞŚǇĚƌŽƐƚĂƚŝĐĂůůǇƚĞƐƚĞĚ͖
ϭϭ͘ ďƌĞĂƚŚŝŶŐĂƉƉĂƌĂƚƵƐĂŝƌƌĞĐŚĂƌŐŝŶŐƐǇƐƚĞŵƐĐŚĞĐŬĞĚĨŽƌĂŝƌƋƵĂůŝƚǇ͖
ϭϮ͘ ĐŽŶƚƌŽůǀĂůǀĞƐŽĨĨŝǆĞĚĨŝƌĞͲĨŝŐŚƚŝŶŐƐǇƐƚĞŵƐƐŚŽƵůĚďĞŝŶƐƉĞĐƚĞĚ͖ĂŶĚ
ϭϯ͘ ĂŝƌƐŚŽƵůĚďĞďůŽǁŶƚŚƌŽƵŐŚƚŚĞƉŝƉŝŶŐŽĨĞǆƚŝŶŐƵŝƐŚŝŶŐŐĂƐƐǇƐƚĞŵƐ͘



ϳ͘Z'K^,/W^&dzZ/KZd/&/d

ĂƌŐŽ ^ŚŝƉ ^ĂĨĞƚǇ ZĂĚŝŽ ĞƌƚŝĨŝĐĂƚĞ ǁŝƚŚ ZĞĐŽƌĚ &Žƌŵ ͞Z͟ ƐŚĂůů ďĞ ŝƐƐƵĞĚ ĂĨƚĞƌ ĂŶ ŝŶŝƚŝĂů Žƌ ƌĞŶĞǁĂů
ƐƵƌǀĞǇ ƚŽ Ă ĐĂƌŐŽ ƐŚŝƉ ǁŚŝĐŚ ĐŽŵƉůŝĞƐ ǁŝƚŚ ƚŚĞ ƌĞůĞǀĂŶƚ ƌĞƋƵŝƌĞŵĞŶƚƐ ŽĨ ĐŚĂƉƚĞƌ IV ĂŶĚ ĂŶǇ ŽƚŚĞƌ
ƌĞůĞǀĂŶƚƌĞƋƵŝƌĞŵĞŶƚƐŽĨƚŚĞƉƌĞƐĞŶƚƌĞŐƵůĂƚŝŽŶƐ͘dŚĞǀĂůŝĚŝƚǇŽĨƚŚĞĐĞƌƚŝĨŝĐĂƚĞŝƐϭϮŵŽŶƚŚƐ͘

ϴ͘Z'K^,/W^&dzZd/&/d
ĐĞƌƚŝĨŝĐĂƚĞĐĂůůĞĚĂĂƌŐŽ^ŚŝƉ^ĂĨĞƚǇĞƌƚŝĨŝĐĂƚĞŵĂǇďĞŝƐƐƵĞĚĂĨƚĞƌĂŶŝŶŝƚŝĂůŽƌƌĞŶĞǁĂůƐƵƌǀĞǇƚŽĂ
ĐĂƌŐŽƐŚŝƉǁŚŝĐŚĐŽŵƉůŝĞƐǁŝƚŚƚŚĞƌĞůĞǀĂŶƚƌĞƋƵŝƌĞŵĞŶƚƐŽĨ^K>^ĐŚĂƉƚĞƌƐIIͲϭ͕IIͲϮ͕III͕IVĂŶĚVĂŶĚ
ĂŶǇŽƚŚĞƌƌĞůĞǀĂŶƚƌĞƋƵŝƌĞŵĞŶƚƐŽĨƚŚĞƉƌĞƐĞŶƚƌĞŐƵůĂƚŝŽŶƐ͕ĂƐĂŶĂůƚĞƌŶĂƚŝǀĞƚŽƚŚĞĐĞƌƚŝĨŝĐĂƚĞƐ͘
tŚĞŶĞǀĞƌŝŶƚŚŝƐĐŚĂƉƚĞƌƌĞĨĞƌĞŶĐĞŝƐŵĂĚĞƚŽĂĂƌŐŽ^ŚŝƉ^ĂĨĞƚǇŽŶƐƚƌƵĐƚŝŽŶĞƌƚŝĨŝĐĂƚĞ͕ĂƌŐŽ^ŚŝƉ
^ĂĨĞƚǇƋƵŝƉŵĞŶƚĞƌƚŝĨŝĐĂƚĞŽƌĂƌŐŽ^ŚŝƉ^ĂĨĞƚǇZĂĚŝŽĞƌƚŝĨŝĐĂƚĞ͕ŝƚƐŚĂůůĂƉƉůǇƚŽĂĂƌŐŽ^ŚŝƉ^ĂĨĞƚǇ
ĞƌƚŝĨŝĐĂƚĞ͕ŝĨŝƚŝƐƵƐĞĚĂƐĂŶĂůƚĞƌŶĂƚŝǀĞƚŽƚŚĞƐĞĐĞƌƚŝĨŝĐĂƚĞƐ͘

ϵ͘/EdZEd/KE>>K>/EZd/&/d
Ŷ/ŶƚĞƌŶĂƚŝŽŶĂů>ŽĂĚ>ŝŶĞĞƌƚŝĨŝĐĂƚĞŝƐŝƐƐƵĞĚƵŶĚĞƌƚŚĞƉƌŽǀŝƐŝŽŶƐŽĨƚŚĞ/ŶƚĞƌŶĂƚŝŽŶĂůŽŶǀĞŶƚŝŽŶŽŶ
>ŽĂĚ>ŝŶĞƐ͕ϭϵϲϲ͕ƚŽĞǀĞƌǇƐŚŝƉŽĨϭϱϬŐƌŽƐƐƚŽŶŶĂŐĞĂŶĚĂďŽǀĞǁŚŝĐŚŚĂƐďĞĞŶƐƵƌǀĞǇĞĚĂŶĚŵĂƌŬĞĚŝŶ
ĂĐĐŽƌĚĂŶĐĞǁŝƚŚƚŚĞŽŶǀĞŶƚŝŽŶŽƌƚŚĞŽŶǀĞŶƚŝŽŶĂƐŵŽĚŝĨŝĞĚďǇƚŚĞϭϵϴϴ>>WƌŽƚŽĐŽů͕ĂƐĂƉƉƌŽƉƌŝĂƚĞ͘
^ŚŝƉƐƚŚĂƚĂƌĞĞǆĐĞƉƚĞĚĨƌŽŵƚŚĞƉƌŽǀŝƐŝŽŶƐŽĨƚŚĞ>ŽĂĚ>ŝŶĞŽŶǀĞŶƚŝŽŶĂƌĞ͗
ϭ͘ ^ŚŝƉƐŽĨǁĂƌ
Ϯ͘ ^ŚŝƉƐůĞƐƐƚŚĂŶϮϰŵĞƚƌĞƐŝŶůĞŶŐƚŚ
ϯ͘ zĂĐŚƚƐŶŽƚĞŶŐĂŐĞĚŝŶƚƌĂĚĞ
ϰ͘ &ŝƐŚŝŶŐǀĞƐƐĞůƐ
dŚĞĐĞƌƚŝĨŝĐĂƚĞǀĂůŝĚĨŽƌϱǇĞĂƌƐǁŝƚŚĂŶŶƵĂůƐƵƌǀĞǇƚŽĂƐĐĞƌƚĂŝŶĨŽůůŽǁŝŶŐƐ͖
;ŝͿ ĂůƚĞƌĂƚŝŽŶƐŚĂǀĞŶŽƚďĞĞŶŵĂĚĞƚŽƚŚĞŚƵůůŽƌƐƵƉĞƌƐƚƌƵĐƚƵƌĞƐǁŚŝĐŚǁŽƵůĚĂĨĨĞĐƚƚŚĞ
ĐĂůĐƵůĂƚŝŽŶƐĚĞƚĞƌŵŝŶŝŶŐƚŚĞƉŽƐŝƚŝŽŶŽĨƚŚĞůŽĂĚůŝŶĞ͖
;ŝŝͿ ƚŚĞĨŝƚƚŝŶŐƐĂŶĚĂƉƉůŝĂŶĐĞƐĨŽƌƚŚĞƉƌŽƚĞĐƚŝŽŶŽĨŽƉĞŶŝŶŐƐ͕ŐƵĂƌĚƌĂŝůƐ͕ĨƌĞĞŝŶŐƉŽƌƚƐĂŶĚ
ŵĞĂŶƐŽĨĂĐĐĞƐƐƚŽĐƌĞǁΖƐƋƵĂƌƚĞƌƐĂƌĞŵĂŝŶƚĂŝŶĞĚŝŶĂŶĞĨĨĞĐƚŝǀĞĐŽŶĚŝƚŝŽŶ͖
;ŝŝŝͿ ƚŚĞĨƌĞĞďŽĂƌĚŵĂƌŬƐĂƌĞĐŽƌƌĞĐƚůǇĂŶĚƉĞƌŵĂŶĞŶƚůǇŝŶĚŝĐĂƚĞĚ͖
;ŝǀͿ ƚŚĞŝŶĨŽƌŵĂƚŝŽŶƌĞƋƵŝƌĞĚďǇƌĞŐƵůĂƚŝŽŶϭϬŝƐƉƌŽǀŝĚĞĚ͘


ϭϬ͘/EdZEd/KE>K/>WK>>hd/KEWZsEd/KEZd/&/d^
ŶŝŶƚĞƌŶĂƚŝŽŶĂůKŝůWŽůůƵƚŝŽŶWƌĞǀĞŶƚŝŽŶĞƌƚŝĨŝĐĂƚĞŝƐŝƐƐƵĞĚ͕ĂĨƚĞƌƐƵƌǀĞǇŝŶĂĐĐŽƌĚĂŶĐĞǁŝƚŚƌĞŐƵůĂƚŝŽŶ
ϰŽĨŶŶĞǆIŽĨDZWK>ϳϯͬϳϴ͕ƚŽĂŶǇŽŝůƚĂŶŬĞƌŽĨϭϱϬŐƌŽƐƐƚŽŶŶĂŐĞĂŶĚĂďŽǀĞĂŶĚĂŶǇŽƚŚĞƌƐŚŝƉŽĨ
ϰϬϬ ŐƌŽƐƐ ƚŽŶŶĂŐĞ ĂŶĚ ĂďŽǀĞ ǁŚŝĐŚ ŝƐ ĞŶŐĂŐĞĚ ŝŶ ǀŽǇĂŐĞƐ ƚŽ ƉŽƌƚƐ Žƌ ŽĨĨƐŚŽƌĞ ƚĞƌŵŝŶĂůƐ ƵŶĚĞƌ ƚŚĞ
ũƵƌŝƐĚŝĐƚŝŽŶ ŽĨ ŽƚŚĞƌ WĂƌƚŝĞƐ ƚŽ DZWK> ϳϯ ͬ ϳϴ͘ dŚĞ ĐĞƌƚŝĨŝĐĂƚĞ ŝƐ ƐƵƉƉůĞŵĞŶƚĞĚ ǁŝƚŚ Ă ZĞĐŽƌĚ ŽĨ
ŽŶƐƚƌƵĐƚŝŽŶĂŶĚƋƵŝƉŵĞŶƚĨŽƌ^ŚŝƉƐŽƚŚĞƌƚŚĂŶKŝůdĂŶŬĞƌƐ;&ŽƌŵͿŽƌĂZĞĐŽƌĚŽĨŽŶƐƚƌƵĐƚŝŽŶĂŶĚ
ƋƵŝƉŵĞŶƚĨŽƌKŝůdĂŶŬĞƌƐ;&ŽƌŵͿ͕ĂƐĂƉƉƌŽƉƌŝĂƚĞ͘

ϭϭ͘/EdZEd/KE>/ZWK>>hd/KEWZsEd/KEZd/&/d^Θ/EdZEd/KE>^t'
WK>>hd/KEWZsEd/KEZd/&/d^
/ŶƚĞƌŶĂƚŝŽŶĂůŝƌWŽůůƵƚŝŽŶWƌĞǀĞŶƚŝŽŶĞƌƚŝĨŝĐĂƚĞΘ/ŶƚĞƌŶĂƚŝŽŶĂů^ĞǁĂŐĞWŽůůƵƚŝŽŶWƌĞǀĞŶƚŝŽŶĞƌƚŝĨŝĐĂƚĞ
ƐŚĂůů ďĞŝƐƐƵĞĚ͕ ĂĨƚĞƌ ĂŶŝŶŝƚŝĂů Žƌ ƌĞŶĞǁĂů ƐƵƌǀĞǇŝŶ ĂĐĐŽƌĚĂŶĐĞ ǁŝƚŚƚŚĞ ƉƌŽǀŝƐŝŽŶƐ ŽĨ ƌĞŐƵůĂƚŝŽŶ ϰ ŽĨ
ŶŶĞǆIVŽĨDZWK>ϳϯͬϳϴ͕ƚŽĂŶǇƐŚŝƉǁŚŝĐŚŝƐƌĞƋƵŝƌĞĚƚŽĐŽŵƉůǇǁŝƚŚƚŚĞƉƌŽǀŝƐŝŽŶƐŽĨƚŚĂƚŶŶĞǆ
ĂŶĚŝƐĞŶŐĂŐĞĚŝŶǀŽǇĂŐĞƐƚŽƉŽƌƚƐŽƌŽĨĨƐŚŽƌĞƚĞƌŵŝŶĂůƐƵŶĚĞƌƚŚĞũƵƌŝƐĚŝĐƚŝŽŶŽĨŽƚŚĞƌWĂƌƚŝĞƐƚŽƚŚĞ
ŽŶǀĞŶƚŝŽŶ͘


ϭϮ͘^^ͬ^,/W^E/dd/KEZd/&/d^
Ɛ ŽĨ ϭϱ :ƵŶĞ ϮϬϬϳ ƚŚĞ /ŶƚĞƌŶĂƚŝŽŶĂů ,ĞĂůƚŚ ZĞŐƵůĂƚŝŽŶƐ ;ϮϬϬϱͿ ;Η/,Z ;ϮϬϬϱͿΗͿ ŚĂǀĞ ŝŶƚƌŽĚƵĐĞĚ ŶĞǁ
ĐĞƌƚŝĨŝĐĂƚŝŽŶ ƉƌŽĐĞĚƵƌĞƐ ĨŽƌ ƐŚŝƉƐ͘ dŚĞ ŶĞǁ ĐĞƌƚŝĨŝĐĂƚĞƐ ĂƌĞ ĞŶƚŝƚůĞĚ ^ŚŝƉ ^ĂŶŝƚĂƚŝŽŶ ŽŶƚƌŽůǆĞŵƉƚŝŽŶ
ĞƌƚŝĨŝĐĂƚĞͬ^ŚŝƉ^ĂŶŝƚĂƚŝŽŶŽŶƚƌŽůĞƌƚŝĨŝĐĂƚĞ;Η^ŚŝƉ^ĂŶŝƚĂƚŝŽŶĞƌƚŝĨŝĐĂƚĞƐΗŽƌΗ^^ΗͿ͘dŚĞƐĞ^^ƌĞƉůĂĐĞ
ƚŚĞƉƌĞǀŝŽƵƐĞƌĂƚƚŝŶŐͬĞƌĂƚƚŝŶŐǆĞŵƉƚŝŽŶĞƌƚŝĨŝĐĂƚĞƐ;ΗͬΗͿƉƌŽǀŝĚĞĚĨŽƌƵŶĚĞƌƚŚĞ/,Z;ϭϵϲϵͿ͘
dŚĞ ĂĚǀŝĐĞ ƚŚĂƚ ĨŽůůŽǁƐ ŝƐ ĚĞƐŝŐŶĞĚ ƚŽ ŐƵŝĚĞ ĂŶĚ ĨĂĐŝůŝƚĂƚĞ ƚŚĞ ŝŵƉůĞŵĞŶƚĂƚŝŽŶ ŽĨ ƚŚŝƐ ŶĞǁ ŚĞĂůƚŚ
ĚŽĐƵŵĞŶƚďǇ^ƚĂƚĞƐWĂƌƚŝĞƐƚŽƚŚĞ/,Z;ϮϬϬϱͿ͘dŚĞĐĞƌƚŝĨŝĐĂƚĞŝƐǀĂůŝĚĨŽƌϲŵŽŶƚŚƐĨƌŽŵƚŚĞĚĂƚĞŽĨŝƐƐƵĞ͘
ϭϯ͘D/E/DhD^&DEE/E'Zd/&/d
ǀĞƌǇ ƐŚŝƉ ƚŽ ǁŚŝĐŚ ĐŚĂƉƚĞƌ I ŽĨ ƚŚĞ ŽŶǀĞŶƚŝŽŶ ĂƉƉůŝĞƐ ƐŚĂůů ďĞ ƉƌŽǀŝĚĞĚ ǁŝƚŚ ĂŶ ĂƉƉƌŽƉƌŝĂƚĞ ƐĂĨĞ
ŵĂŶŶŝŶŐ ĚŽĐƵŵĞŶƚ Žƌ ĞƋƵŝǀĂůĞŶƚ ŝƐƐƵĞĚ ďǇ ƚŚĞ ĚŵŝŶŝƐƚƌĂƚŝŽŶ ĂƐ ĞǀŝĚĞŶĐĞ ŽĨ ƚŚĞ ŵŝŶŝŵƵŵ ƐĂĨĞ
ŵĂŶŶŝŶŐ͘
dŚĞ ŶƵŵďĞƌƐŽĨĐĞƌƚŝĨŝĐĂƚĞĚŽĨĨŝĐĞƌƐĂŶĚĐĞƌƚŝĨŝĐĂƚĞĚĂŶĚ ŶŽŶͲĐĞƌƚŝĨŝĐĂƚĞĚƌĂƚŝŶŐƐŵƵƐƚďĞƐƵĨĨŝĐŝĞŶƚ ƚŽ
ĞŶƐƵƌĞƐĂĨĞĂŶĚĞĨĨŝĐŝĞŶƚŽƉĞƌĂƚŝŽŶŽĨƚŚĞǀĞƐƐĞůĂƚĂůůƚŝŵĞƐ͘


WZ/E/W>K&^&DEE/E'

/ƚ͛Ɛ ďĞĞŶ ŬŶŽǁŶ ĨŽƌ ŵĂŶǇ ǇĞĂƌƐ ƚŚĂƚ ƚŝƌĞĚŶĞƐƐ ĐĂƵƐĞĚ ďǇ ůŽŶŐ ǁŽƌŬŝŶŐ ŚŽƵƌƐ ĂŶĚ ůŽǁ ŵĂŶŶŝŶŐ ŝƐ
ĚĂŶŐĞƌŽƵƐƚŽďŽƚŚƐŚŝƉƐĂŶĚŝƚƐĐƌĞǁƐ͘

^ŚŝƉƉŝŶŐĐŽŵƉĂŶŝĞƐŚĂǀĞďĞĞŶǁĂƌŶĞĚĂďŽƵƚƚŚĞĐŽŶƐĞƋƵĞŶĐĞƐŽĨĨĂƚŝŐƵĞŵĂŶǇƚŝŵĞƐ͘W^ĂƌĞǁĂƌŶŝŶŐ
ƐŚŝƉƉŝŶŐĐŽŵƉĂŶŝĞƐƚŚĂƚĂĐƚŝŽŶǁŝůůďĞƚĂŬĞŶŝĨƚŚĞǇĂƌĞĨŽƵŶĚƚŽďĞĨůŽƵƚŝŶŐŚŽƵƌƐŽĨƌĞƐƚƌĞƋƵŝƌĞŵĞŶƚƐ͘
^ŚŝƉƐǁŝůůďĞƐƵďũĞĐƚƚŽŝŶƐƉĞĐƚŝŽŶ͕ǁŝƚŚƐŚŝƉƐŽƉĞƌĂƚŝŶŐďƵƐǇƐĐŚĞĚƵůĞƐǁŝƚŚƐŵĂůůĐƌĞǁƐďĞŝŶŐƚĂƌŐĞƚĞĚ͘
KŶďŽĂƌĚ ƐĐŚĞĚƵůĞƐĂŶĚǁŽƌŬƌĞĐŽƌĚƐǁŝůůďĞĐŚĞĐŬĞĚ͕ĂŶĚĐŽŵƉĂƌĞĚƚŽƚŚĞŽƉĞƌĂƚŝŶŐƉĂƚƚĞƌŶŽĨƚŚĞ
ƐŚŝƉƚŽǀĞƌŝĨǇƚŚĞŝƌĂĐĐƵƌĂĐǇ͘tŚĞƌĞƚŝŵĞĚŽĞƐŶŽƚƉĞƌŵŝƚĨŽƌĚĞƚĂŝůĞĚĐŚĞĐŬŝŶŐŽŶďŽĂƌĚ͕ĐŽƉŝĞƐǁŝůůďĞ
ƌĞƋƵĞƐƚĞĚŽĨƌĞůĞǀĂŶƚĚŽĐƵŵĞŶƚƐ͕ƐŽƚŚĂƚƚŚĞǇĐĂŶďĞĐŚĞĐŬĞĚĂĨƚĞƌƚŚĞĞǀĞŶƚ͘ƐǁĞůůĂƐŚŽƵƌƐŽĨƌĞƐƚ͕
ƐƵƌǀĞǇŽƌƐǁŝůůďĞĐŚĞĐŬŝŶŐĨŽƌĐŽŵƉůŝĂŶĐĞǁŝƚŚƚŚĞƌĞƋƵŝƌĞŵĞŶƚĨŽƌĂĚĞĚŝĐĂƚĞĚůŽŽŬŽƵƚĂƚŶŝŐŚƚ͘

W^ŽĨĨŝĐĞƌǁŝůůĂůƐŽďĞůŽŽŬŝŶŐĨŽƌĞǀŝĚĞŶĐĞŽĨƚŚĞĐŽŵƉĂŶǇ͛ƐĂƵĚŝƚŽĨƚŚĞƐĞƌĞĐŽƌĚƐĂƐŚŽƌĞ͘hŶĚĞƌƚŚĞ
/^D ŽĚĞ͕ ĞĂĐŚ ŽŵƉĂŶǇ ŝƐ ƌĞƋƵŝƌĞĚ ƚŽ ŚĂǀĞ ƉƌŽĐĞĚƵƌĞƐ ŝŶ ƉůĂĐĞ ƚŽ ĂƵĚŝƚ ƚŚĞŝƌ ĐŽŵƉůŝĂŶĐĞ ǁŝƚŚ
ƌĞŐƵůĂƚŝŽŶƐ ĂŶĚ ĐŽŵƉĂŶǇ ƉƌŽĐĞĚƵƌĞƐ͘ ŶƐƵƌŝŶŐ ƚŚĂƚ ƐĞĂĨĂƌĞƌƐ ĂƌĞ ĂďůĞ ƚŽ ĐŽŵƉůǇ ǁŝƚŚ ŚŽƵƌƐ ŽĨ ƌĞƐƚ
ƌĞƋƵŝƌĞŵĞŶƚƐƐŚŽƵůĚďĞƉĂƌƚŽĨƚŚĂƚ͕ǁŝƚŚŶŽŶͲĐŽŶĨŽƌŵŝƚŝĞƐďĞŝŶŐĂĚĚƌĞƐƐĞĚ͘^ƵƌǀĞǇŽƌƐǁŝůůďĞƌĞƉŽƌƚŝŶŐ
ƐƉĞĐŝĨŝĐĂůůǇ ŽŶ ƚŚĞƐĞ ĂƐƉĞĐƚƐ ŽĨ ƚŚĞ ĐŽŵƉĂŶǇ͛Ɛ ƐĂĨĞƚǇ ŵĂŶĂŐĞŵĞŶƚ ƐǇƐƚĞŵ͕ ĨŽƌ ďŽƚŚ K ĂŶĚ ^D
ĂƵĚŝƚƐ͘

/DKZĞƐŽůƵƚŝŽŶ͘ϴϵϬ;ϮϭͿĂĚŽƉƚĞĚŽŶƚŚĞϮϱƚŚEŽǀĞŵďĞƌϭϵϵϵĚĞĨŝŶĞƐƚŚĞƉƌŝŶĐŝƉůĞƐŽĨ^ĂĨĞDĂŶŶŝŶŐ
ƚŽ ĞŶƐƵƌĞ ƚŚĞ ƐĂĨĞ ŽƉĞƌĂƚŝŽŶ ŽĨ͕ ĂŶĚ ƉƌĞǀĞŶƚŝŽŶ ŽĨ ƉŽůůƵƚŝŽŶ ĨƌŽŵ͕ ƐŚŝƉƐ ƚŽ ǁŚŝĐŚ ƚŚĞ ŽŶǀĞŶƚŝŽŶ
ĂƉƉůŝĞƐ͘ŽŶǀĞŶƚŝŽŶϭϴϬŽĨƚŚĞ/ŶƚĞƌŶĂƚŝŽŶĂů>ĂďŽƵƌKƌŐĂŶŝƐĂƚŝŽŶ;/>KͿ;^ĞĂĨĂƌĞƌ͛ƐŚŽƵƌƐŽĨǁŽƌŬĂŶĚƚŚĞ
ŵĂŶŶŝŶŐŽĨƐŚŝƉƐͿĐĂŵĞŝŶƚŽĨŽƌĐĞŽŶƚŚĞϭϬƚŚ:ĂŶƵĂƌǇϮϬϬϯĂŶĚĂƉƉůŝĞƐƚŽĂůůĐŽŵŵĞƌĐŝĂůůǇŽƉĞƌĂƚĞĚ
ǀĞƐƐĞůƐ͘

Ŷ ĚŵŝŶŝƐƚƌĂƚŝŽŶ ƐŚŽƵůĚ ĞŶƐƵƌĞ ƚŚĂƚ Ăůů ǀĞƐƐĞůƐ ĂƌĞ ƐĂĨĞůǇ ĂŶĚ ƐƵĨĨŝĐŝĞŶƚůǇ ŵĂŶŶĞĚ ŝŶ ƌĞůĂƚŝŽŶ ƚŽ ƚŚĞ
ŶĂƚƵƌĞ ŽĨƚŚĞŝƌŽƉĞƌĂƚŝŽŶǁŝƚŚƚŚĞƌĞƐƉŽŶƐŝďŝůŝƚŝĞƐ ƉůĂĐĞĚŽŶĐŽŵƉĂŶŝĞƐŽǁŶŝŶŐŽƌŽƉĞƌĂƚŝŶŐƐĞĂŐŽŝŶŐ
ǀĞƐƐĞůƐ͕ƚŽĞŶƐƵƌĞƚŚĂƚƚŚĞŝƌǀĞƐƐĞůƐĂƌĞŵĂŶŶĞĚǁŝƚŚƉĞƌƐŽŶŶĞůŽĨĂƉƉƌŽƉƌŝĂƚĞŐƌĂĚĞƐǁŚŽŚĂǀĞďĞĞŶ
ƉƌŽƉĞƌůǇƚƌĂŝŶĞĚĂŶĚĐĞƌƚŝĨŝĐĂƚĞĚ͘

dŚĞ ŶƵŵďĞƌƐŽĨĐĞƌƚŝĨŝĐĂƚĞĚŽĨĨŝĐĞƌƐĂŶĚĐĞƌƚŝĨŝĐĂƚĞĚĂŶĚ ŶŽŶͲĐĞƌƚŝĨŝĐĂƚĞĚƌĂƚŝŶŐƐŵƵƐƚďĞƐƵĨĨŝĐŝĞŶƚ ƚŽ
ĞŶƐƵƌĞƐĂĨĞĂŶĚĞĨĨŝĐŝĞŶƚŽƉĞƌĂƚŝŽŶŽĨƚŚĞǀĞƐƐĞůĂƚĂůůƚŝŵĞƐ͘

dŚĞ ŐƵŝĚĞůŝŶĞƐ ƉůĂĐĞ Ă ĚƵƚǇ ŽŶ ƚŚĞ ŽǁŶĞƌ Žƌ ŽƉĞƌĂƚŽƌ ƚŽ ƉƌŽǀŝĚĞ ƚŚĞ ŵĂƐƚĞƌ ŽĨ Ă ǀĞƐƐĞů ǁŝƚŚ ƚŚĞ
ŶĞĐĞƐƐĂƌǇƌĞƐŽƵƌĐĞƐƚŽĐŽŵƉůǇǁŝƚŚƚŚĞŵĂŶŶŝŶŐƌĞƋƵŝƌĞŵĞŶƚƐ͘

^ƉĞĐŝĨŝĐĨĂĐƚŽƌƐƚŽďĞƚĂŬĞŶŝŶƚŽĂĐĐŽƵŶƚŝŶĚĞƚĞƌŵŝŶŝŶŐƚŚĞƐĂĨĞŵĂŶŶŝŶŐůĞǀĞůŵĂǇŝŶĐůƵĚĞ͗
ϭ͘ ĨƌĞƋƵĞŶĐǇŽĨƉŽƌƚĐĂůůƐ͕ůĞŶŐƚŚĂŶĚŶĂƚƵƌĞŽĨƚŚĞǀŽǇĂŐĞ͖
Ϯ͘ ŽƉĞƌĂƚŝŶŐ ĂƌĞĂ;ƐͿ͕ ǁĂƚĞƌƐ ĂŶĚ ƚǇƉĞ ŽĨ ŽƉĞƌĂƚŝŽŶƐ ŝŶ ǁŚŝĐŚ ƚŚĞ ǀĞƐƐĞů ŝƐ ŝŶǀŽůǀĞĚ ĂŶĚ ĂŶǇ ƐƉĞĐŝĂů
ƌĞƋƵŝƌĞŵĞŶƚƐŽĨƚŚĞŽƉĞƌĂƚŝŽŶ͖
ϯ͘ ŶƵŵďĞƌ͕ƐŝǌĞ;ŬtͿĂŶĚƚǇƉĞŽĨŵĂŝŶƉƌŽƉƵůƐŝŽŶƵŶŝƚƐĂŶĚĂƵǆŝůŝĂƌŝĞƐ͖
ϰ͘ ƐŝǌĞ͕ƚǇƉĞŽĨǀĞƐƐĞů͕ĞƋƵŝƉŵĞŶƚĂŶĚůĂǇŽƵƚ͖
ϱ͘ ĐŽŶƐƚƌƵĐƚŝŽŶĂŶĚƚĞĐŚŶŝĐĂůĞƋƵŝƉŵĞŶƚŽĨǀĞƐƐĞů͖
ϲ͘ ŵĞƚŚŽĚŽĨŵĂŝŶƚĞŶĂŶĐĞ͖
ϳ͘ ŚŽǁƚŚĞƉƌŽƉŽƐĞĚĐŽŵƉůĞŵĞŶƚǁŝůůĚĞĂůǁŝƚŚǀĂƌŝŽƵƐĞŵĞƌŐĞŶĐǇƐŝƚƵĂƚŝŽŶƐƚŚĂƚŵĂǇĂƌŝƐĞ͖
ϴ͘ ŶĂǀŝŐĂƚŝŽŶĂůĚƵƚŝĞƐĂŶĚƌĞƐƉŽŶƐŝďŝůŝƚŝĞƐĂƐƌĞƋƵŝƌĞĚďǇ^dtϵϱŝŶĐůƵĚŝŶŐƚŚĞĨŽůůŽǁŝŶŐƚŽ͗
͘ϭ͘ƉůĂŶĂŶĚĐŽŶĚƵĐƚƐĂĨĞŶĂǀŝŐĂƚŝŽŶ͖
͘Ϯ͘ŵĂŝŶƚĂŝŶĂƐĂĨĞŶĂǀŝŐĂƚŝŽŶĂůǁĂƚĐŚ͖
͘ϯ͘ŵĂŶŽĞƵǀƌĞĂŶĚŚĂŶĚůĞƚŚĞǀĞƐƐĞůŝŶĂůůĐŽŶĚŝƚŝŽŶƐĂŶĚĚƵƌŝŶŐĂůůŽƉĞƌĂƚŝŽŶƐ͖

͘ϰ͘ƐĂĨĞůǇŵŽŽƌĂŶĚƵŶŵŽŽƌƚŚĞǀĞƐƐĞů͖ĂŶĚ
͘ϱ͘ŵĂŝŶƚĂŝŶƐĂĨĞƚǇǁŚŝůƐƚŝŶƉŽƌƚ͘
ϵ͘ sĞƐƐĞůƐƉĞĐŝĨŝĐŽƉĞƌĂƚŝŽŶƐ͗
͘ϭ͘ ƚŚĞ ŶĂƚƵƌĞ ĂŶĚ ĚƵƌĂƚŝŽŶ ŽĨ ƚŚĞ ŽƉĞƌĂƚŝŽŶ;ƐͿ ƚŚĞ ǀĞƐƐĞů ƵŶĚĞƌƚĂŬĞƐ ĂŶĚ ůŽĐĂů ĞŶǀŝƌŽŶŵĞŶƚĂů
ĐŽŶĚŝƚŝŽŶƐ͘
ϭϬ͘sĞƐƐĞůŽƉĞƌĂƚŝŽŶƐĂŶĚĐĂƌĞĨŽƌƉĞƌƐŽŶƐŽŶďŽĂƌĚ͕ĂŶĚŵĂŝŶƚĂŝŶŝŶŐůŝĨĞͲƐĂǀŝŶŐ͕ĨŝƌĞͲĨŝŐŚƚŝŶŐĂŶĚŽƚŚĞƌ
ƐĂĨĞƚǇƐǇƐƚĞŵƐŝŶŽƉĞƌĂƚŝŽŶĂůĐŽŶĚŝƚŝŽŶ͗
͘ϭ͘ŵĂŝŶƚĂŝŶƚŚĞƐĂĨĞƚǇĂŶĚƐĞĐƵƌŝƚǇŽĨĂůůƉĞƌƐŽŶƐŽŶďŽĂƌĚĂŶĚŬĞĞƉůŝĨĞƐĂǀŝŶŐ͕ĨŝƌĞĨŝŐŚƚŝŶŐĂŶĚ
ŽƚŚĞƌ ƐĂĨĞƚǇ ƐǇƐƚĞŵƐ ŝŶ ŽƉĞƌĂƚŝŽŶĂů ĐŽŶĚŝƚŝŽŶ͕ ŝŶĐůƵĚŝŶŐ ƚŚĞ ĂďŝůŝƚǇ ƚŽ ŵƵƐƚĞƌ ĂŶĚ ĚŝƐĞŵďĂƌŬ
ƉĂƐƐĞŶŐĞƌƐĂŶĚŶŽŶͲĞƐƐĞŶƚŝĂůƉĞƌƐŽŶŶĞů͖
͘Ϯ͘ŽƉĞƌĂƚĞĂŶĚŵĂŝŶƚĂŝŶǁĂƚĞƌƚŝŐŚƚĐůŽƐŝŶŐĂƌƌĂŶŐĞŵĞŶƚƐ͖
͘ϯ͘ƉĞƌĨŽƌŵŽƉĞƌĂƚŝŽŶƐŶĞĐĞƐƐĂƌǇƚŽƉƌŽƚĞĐƚƚŚĞŵĂƌŝŶĞĞŶǀŝƌŽŶŵĞŶƚ͖
͘ϰ͘ƉƌŽǀŝĚĞŵĞĚŝĐĂůĐĂƌĞŽŶďŽĂƌĚ͖
͘ϱ͘ƵŶĚĞƌƚĂŬĞĂĚŵŝŶŝƐƚƌĂƚŝǀĞƚĂƐŬƐƌĞƋƵŝƌĞĚĨŽƌƚŚĞƐĂĨĞŽƉĞƌĂƚŝŽŶŽĨƚŚĞǀĞƐƐĞů͖ĂŶĚ
͘ϲ͘ƉĂƌƚŝĐŝƉĂƚŝŽŶŝŶŵĂŶĚĂƚŽƌǇƐĂĨĞƚǇĚƌŝůůƐĂŶĚĞǆĞƌĐŝƐĞƐ͘
ϭϭ͘DĂƌŝŶĞĞŶŐŝŶĞĞƌŝŶŐƚĂƐŬƐĂŶĚĚƵƚŝĞƐ͗
͘ϭ͘ŽƉĞƌĂƚĞĂŶĚŵŽŶŝƚŽƌƚŚĞǀĞƐƐĞů͛ƐŵĂŝŶƉƌŽƉƵůƐŝŽŶĂŶĚĂƵǆŝůŝĂƌǇŵĂĐŚŝŶĞƌǇ͖
͘Ϯ͘ŵĂŝŶƚĂŝŶĂƐĂĨĞĞŶŐŝŶĞĞƌŝŶŐǁĂƚĐŚ͖
͘ϯ͘ŵĂŶĂŐĞĂŶĚƉĞƌĨŽƌŵĨƵĞůĂŶĚďĂůůĂƐƚŽƉĞƌĂƚŝŽŶƐ͖ĂŶĚ
͘ϰ͘ŵĂŝŶƚĂŝŶǀĞƐƐĞů͛ƐĞŶŐŝŶĞĞƋƵŝƉŵĞŶƚ͕ƐǇƐƚĞŵĂŶĚƐĞƌǀŝĐĞƐ͘
ϭϮ͘ůĞĐƚƌŝĐĂů͕ĞůĞĐƚƌŽŶŝĐĂŶĚĐŽŶƚƌŽůĞŶŐŝŶĞĞƌŝŶŐĚƵƚŝĞƐ͗
͘ϭ͘ŽƉĞƌĂƚĞǀĞƐƐĞů͛ƐĞůĞĐƚƌŝĐĂůĂŶĚĞůĞĐƚƌŽŶŝĐĞƋƵŝƉŵĞŶƚ͖ĂŶĚ
͘Ϯ͘ŵĂŝŶƚĂŝŶǀĞƐƐĞů͛ƐĞůĞĐƚƌŝĐĂŶĚĞůĞĐƚƌŽŶŝĐƐǇƐƚĞŵƐ͘
ϭϯ͘ZĂĚŝŽĐŽŵŵƵŶŝĐĂƚŝŽŶƐ͗
͘ϭ͘ƚƌĂŶƐŵŝƚĂŶĚƌĞĐĞŝǀĞŝŶĨŽƌŵĂƚŝŽŶƵƐŝŶŐǀĞƐƐĞůĐŽŵŵƵŶŝĐĂƚŝŽŶĞƋƵŝƉŵĞŶƚ͖
͘Ϯ͘ŵĂŝŶƚĂŝŶĂƐĂĨĞƌĂĚŝŽǁĂƚĐŚ͖
͘ϯ͘ƉƌŽǀŝĚĞĐŽŵŵƵŶŝĐĂƚŝŽŶƐŝŶĞŵĞƌŐĞŶĐŝĞƐ͘
ϭϰ͘DĂŝŶƚĞŶĂŶĐĞĂŶĚƌĞƉĂŝƌ͗
͘ϭ͘ ĐĂƌƌǇ ŽƵƚ ŵĂŝŶƚĞŶĂŶĐĞ ĂŶĚ ƌĞƉĂŝƌ ǁŽƌŬ ƚŽ ƚŚĞ ǀĞƐƐĞů ĂŶĚ ŝƚƐ ŵĂĐŚŝŶĞƌǇ͕ ĞƋƵŝƉŵĞŶƚ ĂŶĚ
ƐǇƐƚĞŵƐ͕ĂƐĂƉƉƌŽƉƌŝĂƚĞƚŽƚŚĞŵĞƚŚŽĚŽĨŵĂŝŶƚĞŶĂŶĐĞĂŶĚƚŚĞƌĞƉĂŝƌƐǇƐƚĞŵƵƐĞĚ͘
ϭϱ͘&ƵůĨŝůŽďůŝŐĂƚŝŽŶƐĂŶĚƌĞƋƵŝƌĞŵĞŶƚƐŽĨƚŚĞ/^W^ŽĚĞĂƐĂƉƉůŝĐĂďůĞ͘


Certificates and other documents required to be carried on board ships by
international conventions as per SOLAS Annex I.
1. All ships
International Tonnage Certificate (1969) Tonnage Convention, article 7
An International Tonnage Certificate (1969) shall be issued to every ship, the gross and
net tonnage of which have been determined in accordance with the Convention.
International Load Line Certificate LL Convention, article 16;

An International Load Line Certificate shall be issued under the provisions of the 1988 LL Protocol, article 18
International Convention on Load Lines, 1966, to every ship which has been surveyed
and marked in accordance with the Convention or the Convention as modified by the
1988 LL Protocol, as appropriate.
International Load Line Exemption Certificate LL Convention, article 6;

An International Load Line Exemption Certificate shall be issued to any ship to which an 1988 LL Protocol, article 18
exemption has been granted under and in accordance with article 6 of the Load Line
Convention or the Convention as modified by the 1988 LL Protocol, as appropriate.
Intact Stability Booklet SOLAS 1974, regulations I I - 1

Every passenger ship regardless of size and every cargo ship of 24 m and over shall be / 2 2 and I I - 1 / 2 5 - 8 ;1988
inclined on completion and the elements of their stability determined. The master shall be LL Protocol, regulation 10
supplied with a Stability Booklet containing such information as is necessary to enable
him, by rapid and simple procedures, to obtain accurate guidance as to the ship under
varying conditions of loading. For bulk carriers, the information required in a bulk carrier
booklet may be contained in the stability booklet.
Damage control plans and booklets SOLAS 1974, regulations I I - 1

On passenger and cargo ships, there shall be permanently exhibited plans showing clearly /23,23-1.25-8'
for each deck and hold the boundaries of the watertight compartments, the openings M S C / C i r c . 9 19
therein with the means of closure and position of any controls thereof, and the
arrangements for the correction of any list due to flooding. Booklets containing the
aforementioned information shall be made available to the officers of the ship.
Minimum safe manning document SOLAS 1974 ( 2 0 0 0

Every ship to which chapter I of the Convention applies shall be provided with an amendments), regulation V / 1 4
appropriate safe manning document or equivalent issued by the Administration as .2
evidence of the minimum safe manning.
Fire safety training manual SOLAS 1974(2000

A training manual shall be written in the working language of the ship and shall be amendments), regulation II 2 / 1
provided in each crew mess room and recreation room or in each crew cabin. The manual 5 . 2 .3
shall contain the instructions and information required in regulation II 2 / 1 5 . 2 . 3 . 4.
Part of such information may be provided in the form of audiovisual aids in lieu of the
manual.
Fire Control plan/booklet SOLAS 1974(2000

General arrangement plans shall be permanently exhibited for the guidance of the ship's amendments), regulation II 2 / 1
officers, showing clearly for each deck the control stations, the various fire sections 5 . 2 .4
together with particulars of the fire detection and fire alarm systems and the fire
extinguishing appliances etc. Alternatively, at the discretion of the Administration, the
aforementioned details may be set out in a booklet, a copy of which shall be supplied to
each officer, and one copy shall at all times be available on board in an accessible
position. Plans and booklets shall be kept up to date; any alterations shall be recorded as
soon as practicable. A duplicate set of fire control plans or a booklet containing such
plans shall be permanently stored in a prominently marked weathertight enclosure
outside the deckhouse for the assistance of shore-side fire-fighting personnel.
On board training and drills record SOLAS 1974(2000

Fire drills shall be conducted and recorded in accordance with the provisions of amendments), regulation II 2 / 1
regulations III/19.3 and III / 19.5 . 5 . 2 . 2 .5
Fire safety operational booklet SOLAS 1974 (2000

The fire safety operational booklet shall contain the necessary information and amendments), regulation II-
instructions for the safe operation of the ship and cargo handling operations in relation to 2/16.2
fire safety. The booklet shall be written in the working language of the ship and be

provided in each crew mess room and recreation room or in each crew cabin. The booklet
may be combined with the fire safety training manuals required in regulation II 2 / 15.2.3.
Certificates for masters, officers or ratings S T C W 1978, article VI,

Certificates for masters, officers or ratings shall be issued to those candidates who, to the regulation 1/2; S T C W Code,
satisfaction of the Administration, meet the requirements for service, age, medical section A-I/2
fitness, training, qualifications and examinations in accordance with the provisions of the
STCW Code annexed to the International Convention on Standards of Training,
Certification and Watchkeeping for Seafarers, 1978. Formats of certificates are given in
section A 1/2 of the S T C W Code. Certificates must be kept available in their original
form on board the ships on which the holder is serving.
International Oil Pollution Prevention Certificate MARPOL 73 / 78 , Annex I,

An international Oil Pollution Prevention Certificate shall be issued, after survey in regulation 5
accordance with regulation 4 of Annex I of MARPOL 73 / 78 , to any oil tanker of 150
gross tonnage and above and any other ship of 4()0 gross tonnage and above which is
engaged in voyages to ports or offshore terminals under the jurisdiction of other Parties
to MARPOL 73 / 78 . The certificate i s supplemented with a Record of Construction and
Equipment for Ships other than Oil Tankers (Form A) or a Record of Construction and
Equipment for Oil Tankers (Form B ) , as appropriate.
Oil Record Book M A R P O L 7 3 / 7 8 , Annex
Every oil tanker of 150 gross tonnage and above and every ship of 4 0 0 gross tonnage I,
and above other than an oil tanker shall be provided with an Oil Record Book, Part I regulation 20
(Machinery space operations). Every oil tanker of 150 gross tonnage and above shall also
be provided with an Oil Record Book, Part II (Cargo/ballast operations).
Shipboard Oil Pollution Emergency Plan M A R P O L 7 3 / 7 8 , Annex

Every oil tanker of 150 gross tonnage and above and every ship other than an oil tanker I,
of 400 gross tonnage and above shall carry on board a Shipboard Oil Pollution regulation 26
Emergency Plan approved by the Administration.
International Sewage Pollution Prevention Certificate MARPOL 7 3 / 7 8 , Annex IV,

An International Sewage Pollution Prevention Certificate shall be issued, after an initial regulation 5;
or renewal survey in accordance with the provisions of regulation 4 of Annex IV of MEPC/Circ.408
MARPOL 73 / 78, to any ship which is required to comply with the provisions of that
Annex and is engaged in voyages to ports or offshore terminals under the jurisdiction of
other Parties to the Convention.
Garbage Management Plan M A R P O L 7 3 / 7 8 , Annex

Every ship of 400 gross tonnage and above and every ship which is certified to carry 15 V, regulation 9
persons or more shall carry a garbage management plan which the crew shall follow.
Garbage Record Book M A R P O L 7 3 / 7 8 , Annex

Every ship of 400 gross tonnage and above and every ship which is certified to carry 15 V, regulation 9
persons or more engaged in voyages to ports or offshore terminals under the jurisdiction
of other Parties to the Convention and every fixed and floating platform engaged in
exploration and exploitation of the sea-bed shall be provided with a Garbage Record
Book .
Voyage data recorder system-certificate of compliance SOLAS 1974,

The voyage data recorder system, including all sensors, shall be subjected to an annual regulation V / 1 8 .8
performance test. The test shall be conducted by an approved testing or servicing facility
to verify the accuracy, duration and recoverability of the recorded data. In addition, tests
and inspections shall be conducted to determine the serviceability of all protective
enclosures and devices fitted to aid location. A copy of the certificate of compliance
issued by the testing facility, stating the date of compliance and the applicable
performance standards, shall be retained on board the ship.
Cargo Securing Manual SOLAS 1974

All cargoes, other than solid and liquid bulk cargoes, cargo units and cargo transport (2002 amendments),
units, shall be loaded, stowed and secured throughout the voyage in accordance with the regulations V I / 5 . 6 and VII/5
Cargo Securing Manual approved by the Administration. In ships with ro-ro spaces, as M S C / C i r c . 7 45
defined in regulation I I - 2 / 3. 41 , all securing of such cargoes, cargo units and cargo
transport units, in accordance with the Cargo Securing Manual, shall be completed before
the ship leaves the berth. The Cargo Securing Manual is required on all types of ships
engaged in the carriage of all cargoes other than solid and liquid bulk cargoes, which
shall be drawn up to a standard at least equivalent to the guidelines developed by the
Organization

Document of Compliance SOLAS 1974,
A document of compliance shall be issued to every company which complies with the regulation I X / 4 ;
requirements of the I SM Code. A copy of the document shall be kept on board. I SM Code, paragraph 13
Safety Management Certificate SOLAS 1974,

A Safety Management Certificate shall be issued to every ship by the Administration or regulation I X / 4 ;
an organization recognized by the Administration. The Administration or an organization I SM Code, paragraph 13
recognized by it shall, before issuing the Safety Management Certificate, verify that the
company and its shipboard management operate in accordance with the approved safety
management system.
International Ship Security Certificate (ISSC) or SOLAS 1974

Interim International Ship Security Certificate (2002 amendments),
An International Ship Security Certificate (ISSC) shall be issued to every ship by the regulation X I - 2 / 9 . 1 . 1;
Administration or an organization recognized by it to verify that the ship complies with ISPS Code part A,
the maritime security provisions of SOLAS chapter X I - 2 and part A of the ISPS Code. section 19 and appendices.
An interim ISSC may be issued under the ISPS Code part A, section 19.4.
Ship Security Plan and associated records SOLAS 1974

Each ship shall carry on board a ship security plan approved by the Administration. The (2002 amendments),
plan shall make provisions for the three security levels as defined in part A of the ISPS regulation X I - 2 / 9;
Code. Records of the following activities addressed in the ship security plan shall be kept ISPS Code part A,
on board for at least the minimum period specified by the Administration: sections 9 and 10
.1 training, drills and exercises;
.2 security threats and security incidents;
.3 breaches of security;
.4 changes in security level;
.5 communications relating to the direct security of the ship such as specific
threats to the ship or to port facilities the ship is, or has been, in;
.6 internal audits and reviews of security activities;
.7 periodic review of the ship security assessment;
.8 periodic review of the ship security plan
.9 implementation of any amendments to the plan; and
.10 maintenance, calibration and testing of any security equipment provided on
board, including testing of the ship security alert system.
Continuous Synopsis Record (CSR) SOLAS 1974

Every ship to which chapter I of the Convention applies shall be issued with a (2002 amendments),
Continuous Synopsis Record. The Continuous Synopsis Record provides an on-board regulation X I - 1 /5
record of the history of the ship with respect to the information recorded therein.
2 In addition to the certificates listed in section 1 above, passenger ships shall carry:
Passenger Ship Safety Certificate* SOLAS 1974, regulation 1/12,

A certificate called a Passenger Ship Safety Certificate shall be issued after inspection as amended by the GMDSS
and survey to a passenger ship which complies with the requirements of chapters II 1, II amendments;
2, III and IV and any other relevant requirements of SOLAS 1 9 7 4 . A Record of 1988 SOLAS Protocol,
Equipment for the Passenger Ship Safety Certificate (Form P) shall be permanently regulation 1/12, (2000
attached. amendments), appendix
Exemption Certificate^ SOLAS 1974, regulation 1/12;
When an exemption is granted to a ship under and in accordance with the provisions of 1988 SOLAS Protocol,
SOLAS 1974, a certificate called an Exemption Certificate shall be issued in addition to regulation 1/12
the certificates listed above.
Special Trade Passenger Ship Safety Certificate, STP 71 , rule 5

Special Trade Passenger Ship Space Certificate SSTP 73 , rule 5
A Special Trade Passenger Ship Safety Certificate issued under the provisions of the
Special Trade Passenger Ships Agreement, 1 9 7 1 .
A certificate called a Special Trade Passenger Ship Space Certificate shall be issued
under the provisions of the Protocol on Space Requirements for Special Trade Passenger
Ships, 1973 .
Search and rescue co-operation plan SOLAS 1974

Passenger ships to which chapter I of the Convention applies shall have on board a plan ( 2 0 0 0 amendments),
for co operation with appropriate search and rescue services in event of an emergency. regulation V/7.3
List of operational limitations SOLAS 1974

Passenger ships to which chapter I of the Convention applies shall ( 2000 amendments),

keep on board a list of all limitations on the operation of the ship, regulation V/30
including exemptions from any of the SOLAS, regulations,
restrictions in operating areas, weather restrictions, sea state
restrictions, restrictions in permissible loads, trim, speed and any
other limitations, whether imposed by the Administration or
established during the design or the building stages.
Decision support system for masters SOLAS 1974,

In all passenger ships, a decision support system for emergency management shall be regulation 111/29
provided on the navigation bridge.
3 In addition to the certificates listed in section 1 above, cargo ships shall carry:
Cargo Ship Safety Construction Certificate* SOLAS 1974, regulation 1/12,

A certificate called a Cargo Ship Safety Construction Certificate shall be issued after as amended by the GMDSS
survey to a cargo ship o f 500 gross tonnage and over which satisfies the requirements for amendments;
cargo ships on survey, set out in regulation 1/10 of SOLAS 1974, and complies with the 1988 SOLAS Protocol,
applicable requirements of chapters II -1 and II - 2, other than those relating to fire- regulation 1/12
extinguishing appliances and fire control plans.
Cargo Ship Safety Equipment Certificate SOLAS 1974, regulation 1/12,

A certificate called a Cargo Ship Safety Equipment Certificate shall be issued after as amended by the GMDSS
survey to a cargo ship of 500 gross tonnage and over which complies with the relevant amendments;
requirements of chapters II-1 and II-2 and III and any other relevant requirements of 1988 SOLAS Protocol,
SOLAS 1974. A Record of Equipment for the Cargo Ship Safety Equipment Certificate regulation 1/12 ( 2000
(Form E) shall be permanently attached. amendments), appendix
Cargo Ship Safety Radio Certificate SOLAS 1974, regulation 1/12,

A certificate called a Cargo Ship Safety Radio Certificate shall be issued after survey to a as amended by the GMDSS
cargo ship of 3 0 0 gross tonnage and over, fitted with a radio installation, including those amendments;
used in life-saving appliances, which complies with the requirements of chapters III and 1988 SOLAS Protocol,
IV and any other relevant requirements of SOLAS 1974. A Record of Equipment for the regulation 1/12
Cargo Ship Safety Radio Certificate (Form R) shall be permanently attached.
Cargo Ship Safety Certificate 1988 SOLAS Protocol,

A certificate called a Cargo Ship Safety Certificate may be issued after survey to a cargo regulation 1/12
ship which complies with the relevant requirements of chapters II - 1, II-2, III, IV and V ( 2000 amendments),
and other relevant requirements of S O L A S 1974 as modified by the 1988 SOLAS appendix
Protocol, as an alternative to the above cargo ship safety certificates. A R e c o r d of
Equipment for the Cargo Ship Safety Certificate (Form C) shall be permanently attached.
Exemption Certificate* SOLAS 1974, regulation 1/12 ;

When an exemption is granted to a ship under and in accordance with the provisions of 1988 SOLAS Protocol,
SOLAS 1974, a certificate called an Exemption Certificate shall be issued in addition to regulation 1/12
the certificates listed above.
Document of authorization for the carriage of grain SOLAS 1974, regulation VI / 9

A document of authorization shall be issued for every ship loaded in accordance with the ;International Code for the Safe
regulations of the International Code for the Safe Carriage of Grain in Bulk either by the Carriage of Grain in Bulk,
Administration or an organization recognized by it or by a Contracting Government on section 3
behalf of the Administration. The document shall accompany or be incorporated into the
grain loading manual provided to enable the master to meet the stability requirements
of the Code.
Certificate of insurance or other financial security in respect of civil liability for oil C L C 1969, article VII
pollution damage
A certificate attesting that insurance or other financial security is in force shall be issued
to each ship carrying more than 2, 000 tons of oil in bulk as cargo. It shall be issued or
certified by the appropriate authority of the State of the ship's registry after determining
that the requirements of article VII, paragraph 1, of the C LC Convention have been
complied with.
Certificate of insurance or other financial security in respect of civil liability for oil C L C 1992, article VII
pollution damage
A certificate attesting that insurance or other financial security is in force in accordance
with the provisions of the 1992 C LC Convention shall be issued to each ship carrying
more than 2, 000 tons of oil in bulk as cargo after the appropriate authority of a

Contracting State has determined that the requirements of article VII, paragraph 1, of the
Convention have been complied with. With respect to a ship registered in a Contracting
State, such certificate shall be issued by the appropriate authority of the State of the ship's
registry; with respect to a ship not registered in a Contracting State, it may be issued or
certified by the appropriate authority of any Contracting State.
Enhanced survey report file SOLAS 1974 (2002

Bulk carriers and oil tankers shall have a survey report file and supporting documents amendments),
complying with paragraphs 6.2 and 6.3 of annex A and annex B of resolution A . 744 regulation X I - 1 / 2;
(18) - Guidelines on the enhanced programme of inspections during surveys of bulk resolution A.744(18)
carriers and oil tankers.
Record of oil discharge monitoring and control system for the last ballast voyage M A R P O L 7 3 / 7 8 , Annex
Subject to provisions of paragraphs (4), (5), (6) and (7) of regulation 15 of Annex I of I,
MARPOL 73 / 78 , every oil tanker of 150 gross tonnage and above shall be fitted with regulation 15 (3) (a)
an oil discharge monitoring and control system approved by the Administration.
The system shall be fitted with a recording device to provide a continuous record of the
discharge in litres per nautical mile and total quantity discharged, or the oil content and
rate of discharge. This record shall be identifiable as to time and date and shall be kept
for at least three years.
Cargo Information SOLAS 1974,

The shipper shall provide the master or his representative with appropriate information, regulations VI/2 and X I I / 1 0;
confirmed in writing, on the cargo, in advance of loading. In bulk carriers, the density of M S C / C i r c . 663
the cargo shall be provided in the above information.
Bulk Carrier Booklet SOLAS 1974,

To enable the master to prevent excessive stress in the ship's structure, the ship loading regulations VI/7 and; X I I / 8;
and unloading solid bulk cargoes shall be provided with a booklet referred to in SOLAS Code of Practice for the Safe
regulation VI/7.2. The booklet shall be endorsed by the Administration or on its behalf to Loading and Unloading of
indicate that SOLAS regulations X I I / 4 , 5, 6 and 7, as appropriate, are complied with. Bulk Carriers ( B L U Code)
As an alternative to a separate booklet, the required information may be contained in the
intact stability booklet.
Dedicated Clean Ballast Tank Operation Manual M A R P O L 7 3 / 7 8 , Annex I,

Every oil tanker operating with dedicated clean ballast tanks in accordance with the regulation 13A
provisions of regulation 13(10) of Annex I of M A R P O L 7 3 / 7 8 shall be provided
with a Dedicated Clean Ballast Tank Operation Manual detailing the system and
specifying operational procedures. Such a Manual shall be to the satisfaction of the
Administration and shall contain all the information set out in the Specifications referred
to in paragraph 2 of regulation 13A of Annex I of M A R P O L 7 3 / 7 8.
Crude Oil Washing Operation and Equipment Manual (COW Manual) M A R P O L 7 3 / 7 8 , Annex I,
Every oil tanker operating with crude oil washing systems shall be provided with an regulation 1 3B
Operations and Equipment Manual detailing the system and equipment and specifying
operational procedures. Such a Manual shall be to the satisfaction of the Administration
and shall contain all the information set out in the specifications referred to in paragraph
2 of regulation 13B of Annex I of MARPOL 73/78.
Condition Assessment Scheme (CAS) Statement of Compliance, CAS Final Report and M A R P O L 7 3 / 7 8 , Annex I
Review Record (2001 amendments)
A Statement of Compliance shall be issued by the Administration to every oil tanker (resolution M E P C . 95 ( 46 ) )
which has been surveyed in accordance with the requirements of the Condition ,
Assessment Scheme (CAS) (resolution M E P C . 9 4 ( 4 6 ) , as amended) and found to regulation 13G; resolution M E
be in compliance with these requirements. In addition, a copy of the CAS Final Report P C . 94 ( 46 ))
which was reviewed by the Administration for the issue of the Statement of Compliance
and a copy of the relevant Review R e c o r d shall be placed on board to accompany the
Statement of Compliance.
Hydrostatically Balanced Loading (HBL) Operational Manual M A R P O L 7 3 / 7 8 , Annex I

Every oil tanker which, in compliance with regulation 13G(6)(b),operates with (2001 amendments)
Hydrostatically Balanced Loading shall be provided with an operational manual in (resolution M E P C . 95 ( 46 ) )
accordance with resolution M E P C . 6 4 ( 3 6 ) . , regulation 13G)
Oil Discharge Monitoring and Control (ODMC) Operational Manual M A R P O L 7 3 / 7 8 , Annex I,
Every oil tanker fitted with an Oil Discharge Monitoring and Control system shall be regulation 15(3)(c)
provided with instructions as to the operation of the system in accordance with an
operational manual approved by the Administration.
Subdivision and stability information MARPOL 7 3 / 7 8 , Annex I,
Every oil tanker t o which regulation 25 of Annex I of MARPOL applies shall be 73/78

provided in an approved form with regulation 25 information relative to loading and
distribution of cargo necessary to ensure compliance with the provisions of this
regulation and data on the ability of the ship to comply with damage stability criteria as
determined by this regulation.
4. In addition to the certificates listed in sections 1 and 3 above, where appropriate, any ship carrying noxious liquid
chemical substances in bulk shall carry:
International Pollution Prevention Certificate for the Carriage of Noxious Liquid M A R P O L 7 3 / 7 8 , Annex
Substances in Bulk (NLS Certificate) II, regulations 11 and 12A
An international pollution prevention certificate for the carriage of noxious liquid
substances in bulk (NLS certificate) shall be issued, after survey in accordance with the
provisions of regulation 10 of Annex II of MARPOL 7 3 / 7 8, to any ship carrying
noxious liquid substances in bulk and which is engaged in voyages to ports or terminals
under the jurisdiction of other Parties t o MARPOL 7 3 / 78. In respect of chemical
tankers, the Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk and
the International Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk,
issued under the provisions of the Bulk Chemical Code and International Bulk Chemical
Code, respectively, shall have the same force and receive the same recognition as the
NLS certificate.
Cargo record book M A R P O L 7 3 /7 8 , Annex
Every ship to which Annex II of MARPOL 73 / 78 applies shall be provided with a II, regulation 9
Cargo Record Book , whether as part of the ship's official log book or otherwise, in the
form specified in appendix IV to the Annex.
Procedures and Arrangements Manual (P & A Manual) Resolution MEPC. 18 ( 22 ) ,
Every ship certified to carry noxious liquid substances in bulk shall have on board a chapter 2; MARPOL 73 / 78 ,
Procedures and Arrangements Manual approved by the Administration. Annex II, regulations 5, 5A and
8
Shipboard Marine Pollution Emergency Plan for Noxious Liquid Substances MARPOL 7 3 / 7 8 , Annex II,
Every ship of 150 gross tonnage and above certified to carry noxious liquid substances in regulation 16
bulk shall carry on board a shipboard marine pollution emergency plan for noxious liquid
substances approved by the Administration.
5. In addition to the certificates listed in sections 1 and 3 above, where applicable, any chemical tanker shall carry:
Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk B C H Code, section 1.6;
A certificate called a Certificate of Fitness for the Carriage of Dangerous Chemicals in B C H Code as modified by
Bulk, the model form of which is set out in the appendix to the Bulk Chemical Code, resolution M S C . 1 8 ( 5 8 ) ,
should be issued after an initial or periodical survey to a chemical tanker engaged in section 1.6
international voyages which comply with the relevant requirements of the Code.
Note: T h e Code i s mandatory under Annex I I of M A R P O L 7 3 / 78 for chemical
tankers constructed before 1 July 1 9 8 6.
or I B C Code, section 1.5;
International Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk I B C Code as modified by
A certificate called an International Certificate of Fitness for the Carriage of Dangerous resolutions M S C . 16 ( 58 )
Chemicals in Bulk, the model form of which is set out in the appendix to the and M E P C . 40 ( 29 ) , section
International Bulk Chemical Code, should be issued after an initial or periodical survey 1.5
to a chemical tanker engaged in international voyages which complies with the relevant
requirements of the Code.
Note: The Code is mandatory under both chapter VII of SOLAS 1974 and Annex II of
MARPOL 73 / 78 for chemical tankers constructed on or after 1 J u l y 1986.
6. In addition to the certificates listed in sections 1 and 3 above, where applicable, any gas
carrier shall carry:
Certificate of Fitness for the Carriage of Liquefied Gases in Bulk GC Code, section 1.6
A certificate called a Certificate of Fitness for the Carriage of Liquefied Gases in Bulk,
the model form of which is set out in the appendix to the Gas Carrier Code, should be
issued after an initial or periodical survey to a gas carrier which complies with the
relevant requirements of the Code.
International Certificate of Fitness for the Carriage of Liquefied Gases in Bulk I G C Code, section 1.5;
A certificate called an International Certificate of Fitness for the Carriage of Liquefied I G C Code as modified by
Gases in Bulk, the model form of which is set out in the appendix to the International Gas resolution M S C . 17 ( 58 ) ,
Carrier Code, should be issued after an initial or periodical survey to a gas carrier which section 1.5
complies with the relevant requirements of the Code.
Note: The Code is mandatory under chapter VII of S O L AS 1974 for gas carriers
constructed on or after 1 July 1 9 8 6 .

7. In addition to the certificates listed in sections 1, and 2 or 3 above, where applicable, any
high-speed craft shall carry:
High-Speed Craft Safety Certificate SOLAS 1974, regulation X / 3 ;
A certificate called a High-Speed Craft Safety Certificate shall be issued after completion 1994 H S C Code, section 1.8;
of an initial or renewal survey to a craft which complies with the requirements of the 2000 H S C Code, section 1.8
1994 HSC Code or the 2000 HSC Code, as appropriate.
Permit to Operate High-Speed Craft 1994 H S C Code, section 1.9;
A certificate called a Permit to Operate High-Speed Craft shall be issued to a craft which 2000 H S C Code, section 1.9
complies with the requirements set out in paragraphs 1.2.2 to 1.2.7 of the 1994 HSC
Code or the 2000 HSC Code, as appropriate.
8. In addition to the certificates listed in sections 1, and 2 or 3 above, where applicable, any ship
carrying dangerous goods shall carry:
Document of compliance with the special requirements for ships carrying dangerous SOLAS 1974, ( 2000
goods amendments), regulation I I - 2 /
The Administration shall provide the ship with an appropriate document as evidence of 19 .4
compliance of construction and equipment with the requirements of regulation 11-2/19
of S O L A S 1974. Certification for dangerous goods, except solid dangerous goods in
bulk, is not required for those cargoes specified as class 6.2 and 7 and dangerous goods in
limited quantities.
9. In addition to the certificates listed in sections 1, and 2 or 3 above, where applicable, any ship
carrying dangerous goods in packaged form shall carry:
Dangerous goods manifest or stowage plan SOLAS 1974, (2002
Each ship carrying dangerous goods in packaged form shall have a special list or amendments), regulations VII /
manifest setting forth, in accordance with the classification set out in the I M D G Code, 4 . 5 and VII / 7 - 2 ; MARPOL
the dangerous goods on board and the location thereof. Each ship carrying dangerous 73/78, Annex III, regulation 4
goods in solid form in bulk shall have a list or manifest setting forth the dangerous goods
on board and the location thereof. A detailed stowage plan, which identifies by class and
sets out the location of all dangerous goods on board, may be used in place of such a
special list or manifest. A copy of one of these documents shall be made available before
departure to the person or organization designated by the port State authority.
ship carrying I N F cargo shall carry:
International Certificate of Fitness for the Carriage of INF Cargo SOLAS 1974, regulation V I I /
A ship carrying I N F cargo shall comply with the requirements of the International Code 1 6 ; I N F Code (resolution M
for the Safe Carriage of Packaged Irradiated Nuclear Fuel, Plutonium and High Level S C . 88 ( 71 ) ) , paragraph 1.3
Radioactive Wastes on Board Ships (INF Code) in addition to any other applicable
requirements of the SOLAS regulations and shall be surveyed and be provided with the
International Certificate of Fitness for the Carriage of I N F Cargo.
Nuclear Ship shall carry:
A Nuclear Cargo Ship Safety Certificate or Nuclear Passenger Ship Safety Certificate, SOLAS 1974, regulation V I I I
in place of the Cargo Ship Safety Certificate or Passenger Ship Safety Certificate, as / 10
appropriate.
Every Nuclear powered ship shall be issued with the certificate required by SOLAS
chapter VIII.
Other certificates and documents which are not mandatory

Special purpose ships
Special Purpose Ship Safety Certificate Resolution A . 5 3 4 ( 1 3 ) as
In addition to S O L A S certificates as specified in paragraph 7 of the Preamble of the amended by MSC / C i r c . 739
Code of Safety for Special Purpose Ships, a Special Purpose Ship Safety Certificate ;
should be issued after survey in accordance with the provisions of paragraph 1.6 of the SOLAS 1974, regulation 1/12;
Code for Special Purpose Ships. The duration and validity of the certificate should be 1988 S O L A S Protocol,
governed by the respective provisions for cargo ships in SOLAS 1974. If a certificate is regulation 1/12
issued for a special purpose ship of less than 500 gross tonnage, this certificate should
indicate to what extent relaxations in accordance with 1.2 were accepted.

Offshore support vessels
Certificate of Fitness for Offshore Support Vessels Resolution A . 6 7 3 ( 1 6 );
When carrying such cargoes, offshore support vessels should carry a Certificate of M A R P O L 7 3 / 7 8 , Annex
Fitness issued under the "Guidelines for the Transport and Handling of Limited Amounts II, regulation 13(4)
of Hazardous and Noxious Liquid Substances in B u l k on Offshore Support Vessels".
If an offshore support vessel carries only noxious liquid substances, a suitably endorsed
International Pollution Prevention Certificate for the Carriage of Noxious Liquid
Substances in Bulk may be issued instead of the above Certificate of Fitness.
Diving systems
Diving System Safety Certificate Resolution A . 5 3 6 ( 1 3 )
A certificate should be issued either by the Administration or any, person or organization section 1.6
duly authorized by it after survey or inspection to a diving system which complies with
the requirements of the Code of Safety for Diving Systems. In every case, the
Administration should assume full responsibility for the certificate.
Dynamically supported craft

Dynamically Supported Craft Construction and Equipment Certificate Resolution A . 3 7 3 ( X )
To be issued after survey carried out in accordance with paragraph, 1.5.1(a) of the Code section 1.6
of Safety for Dynamically Supported Craft.
Mobile offshore drilling units

Mobile Offshore Drilling Unit Safety Certificate Resolution A . 4 1 4 ( X I ),
To be issued after survey carried out in accordance with the provisions of the Code for section 1.6; Resolution
the Construction and Equipment of Mobile Offshore Drilling Units, 1979, or, for units A.649(16) section 1.6;
constructed on or after 1 May 1991, the Code for the Construction and Equipment of Resolution A.649(16) as
Drilling Units, 1989. modified by resolution
M S C . 3 8 ( 6 3 ) , section 1.6
Wing-In-Ground (WIG) Craft

Wing-in-ground Craft Safety Certificate MSC/Circ.1054, section 9
A certificate called a WIG Craft Safety Certificate should be issued after completion of
an initial or renewal survey to a craft, which complies with the provisions of the Interim
Guidelines for WIG craft.
Permit to Operate WIG Craft MSC/Circ.1054, section 10
A permit to operate should be issued by the Administration to certify compliance with the
provisions of the Interim Guidelines for WIG craft.
The International Maritime Organization recognizes three classes of ground effect craft:
1. Type A: a craft which is certified for operation only in ground effect;

2. Type B: a craft which is certified to temporarily increase its altitude to a limited height outside the influence of
ground effect but not exceeding 150 m above the surface; and
3. Type C: a craft which is certified for operation outside of ground effect and exceeding 150 m above the surface.
Note: These classes currently only apply to craft carrying 12 passengers or more
Noise levels
Noise Survey Report Resolution A.468(XII),
A noise survey report should be made for each ship in accordance with the Code on section 4.3
Noise Levels on Board Ships.

The Harmonized System of Survey and Certification (HSSC)
1. The Harmonized System of Survey and Certification (HSSC) sets standards for the periods of
validity and surveys intervals for the ten main conventions and codes certificates. In so doing it
aims to simplify the survey and certification process.
The harmonized system provides for:
a) a one-year standard interval between surveys, based on initial, annual, intermediate,

periodical and renewal surveys as appropriate;
b) a scheme for providing the necessary flexibility for the execution of each survey with the
provision that the renewal survey may be completed within three months before the
expiry date of the existing certificate with no loss of its period of validity;
c) a maximum period of validity of five years for all certificates for cargo ships;
d) a maximum period of validity of 12 months for the Passenger Ship Safety Certificate;
e) a system for the extension of certificates limited to three months to enable a ship to
complete its voyage;
f) a scheme to maintain the 5 year cycle when an extension has been granted by requiring
that the period of validity of the new certificate does not exceed 5 years from the expiry
date of the existing certificate.
g) 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;
− the interval between any two such inspections shall not exceed 36 months;
2. The main changes to the SOLAS and Load Lines Conventions are that annual inspections have
been made mandatory for cargo ships, unscheduled inspections are no longer included and
intermediate surveys are required for all ships under the Cargo Ship Safety Construction
Certificate.
Other changes refer to survey intervals and requirements.
Survey Types
3. Under the HSSC, there are seven types of survey:
a) Initial Survey. A complete examination, before the ship is put into service, of all items
relating to the certificate to be issued, to ensure that they meet all relevant requirements,
and that they satisfactory for the ship’s intended service. The initial survey shall include
a complete inspection of the structure, machinery and equipment.
This survey shall be such as to ensure that the arrangements, materials, scantlings and
workmanship of the structure, boilers and other pressure vessels, their appurtenances,
main and auxiliary machinery including steering gear and associated control systems,
electrical installation and other equipment comply with the requirements of the present
regulations, are in satisfactory condition and are fit for the service for which the ship is
intended and that the required stability information is provided. In the case of tankers
such a survey shall also include an inspection of the pump-rooms, cargo, bunker and
ventilation piping systems and associated safety devices.

b) Periodical Survey. A completion examination of all items relating to a certificate to
ensure that they are in a satisfactory condition, and that they are fit for the ship’s intended
service.
c) Renewal Survey. A complete examination of all items relating to a certificate as for a

periodical survey, but leading to the issue of a new certificate.
d) Intermediate Survey. An inspection of specific items relating to a certificate to ensure

that they are in a satisfactory condition, and that they are fit for the ship’s intended
service.
e) Annual Survey. A general inspection of the items relating to a certificate to ensure that
they have been maintained and remain fit for the ship’s intended service.
f) Inspection of the Outside of the Ships Bottom. An inspection of the underwater part of
the ship and related items to ensure that they are in a satisfactory condition and that they
are fit for the ships intended service.
g) Additional Survey. An inspection, either general or partial according to circumstance, to

be made after a repair resulting from investigation, or whenever any important repairs or
renewals are made.
4. List of certificates required on board ship relating to harmonized system of survey and
certification (some depend on type of ship)
a) Passenger Ship Safety Certificate, including Record of Equipment (Form P);

b) Cargo Ship Safety Construction Certificate;
c) Cargo Ship Safety Equipment Certificate, including Record of Equipment (Form E);
d) Cargo Ship Safety Radio Certificate, including Record of Equipment (Form R);
e) Cargo Ship Safety Certificate, including Record of Equipment (Form C);
f) International Load Lines Certificate;
g) International Oil Pollution Prevention Certificate;
h) International Pollution Prevention Certificate for the Carriage of Noxious Liquid
i) Substances in Bulk;
j) International Air Pollution Prevention Certificate;
k) International Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk;
l) International Certificate of Fitness for the Carriage of Liquefied Gases in Bulk;
m) Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk.
Uniform implementation of HSSC

5. Existing certificates will remain valid until such time when HSSC certificates are issued or
until their expiration date, whichever first occurs.
6. The Cargo Ship Safety Construction Certificate is to be used as the basis to implement the
HSSC considering that this certificate governs the interval for the dry-docking surveys. Using
other certificates may require the vessel to undergo an additional dry-docking survey.

7. Alignment of Certificates: The validity date of the current Cargo Ship Safety Construction
Certificate is to be used as the basis for implementing HSSC on a particular vessel. This date
most likely coincides with the validity date of the other 5-year statutory certificates that the
vessel has, and should also be the same as that of the classification certificate.
When Cargo Ship Safety Construction expires first after February 17, 2008
8. The other certificates (e.g. Cargo Ship Safety Equipment, Cargo Ship Safety Radio, Load Line
and/or Oil Pollution Prevention certificates) are also to be re-issued in HSSC format at the same
time the Cargo Ship Safety Construction Certificate is issued in HSSC format. The validity
period of the other certificates would be adjusted to correspond with that of the HSSC Cargo
Ship Safety Construction Certificate.
9. If the other certificates Renewal Surveys have been completed within 3 months of the
completion of the Cargo Ship Safety Construction Certificate Renewal Survey, then the other
renewal surveys can be credited and a general examination of the other certificates' items (e.g.
Cargo Ship Safety Equipment, Cargo Ship Safety Radio, Load Line and/or Oil Pollution
Prevention certificates) need only be completed pursuant to the issuance of the 5-year HSSC
certificates.
10. If the other certificates Renewal Surveys have not been completed within 3 months of the
Cargo Ship Safety Construction Certificate Renewal survey, Renewal Surveys are to be
performed at the time of Cargo Ship Safety Construction renewal.
11. All certificates will then be renewed and re-issued with a 5-year validity period and the same
survey due date.
When the other certificate(s) expire(s) before the Cargo Ship Safety
Construction Certificate but after February 17, 2008
12. They are to be renewed in HSSC format with their validity limited to the validity date of the
current Cargo Ship Safety Construction. This will establish a new anniversary date for the other
certificates so that when the Cargo Ship Safety Construction is renewed, all certificates will then
be renewed and re-issued with a 5-year validity period and the same survey due date.
13. The other certificates issued may have an initial validity less than 5 years. In this case, annual
endorsements should start with the top line and proceed down until the certificate expires,
recognizing that not all endorsement lines will be signed.
14. If the other certificates Renewal Surveys have been completed within 3 months of the
completion of the Cargo Ship Safety Construction Certificate Renewal survey, then the other
renewal surveys can be credited and a general examination of the other certificates' items (e.g.
Cargo Ship Safety Equipment, Cargo Ship Safety Radio, Load Line and/or Oil Pollution
Prevention certificates) need only be completed pursuant to the issuance of the 5-year HSSC
certificates.
15. If the other Renewal surveys have not been completed within 3 months of the Cargo Ship
Safety Construction Certificate anniversary date, an Annual/Periodical Survey is to be performed
at the time of the next Cargo Ship Safety Construction Certificate Annual survey. If, in such
cases, the Cargo Ship Safety Construction anniversary date is also the Cargo Ship Safety
Construction Certificate expiration date, then Renewal surveys are to be carried out at the time of
the Cargo Ship Safety Construction Renewal survey (rather than Annual/Periodical survey).

Part B: Surveys and certificates
Regulation 7
Part B
Surveys and certificates*
Regulation 6
(a) T h e inspection and survey of ships, so far as regards the enforcement of the provisions of the present
regulations and the granting of exemptions therefrom, shall be carried out by officers of the Administration.
The Administration may, however, entrust the inspections and surveys either to surveyors nominated for
the purpose or to organizations recognized by it.
(b) An Administration nominating surveyors or recognizing organizations to conduct inspections and

surveys as set forth in paragraph (a) shall as a minimum empower any nominated surveyor or recognized
organization to:
(i) require repairs to a ship;
(ii) carry out inspections and surveys if requested by the appropriate authorities of a port State. •
The Administration shall notify the Organization of the specific responsibilities and conditions of the
1
authority delegated to nominated surveyors or recognized organizations. '
(c) W h e n a nominated surveyor or recognized organization determines that the condition of the ship or
its equipment does not correspond substantially with the particulars of the certificate or is such that the ship
is not fit to proceed to sea without danger to the ship, or persons on board, such surveyor or organization
shall immediately ensure that corrective action is taken and shall in due course notify the Administration. If
such corrective action is not taken the relevant certificate should be withdrawn and the Administration
shall be notified immediately; and, if the ship is in the port of another Party, the appropriate authorities of
the port State shall also be notified immediately. W h e n an officer of the Administration, a nominated
surveyor or a recognized organization has notified the appropriate authorities of the port State, the
Government of the port State concerned shall give such officer, surveyor or organization any necessary
assistance to carry out their obligations under this regulation. W h e n applicable, the Government of the port
State concerned shall ensure that the ship shall not sail until it can proceed to sea, or leave port for the
purpose of proceeding to the appropriate repair yard, without danger to the ship or persons on board.
(d) In every case, the Administration shall fully guarantee the completeness and efficiency of the
inspection and survey, and shall undertake to ensure the necessary arrangements to satisfy this obligation.
S] Regulation 7
Surveys of passenger shipst
(a) A passenger ship shall be subject to the surveys specified below:
(i) an initial survey before the ship is put in service;
Refer to Global and uniform implementation of the harmonized system of survey and certification (HSSC) adopted by the
Assembly of the Organization by resolution A.883(21), the Survey guidelines under the harmonized system of survey and
certification, 2007, adopted by the Assembly of the Organization by resolution A.997(25), as may be amended by the Organization,
MSC.1/Circ.1223 on Guidelines for pre-planning of surveys in dry docks of ships which are not subject to the enhanced
programme of inspections, and MSC.1/Circ.1290 on Unified interpretation of the term "first survey" referred to in SOLAS
regulations.
1
Refer to MSC/Circ.1010 — MEPC/Circ.382 on Communication of information on the authorization of recognized
organizations (ROs), and the information collected via the Global Integrated Shipping Information System (GISIS).
* Refer to resolution A.794(19) on surveys and inspections of ro—ro passenger ships and MSC/Circ.956, Guidelines for
unscheduled inspections of ro—ro passenger ships by flag States.
17
Chapter I: General provisions
Regulation 8
(ii) a renewal survey once every 12 months, except where regulation 14(b), (c), (f) and (g) is
applicable;
(iii) additional surveys, as occasion arises.
(b) T h e surveys referred to above shall be carried out as follows:

(i) the initial survey shall include a complete inspection of the ship's structure, machinery and
equipment, including the outside of the ship's bottom and the inside and outside of the boilers.
This survey shall be such as to ensure that the arrangements, materials and scantlings of the
structure, boilers and other pressure vessels and their appurtenances, main and auxiliary
machinery, electrical installation, radio installations including those used in life-saving
appliances, fire protection, fire safety systems and appliances, life-saving appliances and
arrangements, shipborne navigational equipment, nautical publications, means of embarkation
for pilots and other equipment fully comply with the requirements of the present regulations,
and of the laws, decrees, orders and regulations promulgated as a result thereof by the
Administration for ships of the service for which it is intended. T h e survey shall also be such as
to ensure that the workmanship of all parts of the ship and its equipment is in all respects
satisfactory, and that the ship is provided with the lights, shapes, means of making sound signals
and distress signals as required by the provisions of the present regulations and the International
Regulations for Preventing Collisions at Sea in force;
(ii) the renewal survey shall include an inspection of the structure, boilers and other pressure vessels,
machinery and equipment, including the outside of the ship's bottom. T h e survey shall be such as
to ensure that the ship, as regards the structure, boilers and other pressure vessels and their
appurtenances, main and auxiliary machinery, electrical installation, radio installations including
those used in life-saving appliances, fire protection, fire safety systems and appliances, life-saving
appliances and arrangements, shipborne navigational equipment, nautical publications, means of
embarkation for pilots and other equipment is in satisfactory condition and is fit for the service for
which it is intended, and that it complies with the requirements of the present regulations and of
the laws, decrees, orders and regulations promulgated as a result thereof by the Administration. T h e
lights, shapes, means of making sound signals and distress signals carried by the ship shall also be
subject to the above-mentioned survey for the purpose of ensuring that they comply with the
requirements of the present regulations and of the International Regulations for Preventing
Collisions at Sea in force;
(iii) an additional survey either general or partial, according to the circumstances, shall be made after a
repair resulting from investigations prescribed in regulation 11, or whenever any important repairs
or renewals are made. T h e survey shall be such as to ensure that the necessary repairs or renewals
have been effectively made, that the material and workmanship of such repairs or renewals are in all
respects satisfactory, and that the ship complies in all respects with the provisions of the present
regulations and of the International Regulations for Preventing Collisions at Sea in force, and of
the laws, decrees, orders and regulations promulgated as a result thereof by the Administration;
(c) (i) the laws, decrees, orders and regulations referred to in paragraph (b) of this regulation shall be in
all respects such as to ensure that, from the point of view of safety of life, the ship is fit for the
service for which it is intended;
(ii) they shall among other things prescribe the requirements to be observed as to the initial and
subsequent hydraulic or other acceptable alternative tests to which the main and auxiliary
boilers, connections, steam pipes, high pressure receivers and fuel tanks for internal combustion
engines are to be submitted including the test procedures to be followed and the intervals
between two consecutive tests.
Regulation 8
Surveys of life-saving appliances and other equipment of cargo ships
(a) T h e life-saving appliances and other equipment of cargo ships of 5 0 0 gross tonnage and upwards as
referred to in paragraph (b)(i) shall be subject to the surveys specified below:
18
Regulation 9
(ii) a renewal survey at intervals specified by the Administration but not exceeding 5 years, except
where regulation 14(b), (e), (f) and (g) is applicable;
(iii) a periodical survey within three months before or after the second anniversary date or within
three months before or after the third anniversary date of the Cargo Ship Safety Equipment
Certificate which shall take the place of one of the annual surveys specified in paragraph (a)(iv);
(iv) an annual survey within 3 months before or after each anniversary date of the Cargo Ship Safety
Equipment Certificate;
(v) an additional survey as prescribed for passenger ships in regulation 7(b)(iii).
(b) T h e surveys referred to in paragraph (a) shall be carried out as follows:

(i) the initial survey shall include a complete inspection of the fire safety systems and appliances,
life-saving appliances and arrangements except radio installations, the shipborne navigational
equipment, means of embarkation for pilots and other equipment to which chapters II—1, I I - 2 ,
III and V apply to ensure that they comply with the requirements of the present regulations, are
in satisfactory condition and are fit for the service for which the ship is intended. T h e fire control
plans, nautical publications, lights, shapes, means of making sound signals and distress signals
shall also be subject to the above-mentioned survey for the purpose of ensuring that they comply
with the requirements of the present regulations and, where applicable, the International
Regulations for Preventing Collisions at Sea in force;*
(ii) the renewal and periodical surveys shall include an inspection of the equipment referred to in
paragraph (b)(i) to ensure that it complies with the relevant requirements of the present
regulations and the International Regulations for Preventing Collisions at Sea in force, is in
satisfactory condition and is fit for the service for which the ship is intended;
(iii) the annual survey shall include a general inspection of the equipment referred to in paragraph (b)
(i) to ensure that it has been maintained in accordance with regulation 11 (a) and that it remains
satisfactory for the service for which the ship is intended.
(c) T h e periodical and annual surveys referred to in paragraphs (a) (iii) and (a)(iv) shall be endorsed on the
Cargo Ship Safety Equipment Certificate.
H Regulation 9
Surveys of radio installations of cargo ships
(a) T h e radio installations, including those used in life-saving appliances, of cargo ships to which chapters
III and IV apply shall be subject to the surveys specified below:
(ii) a renewal survey at intervals specified by the Administration but not exceeding five years, except
(iii) a periodical survey within three months before or after each anniversary date of the Cargo Ship
Safety Radio Certificate;
(iv) an additional survey as prescribed for passenger ships in regulation 7(b)(iii).
(b) T h e surveys referred to in paragraph (a) shall be carried out as follows:

(i) the initial survey shall include a complete inspection of the radio installations of cargo ships,
including those used in life-saving appliances, to ensure that they comply with the requirements
of the present regulations;
(ii) the renewal and periodical surveys shall include an inspection of the radio installations of cargo
ships, including those used in life-saving appliances, to ensure that they comply with the
requirements of the present regulations.
(c) T h e periodical surveys referred to in paragraph (a) (iii) shall be endorsed on the Cargo Ship Safety
Radio Certificate.
* Refer to the Record of approved cargo ship safety equipment (SLS.14/Circ.l).

Regulation 10
Regulation 10
Surveys of structure, machinery and equipment of cargo ships
(a) T h e structure, machinery and equipment (other than items in respect of which a Cargo Ship Safety
Equipment Certificate and a Cargo Ship Safety Radio Certificate are issued) of a cargo ship as referred to in
paragraph (b)(i) shall be subject to the surveys and inspections specified below:
(i) an initial survey including an inspection of the outside of the ship's bottom before the ship is put
in service;*
(ii) a renewal survey at intervals specified by the Administration but not exceeding 5 years, except
(iii) an intermediate survey within three months before or after the second anniversary date or within
three months before or after the third anniversary date of the Cargo Ship Safety Construction
Certificate, which shall take the place of one of the annual surveys specified in paragraph (a)(iv);
(iv) an annual survey within 3 months before or after each anniversary date of the Cargo Ship Safety
Construction Certificate;
(v) a minimum of two inspections of the outside of the ship's bottom during any five year period,
except where regulation 14(e) or (f) is applicable. W h e r e regulation 14(e) or (f) is applicable, this
five year period may be extended to coincide with the extended period of validity of the
certificate. In all cases the interval between any two such inspections shall not exceed 36 months;
(vi) an additional survey as prescribed for passenger ships in regulation 7(b)(iii).
(b) T h e surveys and inspections referred to in paragraph (a) shall be carried out as follows:
(i) the initial survey shall include a complete inspection of the structure, machinery and equipment.
This survey shall be such as to ensure that the arrangements, materials, scantlings and
workmanship of the structure, boilers and other pressure vessels, their appurtenances, main and
auxiliary machinery including steering gear and associated control systems, electrical installation
and other equipment comply with the requirements of the present regulations, are in satisfactory
condition and are fit for the service for which the ship is intended and that the required stability
information is provided. In the case of tankers such a survey shall also include an inspection of
the pump-rooms, cargo, bunker and ventilation piping systems and associated safety devices;
(ii) the renewal survey shall include an inspection of the structure, machinery and equipment as
referred to in paragraph (b)(i) to ensure that they comply with the requirements of the present
regulations, are in satisfactory condition and are fit for the service for which the ship is intended;
(iii) the intermediate survey shall include an inspection of the structure, boilers and other pressure
vessels, machinery and equipment, the steering gear and the associated control systems and
electrical installations to ensure that they remain satisfactory for the service for which the ship is
intended. In the case of tankers, the survey shall also include an inspection of the pump-rooms,
cargo, bunker and ventilation piping systems and associated safety devices and the testing of
insulation resistance of electrical installations in dangerous zones;
(iv) the annual survey shall include a general inspection of the structure, machinery and equipment
referred to in paragraph (b)(i), to ensure that they have been maintained in accordance with
regulation 11(a) and that they remain satisfactory for the service for which the ship is intended;
(v) the inspection of the outside of the ship's bottom and the survey of related items inspected at the
same time shall be such as to ensure that they remain satisfactory for the service for which the
ship is intended.
(c) T h e intermediate and annual surveys and the inspections of the outside of the ship's bottom referred
to in paragraphs (a)(iii), (a)(iv) and (a)(v) shall be endorsed on the Cargo Ship Safety Construction
Certificate.
* Refer to the circular concerning inspection of the outside of the ship's bottom (PSLS.2/Circ.5).
20
Regulation 12
H Regulation 11
Maintenance of conditions after survey
(a) T h e condition of the ship and its equipment shall be maintained to conform with the provisions of the
present regulations to ensure that the ship in all respects will remain fit to proceed to sea without danger to
the ship or persons on board.
(b) After any survey of the ship under regulations 7, 8, 9 or 10 has been completed, no change shall be
made in the structural arrangements, machinery, equipment and other items covered by the survey,
without the sanction of the Administration.
(c) Whenever an accident occurs to a ship or a defect is discovered, either of which affects the safety of the
ship or the efficiency or completeness of its life-saving appliances or other equipment, the master or owner
of the ship shall report at the earliest opportunity to the Administration, the nominated surveyor or
recognized organization responsible for issuing the relevant certificate, w h o shall cause investigations to be
initiated to determine whether a survey, as required by regulations 7, 8, 9 or 10, is necessary. If the ship is in
a port of another Contracting Government, the master or owner shall also report immediately to the
appropriate authorities of the port State and the nominated surveyor or recognized organization shall
ascertain that such a report has been made.
H Regulation 12
Issue or endorsement of certificates*
(a) (i) a certificate called a Passenger Ship Safety Certificate shall be issued after an initial or renewal
survey to a passenger ship which complies with the relevant requirements of chapters II—1, II—2,
III, IV and V and any other relevant requirements of the present regulations;
(ii) 1
a certificate called a Cargo Ship Safety Construction Certificate ' shall be issued after an initial or
renewal survey to a cargo ship which complies with the relevant requirements of chapters II-1
and II-2 (other than those relating to fire safety systems and appliances and fire control plans) and
any other relevant requirements of the present regulations;
(iii) a certificate called a Cargo Ship Safety Equipment Certificate ' shall be issued after an initial or
1
renewal survey to a cargo ship which complies with the relevant requirements of chapters I I - 1 ,
I I - 2 , III and V and any other relevant requirements of the present regulations;
(iv) a certificate called a Cargo Ship Safety Radio Certificate shall be issued after an initial or renewal
survey to a cargo ship which complies with the relevant requirements of chapter IV and any
other relevant requirements of the present regulations;
(v) (1) a certificate called a Cargo Ship Safety Certificate may be issued after an initial or renewal
survey to a cargo ship which complies with the relevant requirements of chapters II—1, I I - 2 ,
III, rV and V and any other relevant requirements of the present regulations, as an alternative
to the certificates referred to in paragraph (a)(ii), (a) (iii) and (a)(iv);
(2) whenever in this chapter reference is made to a Cargo Ship Safety Construction Certificate,
Cargo Ship Safety Equipment Certificate or Cargo Ship Safety Radio Certificate, it shall
apply to a Cargo Ship Safety Certificate, if it is used as an alternative to these certificates.
(vi) the Passenger Ship Safety Certificate, the Cargo Ship Safety Equipment Certificate, the Cargo
Ship Safety Radio Certificate and the Cargo Ship Safety Certificate, referred to in subparagraphs
(i), (iii), (iv) and (v), shall be supplemented by a R e c o r d of Equipment;
(vii) when an exemption is granted to a ship under and in accordance with the provisions of the
present regulations, a certificate called an Exemption Certificate shall be issued in addition to the
certificates prescribed in this paragraph;
*Refer to resolution A.791(19) on application of the International Convention on Tonnage Measurement of Ships, 1969, to
existing ships.
Refer to the circular concerning issue of supplements and attachments (PSLS.2/Circ.l).
21
Regulation 13
(viii) the certificates referred to in this regulation shall be issued or endorsed either by the
Administration or by any person or organization authorized by it. In every case, that
Administration assumes full responsibility for the certificates.
(b) A Contracting Government shall not issue certificates under, and in accordance with, the provisions
of the International Convention for the Safety of Life at Sea, 1 9 6 0 , 1 9 4 8 or 1 9 2 9 , after the date on which
acceptance of the present Convention by the Government takes effect.
Regulation 13
Issue or endorsement of certificates by another Government
A Contracting Government may, at the request of the Administration, cause a ship to be surveyed and, if
satisfied that the requirements of the present regulations are complied with, shall issue or authorize the issue
of certificates to the ship and, where appropriate, endorse or authorize the endorsement of certificates on
the ship in accordance with the present regulations. Any certificate so issued shall contain a statement to the
effect that it has been issued at the request of the Government of the State the flag of which the ship is
entitled to fly, and it shall have the same force and receive the same recognition as a certificate issued under
regulation 12.
Regulation 14
Duration and validity of certificates*
(a) A Passenger Ship Safety Certificate shall be issued for a period not exceeding 12 months. A Cargo Ship
Safety Construction Certificate, Cargo Ship Safety Equipment Certificate and Cargo Ship Safety Radio
Certificate shall be issued for a period specified by the Administration which shall not exceed five years. An
Exemption Certificate shall not be valid for longer than the period of the certificate to which it refers.
(b) (i) notwithstanding the requirements of paragraph (a), when the renewal survey is completed within
three months before the expiry date of the existing certificate, the new certificate shall be valid
from the date of completion of the renewal survey to:
(1) for a passenger ship, a date not exceeding 12 months from the date of expiry of the existing
certificate;
(2) for a cargo ship, a date not exceeding five years from the date of expiry of the existing
certificate;
(ii) when the renewal survey is completed after the expiry date of the existing certificate, the new
certificate shall be valid from the date of completion of the renewal survey to:
(1) for a passenger ship, a date not exceeding 12 months from the date of expiry of the existing
certificate;
(2) for a cargo ship, a date not exceeding five years from the date of expiry of the existing
certificate;
(iii) when the renewal survey is completed more than three months before the expiry date of the
existing certificate, the new certificate shall be valid from the date of completion of the renewal
survey to:
(1) for a passenger ship, a date not exceeding 12 months from the date of completion of the
renewal survey;
(2) for a cargo ship, a date not exceeding five years from the date of completion of the renewal
survey.
(c) If a certificate other than a Passenger Ship Safety Certificate is issued for a period of less than five years,
the Administration may extend the validity of the certificate beyond the expiry date to the maximum
period specified in paragraph (a), provided that the surveys referred to in regulations 8, 9 and 10 applicable
when a certificate is issued for a period of 5 years are carried out as appropriate.
Refer to MSC-MEPC.5/Circ.l on Recommended conditions for extending the period of validity of a certificate and to M S C -
MEPC.5/Circ.3 on Unified interpretation of the date of completion of the survey and verification on which the certificates are based.
22
Regulation 14
(d) If a renewal survey has been completed and a new certificate cannot be issued or placed on board the
ship before the expiry date of the existing certificate, the person or organization authorized by the
Administration may endorse the existing certificate and such a certificate shall be accepted as valid for a
further period which shall not exceed 5 months from the expiry date.
(e) If a ship at the time when a certificate expires is not in a port in which it is to be surveyed, the
Administration may extend the period of validity of the certificate but this extension shall be granted only
for the purpose of allowing the ship to complete its voyage to the port in which it is to be surveyed, and
then only in cases where it appears proper and reasonable to do so. No certificate shall be extended for a
period longer than three months, and a ship to which an extension is granted shall not, on its arrival in the
port in which it is to be surveyed, be entitled by virtue of such extension to leave that port without having a
new certificate. W h e n the renewal survey is completed, the new certificate shall be valid to:
(i) for a passenger ship, a date not exceeding 12 months from the date of expiry of the existing
certificate before the extension was granted;
(ii) for a cargo ship, a date not exceeding 5 years from the date of expiry of the existing certificate
before the extension was granted.
(f) A certificate issued to a ship engaged on short voyages which has not been extended under the
foregoing provisions of this regulation may be extended by the Administration for a period of grace of up to
one month from the date of expiry stated on it. W h e n the renewal survey is completed, the new certificate
shall be valid to:
(i) for a passenger ship, a date not exceeding 12 months from the date of expiry of the existing
certificate before the extension was granted;
(ii) for a cargo ship, a date not exceeding 5 years from the date of expiry of the existing certificate
before the extension was granted.
(g) In special circumstances, as determined by the Administration, a new certificate need not be dated
from the date of expiry of the existing certificate as required by paragraphs (b) (ii), (e) or (f). In these special
circumstances, the new certificate shall be valid to:
(i) for a passenger ship, a date not exceeding 12 months from the date of completion of the renewal
survey;
(ii) for a cargo ship, a date not exceeding five years from the date of completion of the renewal survey.
(h) If an annual, intermediate or periodical survey is completed before the period specified in the relevant
regulations then:
(i) the anniversary date shown on the relevant certificate shall be amended by endorsement to a date
which shall not be more than three months later than the date on which the survey was completed;
(ii) the subsequent annual, intermediate or periodical survey required by the relevant regulations
shall be completed at the intervals prescribed by these regulations using the new anniversary date;
(iii) the expiry date may remain unchanged provided one or more annual, intermediate or periodical
surveys, as appropriate, are carried out so that the maximum intervals between the surveys
prescribed by the relevant regulations are not exceeded.
(i) A certificate issued under regulation 12 or 13 shall cease to be valid in any of the following cases:
(i) if the relevant surveys and inspections are not completed within the periods specified under
regulations 7(a), 8(a), 9(a) and 10(a);
(ii) if the certificate is not endorsed in accordance with the present regulations;
(iii) upon transfer of the ship to the flag of another State. A new certificate shall only be issued when
the Government issuing the new certificate is fully satisfied that the ship is in compliance with
the requirements of regulation 11(a) and (b). In the case of a transfer between Contracting
Governments, if requested within three months after the transfer has taken place, the
Government of the State whose flag the ship was formerly entitled to fly shall, as soon as
possible, transmit to the Administration copies of the certificates carried by the ship before a
transfer and, if available, copies of the relevant survey reports.
23
Regulation 15
Regulation 15
Forms of certificates and records of equipment
T h e certificates and records of equipment shall be drawn up in the form corresponding to the models given
in the appendix to the annex to the present Convention. If the language used is neither English nor French,
the text shall include a translation into one of these languages.*
Regulation 16
Availability of certificates
T h e certificates issued under regulations 12 and 13 shall be readily available on board for examination at all
times.
R e g u l a t i o n 17
Acceptance of certificates
Certificates issued under the authority of a Contracting Government shall be accepted by the other
Contracting Governments for all purposes covered by the present Convention. T h e y shall be regarded by
the other Contracting Governments as having the same force as certificates issued by them.
Regulation 18
Qualification of certificates
(a) If in the course of a particular voyage a ship has on board a number of persons less than the total
number stated in the Passenger Ship Safety Certificate and is in consequence, in accordance with the
provisions of the present regulations, free to carry a smaller number of lifeboats and other life-saving
appliances than that stated in the certificate, an annex may be issued by the Government, person or
organization referred to in regulation 12 or 13 of this chapter.
(b) This annex shall state that in the circumstances there is no infringement of the provisions of the
present regulations. It shall be annexed to the certificate and shall be substituted for it in so far as the life-
saving appliances are concerned. It shall be valid only for the particular voyage for which it is issued.
Regulation 19
Control
(a) Every ship when in a port of another Contracting Government is subject to control by officers duly
authorized by such Government in so far as this control is directed towards verifying that the certificates
issued under regulation 12 or regulation 13 are valid.
(b) Such certificates, if valid, shall be accepted unless there are clear grounds for believing that the
condition of the ship or of its equipment does not correspond substantially with the particulars of any of the
certificates or that the ship and its equipment are not in compliance with the provisions of regulation 11 (a)
and (b).
(c) In the circumstances given in paragraph (b) or where a certificate has expired or ceased to be valid, the
officer carrying out the control shall take steps to ensure that the ship shall not sail until it can proceed to sea
or leave the port for the purpose of proceeding to the appropriate repair yard without danger to the ship or
persons on board.
(d) In the event of this control giving rise to an intervention of any kind, the officer carrying out the
control shall forthwith inform, in writing, the Consul or, in his absence, the nearest diplomatic
* Refer to resolution A.561 (14) on translation of the text of certificates.

f
Refer to MSC—MEPC.4/Circ.l on Retention of original records/documents on board ships.
* Refer to the Procedures for port State control adopted by the Organization by resolution A.787(19), as amended by resolution
A.882(21).
Compiled by Capt. Kyaw Mya Oo 24 Page 54 of 57

Regulation 20
representative of the State whose flag the ship is entitled to fly* of all the circumstances in which
intervention was deemed necessary. In addition, nominated surveyors or recognized organizations
responsible for the issue of the certificates shall also be notified. T h e facts concerning the intervention shall
be reported to the Organization.
(e) T h e port State authority concerned shall notify all relevant information about the ship to the
authorities of the next port of call, in addition to parties mentioned in paragraph (d), if it is unable to take
action as specified in paragraphs (c) and (d) or if the ship has been allowed to proceed to the next port of
call.
(f) W h e n exercising control under this regulation all possible efforts shall be made to avoid a ship being
unduly detained or delayed. If a ship is thereby unduly detained or delayed it shall be entitled to
compensation for any loss or damage suffered.
Regulation 20
Privileges
The privileges of the present Convention may not be claimed in favour of any ship unless it holds
appropriate valid certificates.
* Refer to MSC/Circ.1011 - MEPC/Circ.383 on Measures to improve port State control procedures and to M S C - M E P C . 6
circular series and to the information collected via the Global Integrated Shipping Information System (GISIS).
25
SURVEY INTERVALS

Certificate & Survey Code
Certificate to which the survey relates The type of survey
(E) for the Cargo Ship Safety Equipment Certificate; (I) for the initial survey;
(C) for the Cargo Ship Safety Construction Certificate; (A) for the annual survey;
(R) for the Cargo Ship Safety Radio Certificate; (In) for the intermediate survey;
(L) for the International Load Line Certificate; (P) for the periodical survey;
(O) for the International Oil Pollution Prevention Certificate; (R) for the renewal survey;
(N) for the International Pollution Prevention Certificate for Carriage of Noxious Liquid (B) for inspection of the outside of the ship’s
Substances in Bulk; bottom;
(S) for the International Sewage Pollution Prevention Certificate; (Ad) for additional survey.
(A) for the International Air Pollution Prevention Certificate;
(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;
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.

Maritime Training Centre (PGI)
COMMERCE AND LAW
S H I P ’ S C E R T I F I C AT E S & S U RV E Y S
CERTIFICATES & SURVEYS
The United Nations Convention on the Law of the

Sea, 1982 (UNCLOS) establishes the general
rights and obligations of the flag State. Within the
United Nations two specialised agencies deal with
maritime affairs, the International Maritime
Organization (IMO) and the International Labour
Organization (ILO), and they have a responsibility
for devising and developing conventions and
guidelines under which ships can be regulated.
Prepared by Capt. Kyaw Mya Oo 1

In general, matters concerning safety at sea,

pollution prevention and the training of seafarers
are dealt with by IMO, whereas the ILO deals with
matters concerning working and living conditions
at sea. While IMO and ILO set the international
regulatory framework for ships, each member
State (contracting Government) bears the
responsibility for enforcing the international
conventions it has ratified on the ships flying its
flag.

The international conventions developed by IMO
form the main framework of
Safety SOLAS, Tonnage Measurement ,

Load Line conventions, ISM and ISPS
Training STCW
Pollution prevention regulation MARPOL

These key regulations are supported

by classification societies' rules that
largely focus on the structure of the
ship, including the materials used in its
construction, the size of scantlings and
essential engineering systems like the
main engine.
Classification and convention

requirements can be inter-related.
The issuing of Load Line and Cargo Ship

Safety Construction certificates would
require, for example, the ship to be built and
maintained to class rules.

Evidence
that convention standards and classification
rules have been met
is generally provided by
the presence on board of valid certificates.
To ensure that a ship meets and then

subsequently maintains convention standards,
a flag State needs to have in place
arrangements for ensuring that its ships are
periodically surveyed and re
re--certified.
certified
This responsibility applies regardless of whether

a flag State carries out its own surveys using its
own surveyors or,
authorises a Recognised Organisation (RO) to
conduct surveys and issue international
certificates on its behalf.

SOLAS Chapter I Regulation 6 –

Ships to which SOLAS applies, shall comply with the
technical standards, contained in the annex. In order
to ensure that at all times a ship meets these
standards, the ship is subjected to various surveys
and inspections, and these are carried out by duly
authorized officers of the maritime administration of
the Flag State or by the surveyors or organizations
nominated or recognized by the Flag State
Administration. In all cases, the relevant maritime
administration guarantees the completeness and
efficiency of the surveys and inspections.
The Master must be familiar with all the

certificates and other documents required by
the vessel and by the crew. These will be
subject to inspection by both the flag state and
by Port State Control officers. Documents
found not to be in order can cause delays on
detentions to the voyage.

Relatively-new requirements include;
Safety Management Certificate SMC denoting

that the company and its shipboard management
operate in accordance with the approved safety
management system.
A copy of the Document of Compliance DoC
shall also be kept on board the ship in order that the
master can produce it for verification.
International Ship Security Certificate ISSC and
Continuous Synopsis Records in accordance with
International Ship & Port Facility Security Code(ISPS
Code)

Classification Societies
Classification societies are independent,
normally non-commercial organizations.
They were originally established to
designate minimum standards on which
underwriters could rely before insuring a
vessel but have, over the years of their
existence, developed into standard-setting
institutions for every section of the shipping
community.


In the second half of the 18th century, London
merchants, shipowners, and captains often
gathered at Edward Lloyds’ coffee house to
gossip and make deals including sharing the risks
and rewards of individual voyages. This became
known as underwriting after the practice of signing
one's name to the bottom of a document pledging
to make good a portion of the losses if the ship
didn’t make it in return for a portion of the profits.

It did not take long to realize that the underwriters
needed a way of assessing the quality of the ships
that they were being asked to insure. In 1760, the
Register Society was formed - the first
classification society and which would
subsequently become Lloyd's Register - to
publish an annual register of ships.


In 1834, the Register Society published the first Rules for

the survey and classification of vessels, and changed its
name to Lloyds Register of Shipping. A full time
bureaucracy of surveyors (inspectors) and support people
was put in place. Similar developments were taking place
in the other major maritime nations.
Through their rules for construction and a
regime of periodical surveys they are in a
position to enhance ship construction and
operation. They supervise all stages of the
construction or major repairs of a ship, even
to the extent of ensuring that the right
materials are used. A ship so constructed is
assigned a class in accordance with some
code.

In order to retain its class, the vessel must be
presented for survey at periodical intervals as
specified in the rules. Failure to meet these terms
or to comply with recommendations issued may
result in the suspension or cancellation of its
class.
Although it is not a legal requirement to be
classed, practically all ships are. It is usually a
condition for marine insurance or a maritime
mortgage that the ship is classed and is
maintained so as to retain her class.
The large classification societies have exclusive
surveyors and technical specialists stationed at
the major ports round the world who, in addition to
classification work, carry out statutory surveys
required by international conventions under
authority delegated to them by national maritime
Administrations.

Over 90% of the world’s merchant tonnage is
covered by IACS Members’ unified standards for
hull structure and essential engineering systems,
which are established, updated, applied and
monitored on a continuous basis. To ensure
uniform application of high standards, IACS
member societies are strictly bound by ISO-based
Quality Assurance standards.
Leading societies are involved in:
setting technical standards for ships;
providing inspection and assistance to enable the
shipping industry to meet these standards;
regularly publishing the survey status of classed ships,
and other vital information, in register books; and
providing many other services to the industry, such as
design advice, bunker fuel and lubricating oil analysis,
and quality system accreditation.

Certificate of Registry

CERTIFICATE OF REGISTRY
A certificate of nationality, often called the ship's

register, is required by the Geneva Convention on
the High Seas, 1958, and by the UNCLOS, 1982.
'The form of certificate and the conditions for its
issue are determined by each national
government. In some cases it remains valid until
the ship is scrapped or changes ownership or
nationality, in others it is subject to regular
renewal.
Every State, whether coastal or land-locked, has the right to

have ships flying its flag on the high seas (Article 90).
Every State must fix the conditions for the grant of its nationality
to ships, for the registration of ships in its territory, and for the right
to fly its flag (Article 91).
Ships have the nationality of the State whose flag they are
entitled to fly (Article 91).
There must be a genuine link between the State and the ship
(Article 91).
Every State must issue to ships to which it has granted the right
to fly its flag documents to that effect (Article 91).

Ships must sail under the flag of one State only and, save in
exceptional cases expressly provided for in international treaties
and UNCLOS, must be subject to its exclusive jurisdiction on the
high seas (Article 92).
A ship may not change its flag during a voyage or while in a port
of call, save in the case of a real transfer of ownership or change of
registry (Article 92).
A ship which sails under the flags of two or more States, using
them according to convenience, may not claim any of the
nationalities in question with respect to any other State, and may
be regarded as similar to a ship without nationality (Article 92).
Registration of a ship -
establishes the ship’s nationality, measurements and tonnage for
identification purposes;
provides documentary evidence of ownership (in the register, not on
the Certificate of Registry);
allows the ship to operate commercially (since clearance from ports
normally requires production of a Certificate of Registry to prove
nationality);
grants recognition as a vessel of the flag State and enjoyment of the
normal privileges accorded to vessels of that State, e.g. consular
assistance in foreign ports and the protection of the flag State’s armed
forces.
able to use the vessel as security for a marine mortgage. Most
finance companies prefer the security of having their mortgage on a
ship registered so that their claim against the ship is clear.
facilitates ship purchase, sale and mortgaging (since proof of title is
shown to a buyer or lender by the details on the register, and
registration is usually a pre-requisite for mortgaging a ship).

Flag of Convenience Registration

An FOC register may offer any or all of the following:
freedom to employ foreign nationals as master, officers and/or
crew;
low taxes on company earnings;
low registry fees;
low statutory survey fees;
limitation of owner’s liability;
relaxed or non-existent foreign exchange controls on owners’
earnings;
non-restrictive ownership qualifications allowing a foreign
company or foreign national to register there;
freedom to raise a loan by mortgaging the ship; and/or
benefits from bilateral or multilateral agreements on trade,
cargo sharing, port entry or taxation.
The International Tonnage

Certificate 1969

The International Tonnage Certificate 1969

Historically, tonnage was the tax on tuns (casks) of wine
that held approximately 252 gallons of wine and weighed
approximately 2,240 pounds. This suggests that the unit of
weight measurement, long tons (also 2,240 lb) and
tonnage both share the same etymology.
Tonnage is a measure of the size or cargo carrying
capacity of a ship. The term derives from the taxation paid
on tuns or casks of wine
wine, and was later used in reference
to the weight of a ship's cargo; however, in modern
maritime usage, "tonnage" specifically refers to a
calculation of the volume or cargo volume of a ship. The
term is still sometimes incorrectly used to refer to the
weight of a loaded or empty vessel.
Tun
Cask
The International Tonnage Certificate 1969
The International Tonnage Certificate is issued to

ships of more than 24 metres (79 feet) in length by
the Flag State in accordance with The
International Tonnage Convention 1969 which
was aimed at achieving a unified system of
tonnage measurement which would be relatively
simple to apply with none of the anomalies
existing in the various systems employed
previously in Convention countries. A ship must
be measured by a surveyor appointed by a
Certifying Authority or an authorized classification
society prior issuance of the certificate.

International Tonnage Certificate
The International Tonnage Certificate remains valid until

alterations in construction or the use of spaces are made,
the subdivision load line is changed or the ship is
transferred to the flag of another State.
Subject to any exceptions provided in the Regulations, an
International Tonnage Certificate (1969) shall cease to be
valid and shall be cancelled by the Administration if
alterations have taken place in the arrangement,
construction, capacity, use of spaces, total number of
passengers the ship is permitted to carry as indicated in
the ship's passenger certificate, assigned load line or
permitted draught of the ship, such as would necessitate
an increase in gross tonnage or net tonnage.

Under the 1969 tonnage measurement system –
every ship is assigned a gross tonnage and a net

tonnage.
single-deck ships, such as tankers and bulk carriers, had
their gross and net tonnages largely unchanged on re-
measurement. The most significant effect was in ships
such as ro-ro ferries, many of which had their tonnages
considerably increased.
there is no longer any need for such phrases as
“tonnage deck”, “deducted spaces”, “exempted spaces”,
“alternative tonnage”, “modified tonnage” or “tonnage
mark”, since these are not used in the 1969 Convention.


It does not involve any special tonnage units (such
as “tons”, “gross tons” or “net tons”), with the
consequence that the values obtained are simply
a “gross tonnage” and a “net tonnage” (without
units).
It was brought into full effect from the date of
build of ships built since July 1982, while older
vessels were given a further 12 years, i.e. until 17
July 1994, in which to obtain an International
Tonnage Certificate (which required older ships to
be re-measured for tonnage).

Gross tonnage -
is expressed as a whole number, without any
unit, e.g. “Gross tonnage: 8756”.
is a realistic indication of the ship’s size based on
the moulded volume of the entire ship (hull plus
erections and all enclosed spaces) without
deductions, exemptions or special allowances.
is used mainly in the compilation of statistics.


Net tonnage -
is expressed as a whole number, without any
unit, e.g. “Net tonnage: 3367”.
is a general indication of the ship’s earning
capacity, derived from a formula based on the
moulded volume of the cargo spaces, the number
of passengers carried, the moulded depth of the
ship and the summer draught.
is used by many authorities as the basis for
charging dues, e.g. light dues, port charges and
canal dues.
Where alterations are made in the

arrangement, construction, capacity, use of
spaces, total number of passengers the ship
is permitted to carry under the terms of the
ship’s passenger certificate, assigned load
line, or permitted draught such as would
cause an increase in the gross or net
tonnage, the existing International Tonnage
Certificate (1969) will cease to be valid and
must be delivered up to and cancelled by
the Certifying Authority.

Suez/Panama Canal Tonnage Certificate
The Panama Canal/Universal Measurement System

(PC/UMS) is based on net tonnage, modified for Panama
Canal purposes. PC/UMS is based on a mathematical
formula to calculate a vessel's total volume; a PC/UMS net
ton is equivalent to 100 cubic feet of capacity.
The Suez Canal Net Tonnage (SCNT) is derived with a

number of modifications from the former net register
tonnage of the Moorsom System and was established by
the International Commission of Constantinople in its
Protocol of 18 December 1873. It is still in use, as
amended by the Rules of Navigation of the Suez Canal
Authority, and is registered in the Suez Canal Tonnage
Certificate.
Certificate of Class

CERTIFICATES OF CLASS
A Certificate of Class is a document issued by a classification society
certifying the structural and mechanical fitness of a ship for a particular
use or service in accordance with the rules and regulations laid down
and made public by that society. A classed ship will continue to be “in
class” so long as it is found, in surveys, to be maintained in
accordance with the society’s rules and regulations. Classification is
conditional on compliance with the society’s requirements for both hull
and machinery.
There are no international agreements requiring a ship to be classed

by a classification society, but practically all ships are. Loss of class
would be an indication to a Port State Control officer that a thorough
inspection of the ship should be made. Maintenance of class is a
condition for the continuance of insurance in many cases.


Statutory safety certification under international
conventions is conditional on a ship’s hull structure
and essential shipboard engineering systems being
satisfactory in all respects. However, the only
recognised authoritative rules for ensuring this are
those of the major classification societies. Compliance
with the rules of major classification societies is
therefore the only practical basis for essential
statutory certification (e.g. Cargo Ship Safety
Construction Certificate and Passenger Ship Safety
Certificates), and flag States consequently rely to a
great extent on class survey information.
CERTIFICATES OF CLASS
A valid Certificate of Class may be a requirement of:
a Hull and Machinery insurer, for a ship being insured;

a P & I club, for an entered ship;
a cargo insurer, for the carrying ship;
the flag State Administration, for ship registration
purposes;
a port authority or customs administration, for port
clearance purposes.
A vessel without a valid Certificate of Class or Interim
Certificate of Class is not “in class” and is therefore not
in class
seaworthy in the eyes of courts.


A Ship without a Classification certificate breaches;
implied warranty of seaworthiness in the vessel’s hull and

machinery policy
any express warranty in the hull and machinery policy
stating that, for example, the vessel will be “classed with
any member of IACS and class maintained”
the rules of the owner’s P&I club, rendering the P&I
policy void
any similar warranty of seaworthiness in the cargo
insurance policy, rendering the policy void
Thus making the shipowner liable for any loss, damage or

delay to ship or cargo.
Class Symbols American Bureau of Shipping

Bureau Veritas
China Classification Society
Croatian Register of Shipping
Det Norske Veritas
Germanischer Lloyd
Indian Register of Shipping
Korean Register of Shipping
Lloyd’s Register of Shipping

Nippon Kaiji Kyokai
Pollish Register of Shipping
Registro Italiano
Russian Register of Shipping

Lloyd’s Class Notification

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Certificates & Survey

Ship Master’s Business

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Main activities of IACS

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Lists as minimum additional documents required at arrival or departure:

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Under the 1969 tonnage measurement system -

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Newer versions were adopted in 1929, 1948, 1960, and 1974.

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Chapter I – General Provisions

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EXAMPTED VESSELS AS PER SOLAS (Reg 3)

i. Ships of war and troopships.

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International Load Line Certificate LL Convention, article 16;

International Load Line Exemption Certificate LL Convention, article 6;

Intact Stability Booklet SOLAS 1974, regulations I I - 1

Damage control plans and booklets SOLAS 1974, regulations I I - 1

Minimum safe manning document SOLAS 1974 ( 2 0 0 0

Fire safety training manual SOLAS 1974(2000

Fire Control plan/booklet SOLAS 1974(2000

On board training and drills record SOLAS 1974(2000

Fire safety operational booklet SOLAS 1974 (2000

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Certificates for masters, officers or ratings S T C W 1978, article VI,

International Oil Pollution Prevention Certificate MARPOL 73 / 78 , Annex I,

Shipboard Oil Pollution Emergency Plan M A R P O L 7 3 / 7 8 , Annex

International Sewage Pollution Prevention Certificate MARPOL 7 3 / 7 8 , Annex IV,

Garbage Management Plan M A R P O L 7 3 / 7 8 , Annex

Garbage Record Book M A R P O L 7 3 / 7 8 , Annex

Voyage data recorder system-certificate of compliance SOLAS 1974,

Cargo Securing Manual SOLAS 1974

Certificates & Surveys by Capt. Kyaw Mya Oo

Certificates & Surveys by Capt. Kyaw Mya Oo

Certificates & Surveys by Capt. Kyaw Mya Oo