CLASSIFICATION SOCIETIES - WHAT, WHY and HOW?

A1 Classification Societies today

The purpose of a Classification Society is to provide classification and statutory services and assistance to the maritime industry and regulatory bodies as regards maritime safety and pollution prevention, based on the accumulation of maritime knowledge and technology.

The objective of ship classification is to verify the structural strength and integrity of essential parts of the ship’s hull and its appendages, and the reliability and function of the propulsion and steering systems, power generation and those other features and auxiliary systems which have been built into the ship in order to maintain essential services on board. Classification Societies

aim to achieve this objective through the

development and application of their own

Rules and by verifying compliance with

international and/or national statutory

regulations on behalf of flag

Administrations.

The vast majority of commercial ships are

built to and surveyed for compliance with

the standards laid down by Classification

Societies. These standards are issued by

the Society as published Rules.

A vessel that has been designed and built to the appropriate Rules of a Society may apply

for a certificate of classification from that Society.

However, such a certificate does not imply, and should not be construed as, a warranty of

safety, fitness for purpose or seaworthiness of the ship. It is an attestation only that the

vessel is in compliance with the Rules that have been developed and published by the

Society issuing the classification certificate. Further, Classification Societies are not

guarantors of safety of life or property at sea or the seaworthiness of a vessel because the

Classification Society has no control over how a vessel is manned, operated and

maintained between the periodical surveys which it conducts.

More than 50 organizations worldwide define their activities as providing some form of

marine classification services; however, not all meet the definition given in Appendix 1.

Some that do (listed in Appendix 2) form the International Association of Classification

Societies (IACS). It is estimated that the Members of IACS collectively class over 90

percent of all commercial tonnage involved in international trade worldwide.

Classification is one element within the maritime safety regime. Others with a

responsibility for or interest in promoting maritime safety include shipowners, shipbuilders,

flag State administrations, port State control authorities, underwriters, shipping financiers,

charterers, and, of course, seafarers.

The role of classification and Classification Societies has been recognized in the

International Convention for the Safety of Life at Sea, (SOLAS) and in the 1988 Protocol to

the International Convention on Load Lines. This statutory role is addressed later in this

note. SAFER AND CLEANER SHIPPING

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As an independent, self-regulating, externally audited, body, a Classification Society has

no commercial interests related to ship design, ship building, ship ownership, ship

operation, ship management, ship maintenance or repairs, insurance, or chartering. In

establishing its Rules, each Classification Society may draw upon the advice and review of

members of the industry and academia who are considered to have relevant knowledge or

experience.

Classification Rules are developed to establish standards for the structural strength of the

ship’s hull and its appendages, and the suitability of the propulsion and steering systems,

power generation and those other features and auxiliary systems which have been built

into the ship to assist in its operation. Classification Rules are not intended as a design

code and in fact cannot be used as such.

A vessel built in accordance with the applicable Rules of an IACS Member Society may be

assigned a class designation by the Society on satisfactory completion of the relevant

surveys. For ships in service, the Society carries out surveys to verify that the ship

remains in compliance with those Rules. Should any defects that may affect class become

apparent, or damages be sustained between the relevant surveys, the owner is required to

inform the Society concerned without delay.

The classification of a vessel is based on the understanding that the vessel is loaded,

operated and maintained in a proper manner by competent and qualified crew or operating

personnel.

A vessel may be maintained in class provided that, in the opinion of the Society

concerned, it remains in compliance with the relevant Rules, as ascertained by periodic or

non-periodic survey.

In developing its Rules, a Classification Society typically relies on empirical experience

gained from classing a wide variety of ship types over many years, coupled with

appropriate research that contributes towards the on-going development of relevant,

advanced technical requirements.

Classification Societies are often simply referred to as ‘Class Societies’ or just ‘Class’

(‘class’).

A2 Why ‘Classification’?

In the second half of the 18th century, marine insurers, based at Lloyd's coffee house in

London, developed a system for the independent technical assessment of the ships

presented to them for insurance cover. In 1760 a Committee was formed for this purpose,

the earliest existing result of their initiative being Lloyd's Register Book for the years

1764-65-66.

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 excellence

of its construction and its adjudged continuing soundness (or otherwise). Equipment was

G, M, or B: simply, good, middling or bad. In time, G, M and B were replaced by 1, 2 or 3,

which is the origin of the well-known expression 'A1', meaning 'first or highest class'.

The concept of classification slowly spread to other countries and insurance markets.

Bureau Veritas (BV) was founded in Antwerp in 1828, moving to Paris in 1832. 'Lloyd's

Register of British and Foreign Shipping' was reconstituted as a self-standing 'Classification

Society' in 1834; Rules for construction and survey were published the same year.

RINA (previously Registro Italiano Navale) dates from 1861; American Bureau of Shipping

(ABS) traces its origins back to 1862. Adoption of common Rules for ship construction by

Norwegian insurance societies in the late 1850s led to the establishment of Det Norske SAFER AND CLEANER SHIPPING

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Veritas (DNV) in 1864. 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. More recent foundations have been Polish Register

of Shipping (PRS) in 1936; Yugoslav Register of Shipping (now the Croatian Register of

Shipping (CRS)), 1949; China Classification Society (CCS), 1956; Korean Register of

Shipping (KR), 1960; and Indian Register of Shipping (IRS), 1975.

As the classification profession evolved, the practice of assigning different classifications

has been superseded, with some exceptions. Today a vessel either meets the relevant

Class Society’s Rules or it does not. As a consequence it is either 'in' or 'out' of 'class'.

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 voluntary

criteria that may be either specific to that vessel type or that are in excess of the standard

classification requirements.

A3 The International Association of Classification Societies - IACS

IACS can trace its origins back to the International Load Line Convention of 1930 and its

recommendations. The Convention recommended collaboration between Classification

Societies to secure "as much uniformity as possible in the application of the standards of

strength upon which freeboard is based…".

Following the Convention, RINA hosted the first conference of major Societies in 1939 -

also attended by ABS, BV, DNV, GL, LR and NK - which agreed on further cooperation

between the Societies.

A second major Class Society conference, held in 1955, led to the creation of Working

Parties on specific topics and, in 1968, to the formation of IACS by seven leading

Societies. The value of their combined level of technical knowledge and experience was

quickly recognised. In 1969, IACS was given consultative status with the International

Maritime Organization (IMO). It remains the only non-governmental organization with

Observer status which is able to develop and apply Rules.

Compliance with the IACS Quality System Certification Scheme (QSCS) is mandatory for

IACS Membership. Full details of the scheme are available on the IACS website.

IACS is governed by a Council, with each

Member represented by a senior

management figure.

Under the Council is the General Policy

Group (GPG), made up of a senior

manager from each Member, which

develops and implements actions giving

effect to the policies, directions and long

term plans of the Council.

The chair of GPG is taken by the Member

holding the Council chair. IACS’s

technical work is undertaken generally

through specialist Working Groups

overseen by GPG.

The Association maintains a Secretariat in London and a QSCS Operations Centre in

Southampton, UK.

The IACS Charter, Procedures, details of the work programme, technical Resolutions and

other publications are all available on the IACS website. SAFER AND CLEANER SHIPPING

7

B CLASSIFICATION

B1 Scope of classification

Implementing the published Rules, the classification process consists of:

• A technical review of the design plans and related documents for a new vessel to

verify compliance with the applicable Rules;

• Attendance at the construction of the vessel in the shipyard by a Classification

Society surveyor(s) to verify that the vessel is constructed in accordance with the

approved design plans and classification Rules;

• Attendance by a Classification Society surveyor(s) at the relevant production

facilities that provide key components such as the steel, engine, generators and

castings to verify that the component conforms to the applicable Rule

requirements;

• Attendance by a Classification Society surveyor(s) at the sea trials and other trials

relating to the vessel and its equipment prior to delivery to verify conformance with

the applicable Rule requirements;

• Upon satisfactory completion of the above, the builder’s/shipowner’s request for the

issuance of a class certificate will be considered by the relevant Classification

Society and, if deemed satisfactory, the assignment of class may be approved and

a certificate of classification issued;

• Once in service, the owner must submit the vessel to a clearly specified programme

of periodical class surveys, carried out onboard the vessel, to verify that the ship

continues to meet the relevant Rule requirements for continuation of class.

Class Rules do not cover every piece

of structure or item of equipment on

board a vessel, nor do they cover

operational elements. Activities

which generally fall outside the scope

of classification include such items as:

design and manufacturing processes;

choice of type and power of

machinery and certain equipment

(e.g. winches); number and

qualification of crew or operating

personnel; form and cargo carrying

capacity of the ship and manoeuvring

performance; hull vibrations; spare

parts; life-saving appliances and

maintenance equipment. These

matters may however be given

consideration for classification

according to the type of ship or class

notation(s) assigned.

It should be emphasized that it is the shipowner who has the overall responsibility for the

safety and integrity of a vessel, including the manner in which it is operated and

maintained. The effectiveness of classification depends upon the shipbuilder, during

construction, and the shipowner, once the vessel enters service, cooperating with the

Class Society in an open and transparent manner on all issues which may affect its class

status. For the shipowner, this particularly requires acting in good faith by disclosing to

the Class Society any damage or deterioration that may affect the vessel’s classification

status. If there is the least question, the owner should notify class and schedule a survey

to determine if the vessel is in compliance with the relevant class standard. SAFER AND CLEANER SHIPPING

8

A Class surveyor may only go on board a vessel once in a twelve-month period. At that

time it is neither possible nor expected that the surveyor scrutinize the entire structure of

the vessel or its machinery. The survey involves a sampling, for which guidelines exist

based upon empirical experience and the age of the vessel which may indicate those parts

of the vessel or its machinery that may be subject to corrosion, or are exposed to the

highest incidence of stress, or may be likely to exhibit signs of fatigue or damage.

B2 Assignment, maintenance, suspension and withdrawal of class

Class is assigned to a vessel upon the completion of satisfactory review of the design and

surveys during construction undertaken in order to verify compliance with the Rules of the

Society. For existing vessels, specific procedures apply when they are being transferred

from one Class Society to another.

Ships are subject to a through-life survey regime

if they are to be retained in class. These surveys

include the class renewal (also called “special

survey”), intermediate survey, annual survey, and

bottom/docking surveys of the hull. They also

include tailshaft survey, boiler survey, machinery

surveys and, where applicable, surveys of items

associated with the maintenance of additional

class notations (see Appendix 1).

The surveys are to be carried out in accordance

with the relevant class requirements to confirm

that the condition of the hull, machinery,

equipment and appliances is in compliance with

the applicable Rules.

It is the owner's responsibility to properly maintain the ship in the period between

surveys. It is the duty of the owner, or its representative, to inform the Society of any

events or circumstances that may affect the continued conformance of the ship with the

Society’s Rules.

Where the conditions for the maintenance of class are not complied with, class may be

suspended, withdrawn or revised to a different notation, as deemed appropriate by the

Society when it becomes aware of the condition.

B3 Classification surveys

A classification survey is a visual examination that normally consists of:

• an overall examination of the items identified in the Rules for survey;

• detailed checks of selected parts, on a sampling basis;

• witnessing tests, measurements and trials where applicable.

When a surveyor identifies corrosion, structural defects or damage to hull, machinery

and/or piece of equipment which, based on the Society’s Rules and in the opinion of the

surveyor, affects the ship’s class, remedial measures and/or appropriate

recommendations/conditions of class are specified in order to retain class.

‘Recommendation’ and ‘condition of class’ are different terms used by IACS Societies for

the same thing i.e. requirements to the effect that specific measures, repairs, request for

surveys etc., are to be carried out within a specified time limit in order to retain class.

Each classed vessel is subject to a specified programme of periodic surveys after delivery.

These are based on a five-year cycle and consist of annual surveys, an intermediate SAFER AND CLEANER SHIPPING

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survey and a class renewal/special survey (held every 5 years). The rigour of each

specified survey increases with the age of the vessel.

The class renewal surveys/special surveys include extensive in-water and, in most cases,

out-of-water examinations to verify that the structure, main and essential auxiliary

machinery, systems and equipment of the ship remain in a condition which satisfies the

relevant Rules. The examination of the hull is supplemented, when specified, by ultrasonic

thickness measurements and the witnessing of tests as specified in the Rules and as

deemed necessary by the attending surveyor. The survey is intended to assess whether

the structural integrity remains in conformance with the standards contained in the

relevant Rules and to identify areas that exhibit substantial corrosion, significant

deformation, fractures, damages or other structural deterioration.

Depending upon the age, size, type and condition of the vessel, the renewal/special survey

may take several weeks to complete.

The intermediate survey (held approximately half way between special surveys) includes

examinations and checks as specified in the Rules to determine whether the ship remains

in a general condition which satisfies the Rule requirements. According to the type and

age of the ship, drydocking may be required and the examinations of the hull may be

supplemented by ultrasonic thickness measurements as specified in the Rules and where

deemed necessary by the attending surveyor.

At the time of annual surveys, the ship is generally examined. The survey includes an

external general inspection of the hull, equipment and machinery of the ship and some

witnessing of tests, so far as is necessary and practical in order to determine whether the

ship remains in a general condition which satisfies the Rule requirements. Older ships of

certain types may also be subject to a general examination of some specified internal

areas of the hull. Depending upon the age, size, type and condition of the vessel, an

annual survey may take from several hours to a few days to complete. SAFER AND CLEANER SHIPPING

10

C DEVELOPMENT OF RULES, REGULATIONS AND GUIDANCE

C1 Historical development

Classification Rules have been developed over many years by each Society through

extensive research and development and service experience. In addition, certain Unified

Requirements have been agreed by IACS Members and transposed into the individual

Members’ Rules.

As outlined later, ‘statutory’ requirements are developed at IMO and where necessary,

Unified Interpretations of them are adopted by IACS.

C2 Future development

Rules and Regulations are subject to constant refinement based upon additional research

or practical experience.

Ultimately it is up to the international community, as expressed through their

governmental representation at the IMO, to determine the acceptable level of risk

associated with the conduct of marine transport. These standards may be prescriptive or

goal-based. In the former case, the Class Societies may develop Unified Interpretations,

under the aegis of IACS, which clarify the intent and application of the international

standards. In the latter case of goal-based standards, the IMO may establish broad

requirements and then leave it to the Classification Societies to develop the detailed Rules

that will allow industry to meet those targets. The current focus of the IMO is a new and

transparent goal-based regulatory framework for hull structures of oil tankers and bulk

carriers. This represents a significant change to the current complex system of largely

prescriptive statutory international and national regulations, classification rules and

industry standards.

The basic principle is to establish

clear, demonstrable and verifiable

goals to the effect that a properly

built, operated and maintained ship

should provide minimal risk to its

cargo and crew and to the

environment for a specified

operational life. This goal-based

approach aims at moving the

regulatory framework from a culture

of compliance, governed by

prescriptive Rules, to a culture of

benchmarking, backed by functional

risk-based requirements. It is

intended that those goals may be

achieved by alternative designs that

offer an equivalent level of safety,

while promoting new technology and

greater innovation within the shipping

industry.

Within the framework set at the IMO, it is the role of IACS Members to develop the specific

Rule criteria to support the goals. It is intended that these Rules will be "common" to all

IACS Societies.

Existing Common Rules for hull structures of oil tankers and bulk carriers were adopted in

December 2005 for implementation on 1 April 2006. This was an ambitious project and SAFER AND CLEANER SHIPPING

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one of the most important single steps in the development of maritime Rules that IACS

has been involved with.

C3 IACS Resolutions

C3.1 General

In addition to the Common Rules projects, IACS Resolutions on technical or procedural

matters may be developed, generally through specialist Working Groups overseen by the

General Policy Group (GPG).

The categories of Resolution are listed below and may be found on the IACS website.

C3.2 Unified Requirements

As defined in Annex 4 of the IACS Charter, Unified Requirements (UR) are minimum

technical requirements adopted by the IACS Members which, subject to ratification by the

governing body of each Member, are to be incorporated in their Rules and practices. URs

set forth minimum requirements; each IACS Member remains free to adopt more stringent

requirements.

URs are relevant to matters directly connected to or covered by specific Rule requirements

and practices of Classification Societies and the general philosophy on which the Rules and

practices of Classification Societies are established.

The existence of a UR does not oblige a Member Society to issue respective Rules if it

chooses not to have Rules for the type of ship or maritime structure concerned.

Reservations: Since each Member has its own Governing Body, a situation may arise

where certain aspects not foreseen during the draft UR development process, or external

review, are found unsuitable to the Governing Body of a Member Society. In such a case,

that Society is obliged to notify the others of the situation by declaring a reservation to all

or part of the UR and provide technical reasons for the reservation. The status of each UR

is posted on the IACS website.

C3.3 Common Rules

Common Rules are IACS URs covering broad areas of classification requirements which,

once adopted by IACS Council, shall be applied by all Members without the possibility of

reservations.

As defined in Annex 4 of the IACS Charter, IACS Common Structural Rules (CSR) are a

comprehensive set of minimum requirements for the classification of the hull structures of

bulk carriers and double-hull oil tankers, in relation to which the contract for construction

was signed on or after 1 April 2006.

C3.4 Unified Interpretations

As defined in Annex 4 of the IACS Charter, Unified Interpretations (UIs) are Resolutions on

matters arising from implementing the requirements of IMO instruments. They provide

uniform interpretations of Convention Regulations or IMO Resolutions on those matters

which in the Convention are left to the satisfaction of the flag Administration or where

more precise wording is found to be necessary.

UIs are circulated to the flag Administrations concerned, as appropriate, and submitted to

IMO for information and any follow-up action. SAFER AND CLEANER SHIPPING

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UIs shall be applied by Member Societies to ships whose flag Administration has not issued

definite instructions on the interpretation of the Regulations concerned.

C3.5 Procedural Requirements

As defined in Annex 4 of the IACS Charter, IACS Procedural Requirements (PRs) are

Resolutions on technical matters of procedure.

Requirements under this category are to be followed by Members and, for parts of some

PRs, by the IACS Permanent Secretariat.

PRs adopted shall be incorporated in the practices and procedures of the Members within

the periods agreed.

C4 Other Publications

IACS also produces Guidelines and Recommendations, not necessarily on matters of class,

on issues which IACS Members consider advice or guidance may be beneficial to the

industry.

D SURVEYORS

D1 Qualities and qualifications of Surveyors

A memorandum of 1834 has not

been bettered:

“The utmost care and

discrimination have been

exercised by the Committee in

the selection of men of talent,

integrity, and firmness as

Surveyors, on whom the practical

efficacy of the system and the

contemplated advantages must so

materially depend; the Committee

have in their judgement

appointed those persons

only…who appeared to them to be

most competent to discharge the

important duties of their

situations with fidelity and ability,

and to ensure strict and impartial

justice to all parties whose

property shall come under their

supervision.”

The training, qualification and

monitoring of surveyors and

auditors is governed by the

relevant IACS Procedural

Requirements. SAFER AND CLEANER SHIPPING

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E STATUTORY CERTIFICATION OF SHIPS

E1 Framework

The United Nations Convention on the Law of the Sea (UNCLOS) is an umbrella convention

concerned with many aspects of the sea and its uses, including the granting of registration

of a ship by a State. Once a ship is registered, the flag State has certain duties laid out in

UNCLOS. In particular, under Article 94, the flag State must “effectively exercise its

jurisdiction and control in administrative, technical and social matters over ships flying its

flag” and take “such measures for ships flying its flag as are necessary to ensure safety

at sea…..”

Under the auspices of the IMO, International Conventions have been agreed which set out

uniform requirements in order to facilitate the acceptance of a ship registered in one

country in the waters and ports of another and in the general furtherance of safety at sea

and the protection of the environment. These requirements are commonly referred to as

‘statutory’ requirements. Broadly, they cover four distinct areas:

1) Aspects of the ship’s design and its structural integrity – load line and stability in the

intact and damaged condition, essential propulsion, steering equipment, etc.;

2) Pollution control with regard to normal ship operation;

3) Accident prevention, including navigational aids and pollution and fire prevention;

4) The situation after an accident (fire, flooding) including containment and escape.

Some or all of these may also be covered in a particular Class Society’s Rules.

SOLAS Ch II-1, Reg 3-1 states that, in addition to the requirements of the other (SOLAS)

regulations, ships shall be designed, constructed and maintained in compliance with the

structural, mechanical and electrical requirements of a Classification Society which is

recognised by the Administration in accordance with the provisions of regulation XI/1 (see

E2 below), or with applicable national standards of the Administration which provide an

equivalent level of safety.

Where the result of the classification survey is taken as evidence of compliance with the

corresponding statutory requirement, e.g. load line or safety construction (hull,

machinery, boilers, electrical equipment, etc.), this survey is de facto given the status of a

statutory survey on behalf of the flag Administration, if the Society is acting as its

recognised organization in this respect.

When a ship is suspended or withdrawn from class, the IACS Member concerned notifies

the relevant flag Administration and publishes the information e.g. on its website and on SAFER AND CLEANER SHIPPING

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Equasis1 . As a consequence, the flag Administration generally invalidates the statutory

certificates concerning construction and equipment.

E2 Recognised Organizations

SOLAS and the other International Conventions permit the flag Administration to delegate

the inspection and survey of ships to a Recognised Organization (RO). This is in

recognition of the fact that many flag Administrations do not have adequate technical

experience, manpower or global coverage to undertake all the necessary statutory

inspections and surveys using its own staff. The degree to which a flag State may choose

to delegate authority to a RO (Class Society) is for each flag State to decide, with the

authority granted being clearly identified in the relevant memoranda of understanding

agreed between the Class Society and the Administration. In most cases the RO is

empowered to require repairs or other corrective action to a ship and to withdraw or

invalidate the relevant certificate if the necessary action is not taken (e.g. SOLAS Chapter

I, Reg 6).

IMO Resolution A.739(18) lays down

mandatory minimum requirements for

ROs.

Fundamentally it requires the

organization to demonstrate its technical

competence and to be governed by the

principles of ethical behaviour. The RO

is to be subject to the certification of its

quality system by an independent body

of auditors accepted by the

Administration.

A.739(18), together with Resolution A.789(19), which presents specifications on the

survey and certification functions of ROs, provides the criteria and framework which a flag

must be satisfied is met by their ROs. IACS Members have been found to meet

Resolutions A.739(18) and A.789(19) by all of the Administrations (approximately 100)

that are Parties to SOLAS.

The RO is responsible and accountable to the flag Administration for the work that it

carries out on its behalf. The principles of the inspection and survey work are to a very

large extent the same as in respect of classification surveys, that is, the verification by the

RO that a ship is in compliance with applicable requirements at the time of the survey or

inspection. The scopes of these inspections and surveys are laid down by the relevant

national laws based on International Conventions to which the Government is a signatory,

together with additional instructions that may be issued by the flag Administration.

IACS Members generally do not undertake ‘statutory’ work on ships that they do not

themselves class. The significant exceptions to this policy are International Safety

Management (ISM) Code and International Ship and Port Facility Security (ISPS) Code

certification where it may be efficient for a Company to implement a common Safety

Management System (SMS) or Ship Security Plan (SSP) on a fleet basis as that fleet may

be classed by more than one Society. However, systems are in place for the classing

Society to inform the owner, the ISM certifying Society and/or the flag Administration in

cases where there is reason to doubt the continuing effectiveness of the SMS or SSP.

**********

1 www.equasis.org SAFER AND CLEANER SHIPPING

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APPENDIX 1 – THE LANGUAGE OF CLASSIFICATION AND SURVEYS

1 CLASSIFICATION SOCIETIES - DEFINITION

The following definition applies in respect of the membership of IACS.

A Classification Society is an organisation which:

(i) publishes its own classification Rules (including technical requirements) in relation

to the design, construction and survey of ships2 , and has the capacity to (a) apply, (b)

maintain and (c) update those Rules and Regulations with its own resources on a

regular basis;

(ii) verifies compliance with these Rules during construction and periodically during a

classed ship's service life;

(iii) publishes a register of classed ships;

(iv) is not controlled by, and does not have interests in, ship-owners, shipbuilders or

others engaged commercially in the manufacture, equipping, repair or operation of

ships; and

(v) is authorised by a Flag Administration as defined in SOLAS Chapter XI-1,

Regulation 1 and listed accordingly in the IMO database, Global Integrated Shipping

Information System (GISIS).

2 CLASSIFICATION NOTATIONS

Classification notations are indicative of the specific Rule requirements which have been

met. Additional voluntary notations are offered by individual Societies and may be

selected by an owner wishing to demonstrate that the vessel conforms to a particular

standard that may be in excess of that required for classification. Depending on the

Classification Society, the classification notations are assigned to the ship according to ship

type, service, navigation and/or other criteria which have been provided by the owner

and/or builder, when requesting classification.

Classification notations assigned to a

ship are indicated on the certificate of

classification as well as in the Register of

Ships published by the Society. These

notations can be generalized by the

following types which may be used in

combination:

• main class symbol;

• construction marks;

• service notations with additional

service features, as applicable;

• navigation notations;

• geographic notations;

• additional class notations.

2

"ships" are defined as any ships subject to SOLAS safety certification and capable of unrestricted navigation. SAFER AND CLEANER SHIPPING

16

2.1 Class symbol

The main class symbol indicates the compliance of the ship with specific Rule requirements

regarding its construction.

2.2 Construction mark

The construction mark, when assigned, identifies the procedure under which the ship and

its main equipment or arrangements have been surveyed for initial assignment of the

class.

2.3 Service notations

The service notations, when assigned, define the type and/or service of the ship which has

been considered for its classification.

A ship may be assigned several different service notations. In such case, the specific Rule

requirements applicable to each service notation will have been complied with.

2.4 Navigation and operating area notations

Navigation notations

Some Classification Societies define limiting areas for navigation (e.g. coastal waters, and

sheltered waters), and/or limiting environmental conditions for certain types of ships and

marine structures.

The assignment of restricted navigation notations may include the reduction of scantlings

or specific arrangements.

The assignment of a navigation notation by Classification Societies does not absolve the

owner from compliance with any applicable international and/or national regulations

established by the Administrations for ships operating in national waters, or a specific

area, or a navigation zone.

Operating or service area notations

The operating area notation specifies the service area where the ship (e.g. dredgers, crane

pontoons, port tugs) can operate as regards its assigned class.

2.5 Additional class notations

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 voluntary

criteria that may be either specific to that vessel type or that are in excess of the standard

classification requirements.

3 ASSIGNMENT, MAINTENANCE, SUSPENSION AND WITHDRAWAL OF CLASS

3.1 Assignment of class

Class is assigned to a ship upon the completion of satisfactory surveys, held to verify that

the vessel is in compliance with the relevant Rules of the Society. This assignment may

be given in the following cases:

• on completion of the new building, after satisfactory surveys have been performed;

• on completion of a satisfactory survey of an existing ship carried out in accordance

with the agreement developed by the IACS Member Societies for ships transferring

class between Members; or SAFER AND CLEANER SHIPPING

17

• on completion of a satisfactory specific class survey of an existing ship not classed

with an IACS Society, or not classed at all.

3.2 Maintenance of class

Classed ships are subject to surveys for maintenance of class. These surveys include the

class renewal (also called “special survey”), intermediate, annual, and bottom/docking

surveys (either a survey in dry dock or an in-water survey) of the hull, tailshaft survey,

boiler survey, machinery surveys and surveys for the maintenance of additional class

notations, where applicable. Such surveys are carried out at the intervals and under the

conditions given below.

The surveys are to be carried out in accordance with the relevant requirements in order to

confirm that the condition of the hull, machinery, equipment and appliances comply with

the applicable Rules. It is the owner’s duty to ensure that the ship’s maintenance is kept

at a satisfactory level in order to maintain the condition between surveys.

The extent of any survey depends upon the condition of the ship and its equipment. In

addition to the minimum required extent of surveys specified in the Rules, should the

surveyor have a doubt as to the maintenance or condition of the ship or its equipment, or

be informed by the owner of any deficiency or damage which may affect class, further

examination and testing may be conducted as considered necessary.

3.3 Suspension of class

Class may be suspended following a decision made by the Society when one or more of

the following occurs:

•

when a ship is not operated in compliance with the Rule requirements;

•

when a ship proceeds to sea with less freeboard than that assigned;

•

when the owner fails to request a survey after having detected defects or

damages affecting the class;

•

when repairs, alterations or conversions affecting the class are carried out without

requesting the attendance of a surveyor.

In addition, class is automatically suspended:

•

when the class renewal/special survey has not been completed by its due date or

within the time granted in special circumstances for the completion of the survey,

unless the ship is under attendance by the Society’s surveyor(s) with a view to

completion prior to resuming trading;

•

when the annual or intermediate surveys have not been completed by the end of

the corresponding survey time windows.

Suspension of class with respect to the above cases will remain in effect until such time as

the due surveys and any other survey deemed appropriate by the Society have been

completed.

In addition to the circumstances for which automatic suspension may apply, the class of a

ship will be subject to suspension procedures following a decision of the Society:

•

when a recommendation/condition of class is not dealt with within the time limit

specified, unless it is postponed before the due date by agreement with the

Society;

•

when one or more other surveys are not held by their due dates - or the dates

stipulated by the Society also taking into account any extensions granted;

•

when, due to the nature of reported defects, the Society considers that a ship is

not entitled to retain its class even on a temporary basis (pending necessary

repairs or renewals, etc.);

•

in other circumstances where the owner fails to submit the ship to a survey in

accordance with a special requirement. SAFER AND CLEANER SHIPPING

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In all cases suspension will remain in effect until such time as matters are rectified and the

class is reinstated or class is withdrawn.

Depending on the Society’s procedures, the suspensions of class which are not automatic

may take effect either when they are decided by the Society or from the date when the

conditions for suspension occurred. However once the conditions for class

suspension/withdrawal are met and before any decision by the Society can be taken,

either because the Society is not aware of the circumstances (surveys dates, etc. are

recorded but not systematically monitored) or because the decision is not yet taken,

maintenance of class cannot generally be confirmed by the Society during this period.

3.4 Withdrawal of class

The Society will withdraw the class of a ship when:

•

requested by the owner;

•

the class has been suspended for more than six months;

•

the ship is reported as a constructive total loss and the owner does not advise his

intention to repair the ship for re-instatement of class;

•

the ship is reported lost;

•

the ship will not trade further as declared by its owner.

Withdrawal of class takes effect from the date on which the circumstances causing such

withdrawal occur or when it is decided.

3.5 Notification of suspension or withdrawal

When class is suspended or withdrawn, the Society will at the same time:

• inform the owner, flag Administration and underwriters (the latter at their request);

• publish the information on its website and convey the information to appropriate

databases (Equasis, etc.).

4 SURVEYS – AN OVERVIEW OF REQUIREMENTS AND CERTIFICATION

4.1 Definitions and procedures related to classification surveys

Period of certificate of class

The period of the certificate of class starts either from the date of initial classification or

from the credited date of the last class renewal/special survey, and expires at the due date

assigned for the next class renewal/special survey.

The due date is the end of the time window for that survey.

Anniversary date

The anniversary date is the day and the month given in the certificate of class which

corresponds to the expiry date of the certificate.

Survey time window

The survey time window is the fixed period during which the annual and intermediate

surveys are to be carried out. SAFER AND CLEANER SHIPPING

19

Overdue surveys

Each periodical survey is assigned a due date specified by the relevant Rules by which it is

to be completed.

A survey becomes overdue when it has not been completed by its due date. For example,

with an anniversary date of 15th April, the annual survey can be validly carried out from

16th January to 15th July. If not completed by 15th July, the annual survey becomes

overdue and class will be suspended automatically.

Recommendations/Conditions of Class

‘Recommendation’ and ‘Condition of Class’ are different terms used by IACS Societies for

the same thing, i.e. requirements to the effect that specific measures, repairs, surveys

etc. are to be carried out within a specific time limit in order to retain class.

Memoranda

Other information of assistance to the surveyor and owners may be recorded as

‘memoranda’ or a similar term. They may, for example, include notes concerning

materials and other constructional information. A memorandum may also define a

condition which, though deviating from the technical standard, does not affect the class

(e.g. slight indents in the shell which do not have an effect upon the overall strength of

the hull or minor deficiencies, which do not affect the operational safety of the machinery).

In addition, memoranda could define recurring survey requirements, such as annual

survey of specified spaces, or retrofit requirements, which have the de-facto effect of

conditions of class.

Specific questions in relation to the meaning of memoranda / recommendations /

conditions of class are to be addressed to the Classification Society concerned though the

owner of the ship.

4.2 Class surveys periodicity and scope

Class renewal survey / special survey

Class renewal surveys/special surveys are carried out at five-year intervals. However,

consideration may be given by the Society, in exceptional circumstances, to granting an SAFER AND CLEANER SHIPPING

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extension for a maximum period of three months after the due date. In such cases the

next period of class will start from the due date for the previous class renewal survey

before the extension was granted.

The special survey may be commenced at the 4th annual survey and be progressed with a

view to completion by the 5th anniversary date.

The class renewal surveys/special surveys include extensive examinations to verify that

the structure, main and essential auxiliary machinery, systems and equipment of the ship

are in a condition which satisfies the relevant Rules. The examinations of the hull are

generally supplemented by thickness measurements and witnessing of tests as specified in

the Rules, and as deemed necessary by the attending surveyor, to assess that the

structural condition remains effective and to help identify substantial corrosion, significant

deformation, fractures, damages or other structural deterioration.

Annual survey

Annual surveys are to be carried out within a window from three months before to three

months after each anniversary date.

At the time of annual surveys, the ship is generally examined. The survey includes an

inspection of the hull, equipment and machinery of the ship and some witnessing of tests,

so far as is necessary and practical in order to verify that, in the opinion of the attending

surveyor(s) the ship is in a general condition which satisfies the Rule requirements.

Intermediate survey

An intermediate survey is to be carried out within the window from three months before

the second to three months after the third anniversary date.

The intermediate survey includes examinations and checks on the structure as specified in

the Rules to verify that the vessel is in compliance with the applicable Rule requirements.

The Rule criteria become more stringent with age.

According to the type and age of the ship the examinations of the hull may be

supplemented by thickness measurements as specified in the Rules and where deemed

necessary by the attending surveyor.

Bottom / Docking survey

A bottom/docking survey is the examination of the outside of the ship's hull and related

items.

This examination may be carried out with the ship

either in dry dock (or on a slipway) or afloat: in the

former case the survey will be referred to as dry

docking survey, while in the latter case as in-water

survey. The conditions for acceptance of an in-water

survey in lieu of a dry-docking survey will depend on

the type and age of the ship and the previous history.

The outside of the ship's hull and related items are to

be examined on two occasions in the five-year period

of the certificate of class with a maximum of 36

months between surveys.

One of the two bottom/docking surveys to be performed in the five-year period is to be

concurrent with the class renewal/special survey. SAFER AND CLEANER SHIPPING

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For ships subject to the Enhanced Survey Programme (ESP) and 15 years of age and

above, the intermediate bottom/docking survey is to be carried out in a dry-dock.

Tailshaft survey

A tailshaft survey is the survey of screwshafts and tube shafts (hereafter referred to as

tailshafts) and the stern bearing.

The different types of surveys to which tailshafts may be subjected and the intervals are:

•

complete survey;

•

modified survey;

•

partial survey.

Tailshaft complete survey

Tailshafts are to be submitted to complete examination at a periodicity based on the type

of shaft and its design. “Complete” means that the shaft is drawn up for examination or

that other equivalent means of examination are provided.

Tailshaft modified survey

A modified survey of the tailshaft is an examination which may be accepted at alternate

five-yearly surveys for tailshafts provided that the shaft arrangement is in accordance with

specific requirements.

Tailshaft partial survey

A partial survey allows a postponement of the complete survey, having a periodicity of 5

years, for 2.5 years.

Boiler surveys

Boilers and thermal oil heaters are to be surveyed twice in every five-year period. The

periodicity of the boiler survey is normally 2.5 years.

Steam boilers, superheaters and economisers are examined internally and externally. To

this end, boilers are to be drained and suitably prepared for the examination of the water

steam side and the fire side. Where necessary, the external surfaces are to be made

accessible for inspection by removal of insulation and lining. SAFER AND CLEANER SHIPPING

22

Non-periodical surveys

Such surveys are carried out for example:

•

to update classification documents (e.g. change of owner, name of the ship,

change of flag);

•

to deal with damage or suspected damage, repair or renewal work, alterations or

conversion, postponement of surveys or outstanding recommendations/conditions

of class;

•

At the time of port State control inspections.

In the event of damage which affects or may affect the

class of the ship, the owner is to advise the Society without

delay.

Arrangements are then made at the earliest opportunity for

a surveyor to attend and ascertain the extent of the

damage and determine if it is such that the vessel no

longer complies with the applicable Rule requirements.

Following repair, the surveyor will again assess the status

of the vessel to determine if it has been returned to a

condition that is in compliance with the applicable Rule

requirements.

Any damage in association with wastage over the allowable limits (including buckling,

grooving, detachment or fracture), or extensive areas of wastage over the allowable limits,

which affects or, in the opinion of the surveyor, will affect the vessel’s structural,

watertight or weathertight integrity, is to be promptly and thoroughly repaired thereby

removing the need for the imposition of any associated condition of classification.

Otherwise, damages and partial or temporary repairs considered acceptable by the

surveyor for a limited period of time are covered by the issuance of an appropriate

recommendation/condition of class.

Damages or repairs required by the surveyor to be re-examined after a certain period of

time are also covered by an appropriate recommendation/condition of class.

4.3 Class certificate

Issue of the certificate of classification

A certificate of classification, bearing the class notations assigned to the ship and an expiry

date, is issued to all classed ships. This certificate may also be provided with annexes

supplying information sufficient for the management of the certificate, for determining the

class surveys date and for immediate assessment of possible irregularities (overdue

recommendations, etc.).

An interim/provisional certificate of classification may serve as a certificate of classification

in certain situations when deemed necessary by the Society.

Validity of the certificate of classification

A certificate of classification, properly endorsed, is valid until the expiry date unless

advised otherwise by the Society or provided there are no grounds for suspension or

withdrawal of class.

Endorsement of the certificate of classification

When annual and intermediate surveys are satisfactorily completed, the certificate of

classification is:

•

endorsed for the periodical surveys; SAFER AND CLEANER SHIPPING

23

•

according to the practice of some Societies, endorsed accordingly with the

relevant entries in the appropriate annexes attached to the certificate concerning

the outstanding recommendations/conditions of class, if any, and/or the surveys

held.

Where applicable, memoranda are also endorsed in the appropriate annex.

4.4 Definitions and procedures related to statutory surveys and inspections

General

A number of the Conventions require an initial survey before a vessel is put in service for

the first time and receives its first certificate, and a certificate renewal survey at one, two

or five year intervals thereafter, depending on the certificate and type of ship. In addition,

for those certificates valid for more than one year, surveys at annual intervals are

required, one of which, at approximately half way and termed ‘intermediate’, may be of

greater extent than an ordinary ‘annual’. The ‘Harmonised System of Survey and

Certification’ (HSSC) implemented by many Administrations under IMO resolution

A.997(25), as amended, brings all SOLAS (except for passenger ships), MARPOL and Load

Line Convention surveys into a five-year cycle. With respect of safety equipment surveys,

HSSC uses the term ‘periodical’ instead of ‘intermediate’, and for radio, ‘periodical’ instead

of ‘annual’. These latter take the place of the renewal surveys held under the shorter

certificate renewal cycles.

The scope of survey can generally be harmonized with the extents of the classification

surveys detailed above and, as far as possible, are held concurrently with them.

The scope of each statutory survey or

inspection is laid down by IMO

resolutions and generally increases with

age. It is to include sufficiently

extensive examinations and checks to

verify that the structure, machinery,

systems and relevant equipment such as

the life saving, fire fighting or pollution

prevention equipment are in a

satisfactory condition and in compliance

with the applicable standards.

Between surveys, the Conventions

require the flag Administration to make

it compulsory for the owner to maintain

the ship in conformance with the

regulations so that the ship will remain

fit to proceed to sea without danger to

the ship or persons on board or

unreasonable threat of harm to the

marine environment.

Initial statutory survey

An initial survey is an inspection of the design and construction of the relevant structure,

machinery and equipment of the ship to verify that it complies with the requirements of

the applicable regulations. SAFER AND CLEANER SHIPPING

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Renewal statutory survey

A renewal survey is an inspection of the structure, machinery and/or equipment, as

applicable, to verify that their condition is in compliance with the requirements of the

regulations. Modifications to the ship having a bearing on the conformity of the vessel to

the requirements are to be declared by the owner and inspected.

Annual statutory survey

An annual survey, in principle, includes a general inspection of the relevant structure and

equipment of the ship to confirm that it has been maintained in accordance with the

regulations and is in satisfactory condition.

Intermediate statutory survey

An intermediate survey is an inspection of specified items relevant to the particular

certificate to confirm that they are in satisfactory condition. Depending on the certificate

concerned and the age of the ship, the scope may range from that of an annual to the

equivalent of a renewal survey.

Periodical statutory survey

Periodical surveys generally take the place of renewal surveys for those certificates which

previously were renewed after one or two years. However, in the case of a Load Line

Certificate which is issued on behalf of, or by, flag Administrations that have not

implemented the harmonised system of survey and certification, the five-year renewal

survey may be referred to as the ‘periodical’ survey. SAFER AND CLEANER SHIPPING

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4.5 Statutory certificates

Authorisation

Statutory certificates are issued by the RO in accordance with the terms of its recognition

by the flag Administration. Variation of the delegation of statutory authority or certificates

that can be issued by the RO exists between Administrations. The Administration should

be contacted for specific details of the authorization.

Issue, endorsement and withdrawal

A certificate is issued or endorsed after the relevant surveys are passed. A certificate may

be issued, valid for a short time period, listing corrective action to be rectified for minor

deficiencies which do not prevent the issuance of a certificate to the ship.

For most Conventions, the Administration empowers the RO to withdraw or invalidate a

certificate if the required corrective action is not taken.