REPORTS, CERTIFICATES & SURVEY STATUS

Luca VARINI Manager of Classification and Certification Services Marine Division

Reports, Certificates & Survey Status

SURVEY REQUEST

PREPARATION OF THE SURVEY

SURVEY

REPORTS

CERTIFICATES

SURVEY STATUS

Reports, Certificates & Survey Status

PREPARATION OF THE SURVEY

1) Review of the survey status, to get info on: - ships type, age, dimensions - surveys due - possible pending recommendations - memoranda - management company - history 2) Review of the scope of the survey 3) Check ships ETA and ETD

Reports, Certificates & Survey Status CARRYING OUT THE SURVEY Behaviour of the surveyor - The surveyor: a guest in somebody else house - First rule: to introduce himself to the Master or Owners representative - Verification of the safety conditions for the survey

Reports, Certificates & Survey Status CARRYING OUT THE SURVEY Characteristics of a good surveyor - Readiness in adapting to the environment - Frankness - Real interest in his job - Willingness in cooperating with personnel on board and understanding their problems, and above all - Readiness in formulating decisions

Reports, Certificates & Survey Status CARRYING OUT THE SURVEY Steps of survey - Initial meeting (major surveys) - Importance of a general examination of the ship, in advance of more detailed inspections - Deficiencies: to be promptly communicated - Use of note-books - Use of the check lists - Outcome of the survey (SES interim: class and statutory situation of the vessel)

Reports, Certificates & Survey Status CARRYING OUT THE SURVEY

A particular case: bottom survey for sale purposes

- The Memorandum of Agreement (validity of the ships certificates, absence of condition of class, drydock/diver expenses) - The buyer: to be gently ignored by the surveyor - Scope of survey: a bottom survey, from which in general the surveyor should not deviate (in particular upon buyers invitation)

Reports, Certificates & Survey Status

PART I: REPORTING 1) 2) 3) 4) 5) 6) 7) 8) 9) SES /SES Interim Endorsement in the SES Checklists (table of forms, ITS I-A-3) Recommendations Memoranda Narrative report (ITS I-A-4) Reporting: timeframe Jobs crossing each other Verification of survey reports

Reports, Certificates & Survey Status Endorsement in the SES

All endorsements in the Class Survey Endorsement Sheets shall be written as follows: list of the surveys carried out in the first sentence (e.g.: Bottom and tailshaft surveys carried out) confirmation of class in the second sentence (e.g. Class confirmed) specific statements in a third sentence, if needed (e.g: Main Engine p.n. 65 temporarily out of service) The confirmation of class shall be Class confirmed either the vessel is free from recommendations or outstanding recommendations exist with a due date not before the earlier due date of annual, intermediate, Class renewal, bottom, tailshaft, boiler surveys. Where recommendations exist with a due date before the earlier due date of annual, intermediate, Class renewal, bottom, tailshaft, boiler surveys, the confirmation of class shall be Class confirmed until dd/mm/yyyy, where dd/mm/yyyy is the earlier due date of the outstanding recommendations. Should Class be confirmed for a single voyage, the ports and conditions of the voyage will be specified and a due date will always be imposed.

Reports, Certificates & Survey Status

Recommendations (Condition of class)

A recommendation is an official request from RINA that substantial damage or a deficiency affecting the vessel's class is rectified by a due date. All recommendations and relevant actions have to be reported in the Survey Endorsement Sheet. The formal criteria to report an imposed recommendation are: a clear description of the item concerned and of the kind of damage/deficiency; indication of a definite date of settlement (day, month, year) called due date; (the due date may coincide with the due date of a periodical survey); description of actions taken to ensure a satisfactory level of safety in order to accept the deficiency and delay repairs. Recommendations are to be formulated unequivocally. Where several items are included in a recommendation, they are to be numbered consecutively. The Surveyor must clearly report about recommendations that have been cleared as well. To describe the action to be taken, the Surveyor should use only the following sentences: to be replaced, to be inspected (where inspection is required before normal due date), to be repaired, to be tested, to be supplied, to be gauged, to be carried out or similar. Re-inspection to better define the recommendation is not allowed (the Surveyor who imposes the recommendation must clearly assess the deficiencies / damages and define the corrective action and the time limit). To define the due date, the Surveyor should use only the following sentences: by dd/mm/aaaa, by next survey, prior to re-commissioning, prior to be put in service or similar. The sentence ''as soon as possible' must not be used.

Reports, Certificates & Survey Status

Memoranda
A memorandum is used to defines a situation where, though deviating from the technical standard, the vessels class is not affected (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) and, therefore, the decision whether to take a corrective action or not is left to the owner. All memoranda and relevant actions have to be reported in the Survey Endorsement Sheet. Such memoranda may include re-inspections at the periodical surveys or at shorter intervals and may continue to apply beyond a class renewal survey. A memoranda is also used to indicate useful information such as Equipment Number, Steel grade used for the hull, tailshaft and rudder clearances, compliance with statutory regulations, etc. Part of these information are being transferred in the building blocks in Leonardo, so that they appear in the survey status but not in the form of memoranda.

Reports, Certificates & Survey Status

Narrative reports
The Survey Endorsement Sheet is a complete concise system to provide the outcome of a survey. However, SES plus checklists cannot give the complete picture of the outcome of the survey, unless they are completed with a narrative report, giving the additional information which are the basis for a useful ships record review, otherwise almost meaningless (for whatever use the review is performed: sale, chartering, insurance, assessment of PSC detentions, etc). The narrative report must always be limited to the description of facts. Judgements and supposed causes of events must never be reported by the surveyor. In case of occasional surveys following conversion or repair works, the main operations carried out during the work in question are always to be listed in detail in a narrative report. The report should also state who commissioned the survey, in which yard or by which firm work was carried out and any additional comments regarding the place of survey. The items and components surveyed are to be clearly named. All the sectors and components surveyed are to be specified or listed in full in the report. The Surveyor should always use standard sentences like: replaced, repaired, tested, examined externally'', ''inspected in place'', ''opened and surveyed'', ''dismantled and thoroughly overhauled on board (in workshop)'', ''hydrostatically tested'' and similar. Adjectives and adverbs should always be avoided. Each individual AVERAGE DAMAGE is to be dealt with separately in the report and no mention should be made in the report of supposed or assumed causes of damage.

Reports, Certificates & Survey Status

Reporting: timeframe
The SES interim left on board enables the Owners to be immediately informed, upon completion of a survey, about the position of the ship, as far as class and statutory certification is concerned. However, the ships situation is made available to interested parties by means of the ships survey status, which is also to be updated as soon as possible on the basis of the survey reports. Interested parties are not only the shipowner/management, but also the RINA Offices that may be requested to carry out a survey, Flag Administrations, third parties (as authorised by the owners), etc. The reports are to be made available in the Leonardo system within the limits indicated in the ITS Part I-A-2. The ships status is normally requested to be updated within maximum 2 weeks from the survey completion. The time used by Offices to complete reporting and updating of the ships status is a KPI (Key Performance Indicator) of the RINA Marine Division and is used for evaluating the overall performance of an Office by the end of the year.

Reports, Certificates & Survey Status

Jobs crossing each others

A ship which is under survey is not to sail until the position of her class has been defined through the issue of the SES/SES interim. It happens that sometimes jobs cross each other, giving raise to situations where the class position of the ship may be questioned. Example: Job no.24: Port of survey A, first date 18/11, last date 24/11; occasional survey after damage, class confirmed Job no. 25: Port of survey B, first date 20/11, last date 20/11 SAFEQU survey carried out. Considering the above, the confirmation of class of the ship in the days from 18/11 to 24/11 is questionable. Possible damages occurred to the vessel within the a.m. dates could cause trouble to the Classification Society and the Owners.

Reports, Certificates & Survey Status

Verification of the survey reports:

The survey reports which are to be subject to the Head Office review, as indicated in the ITS I-A-2, are basically those where certificates have been issued by the Office. Before the Head Office review, they are to be reviewed by the Head of The Office. The tools used to review the survey reports are basically: - The form report_assessment - The Guidelines for review of the survey reports (ITS I-A-5) Any reviewed report by Head Office is assigned a rating and in case remarks are noted, they are communicated to the Office for correction (if needed) and improvement. The average of the reports rating, indication of the reporting quality, is also a KPI (Key Performance indicator).

Reports, Certificates & Survey Status

PART II: CERTIFICATES

1) Class Certificate 2) Statutory Certificates 3) Interim, short term, conditional certificates 4) Exemption certificates 5) Supplements and records 6) Non-Convention Certificate 7) Document of Compliance 8) Statement of Compliance

Reports, Certificates & Survey Status Class certificate

A Certificate of Class is issued to any vessel classed by RINA to give evidence of its compliance with the applicable Class Rules. Either a full term or an interim Certificate of Class is issued, the vessel has been considered by RINA eligible to be admitted into its Class, the only difference being that an interim Certificate of Class is issued by an Office to bridge the time until the full term Certificate of Class is received. The Interim Certificate of Class is issued upon completion of an Admission to Class survey either for newbuildings or for existing vessels. Thereafter, it is re-issued by Head Office upon completion of each Class Renewal survey. In particular cases, the RINA Head Office may decide to re-issue a Certificate of Class upon request of the Owner (e.g.: due to significant alterations). The validity of an interim Certificate of Class does not normally exceed 5 months and is generally aligned to that of the Short Term Statutory Certificates (if any). The validity of a full term Certificate of Class is intended to cover the period of Class assigned to the vessel, depending on the applicable Rules. Extensions of the validity of the full term Certificate of Class beyond the assigned period Class, never exceeding 3 months, may be granted in specific circumstances, upon authorization of the RINA Head Office.

Reports, Certificates & Survey Status Statutory certificates

Statutory certificates are issued by RINA on behalf of a Flag Administration to give evidence of the ships compliance with the pertinent Statutory Requirements. The most frequent statutory certificates issued are those linked to the main International Conventions: SOLAS: - Cargo Ship Safety Construction Certificate - Cargo Ship Safety Radio Certificate - Cargo Ship Safety Equipment Certificate - Passenger Ship Safety Certificate LOAD LINE - International Load Line Certificate MARPOL - International Oil Pollution Prevention Certificate (annex I) - International Sewage Pollution Prevention Certificate (annex IV) - International Air Pollution Prevention Certificate (annex VI) - International Pollution Prevention Certificate for NLS in bulk (annex II) AFS - International Anti-fouling System Certificate And others

Reports, Certificates & Survey Status Statutory certificates: format For any certificate issued by RINA, the relevant form available in the database Forms in Lotus Notes or in the Leonardo system is to be used. These forms are in compliance with the standard format provided in the Convention or by the Administration, if any.

Reports, Certificates & Survey Status Full Term Certificates A Full Term Certificate is a certificate valid for the maximum period allowed by the relevant Convention and by the Administration. Full Term Certificates are issued by the Head Office. RINA Offices are not authorized to issue full term certificates (apart from particular ceritificates, such as AFS certificate, certificate of fitness to BC Code, etc)

Reports, Certificates & Survey Status Short Term Certificates A Short Term Certificate (or an Interim Certificate) is a certificate valid for a maximum period of 5 months, issued in order to bridge the time until the Full Term Certificate is received. Wherever required for technical reasons, Short Term Certificates are to be issued for periods of less than 5 months. Short Term Certificates are generally issued by RINA Offices.

Reports, Certificates & Survey Status Conditional Certificates

A Conditional Certificate (or a Conditionally issued Certificate) is a certificate issued when deficiencies exist which do not prevent the ship from proceeding to sea without danger to the ship, persons or environment but which cannot be corrected in the port of survey. A specific authorization has to be obtained from the Administration prior to issuing a Conditional Certificate. A Conditional Certificate is valid for a period only long enough to permit the ship to proceed to the port where the deficiencies can be rectified, which does not normally exceed 2 months, except when specially instructed by the Administration or by RINA Head Office. In no case the validity of the Conditional Certificate shall exceed the period granted for rectification of the deficiencies. Conditional Certificates are generally issued by RINA Offices, upon specific instruction from RINA Head Office and always identified as a Conditional Certificate at the top of the front page.

Reports, Certificates & Survey Status Exemption Certificates An Exemption Certificate is always issued only upon specific authorisation from the Flag Administration. The related Certificate must report that an Exemption Certificate has been issued. Typical example is the Exemption Certificate issued for cargo ships not provided with a fixed gas fire-extinguishing system in the cargo holds (SOLAS reg. II-2/10.7.1.4

Reports, Certificates & Survey Status Supplements to certificates

Some certificates are completed by supplements/records, giving details about the equipment installed and the construction of the ship. Typical cases are: - Supplement to the IOPP Certificate (record of construction and equipment, type A and type B) - Form R for SAFRAD certificate (record of equipment, with details of the radio facilities) - Form E for SAFEQ certificate (record of equipment, with details of lifesaving appliances and navigational systems) - Form P for SAFPAS certificate (record of equipment, with details of lifesaving appliances, navigational and radio systems)

Reports, Certificates & Survey Status Non-Convention Certificates

Non-Convention Certificates are those issued on behalf and upon specific authorization of a Signatory State (a State which has accepted and ratified the relevant Convention) to a Non-Convention ship (a ship to which regarding their size, type and/or trading area the provisions of the relevant Convention are not applicable). Provided that the preliminary consent of the Administration is obtained, where no national regulations exist, the IACS Internal Guidelines No. 2 Safety guidelines for cargo ships of less than Convention size have to be applied, as appropriate. The same three categories of regular certificates (full/short/conditional) are foreseen, depending on their validity.

Reports, Certificates & Survey Status Document of Compliance

Documents of Compliance are those issued on behalf and upon specific authorization of a Non-Signatory State (a State which has not yet accepted and ratified the relevant Convention). Example: the Document of Compliance to MARPOL Annex IV, requested by Malta Maritime Authority, pending ratification of Annex IV and subsequent issue of the ISPP certificate. The same three categories of regular certificates are foreseen, depending on their validity.

Reports, Certificates & Survey Status Statement of Compliance

Documents of Compliance are not to be mistaken for Statements of Compliance. The latter are not Statutory Certificates but Statements issued by RINA not on behalf of any Flag Administration. They are issued upon request of the Owner in cases where an authorization to issue a Statutory Certificate does not exist. Example: Statements of Compliance issued to prove compliance with MARPOL Annex IV or AFS Convention.

Reports, Certificates & Survey Status

PART III: SURVEY STATUS

The survey status is the tool by which Owners and other interested parties (as far they are allowed to) are informed about the situation of a vessel, as far as class and statutory certification is concerned.

Having considered the above, it goes without saying that having the ships status constantly updated is of paramount importance.

Reports, Certificates & Survey Status

The survey status contains the following info:

Vessel general information: flag registration data, date of build and keel laid, tonnage, class characteristics Owner and shipmanagement information Class status: data of entry into class, class period, last survey reported, class next due date - Status of certificates: date of issue, validity Status of surveys: for both class and statutory surveys, the last date, the due date and the range dates

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Reports, Certificates & Survey Status

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Class recommendations Status of compliance with retroactive class requirements Statutory recommendations Status of compliance with retroactive statutory requirements Class memoranda Statutory memoranda Ballast spaces to be inspected Hull and or Machinery Continuous Survey items, with the relevant due date