Like Ships Certificates part four: The Environmental certificates, this is a long article. It’s better to take these longer, information-dense articles slowly rather than trying to power through them as quickly as possible. Read through once, take a break, then read through again while making notes, and work through the MCAQs at the end.
Relevant documents and M-notices: SOLAS, ISM code, International Ship and Port Facility Security Code, Maritime Labour Convention. Others as given and linked below.
In some ways the SOLAS certificates are among the easier ones to remember. Once a ship reaches 500GT, she requires:
Document of Compliance*
Safety Management Certificate
Safe Manning Document
Maritime Labour Certificate**
International Ship Security Certificate
If she is a cargo ship (up to 12 passengers) she requires:
Cargo Ship Safety Equipment
Cargo Ship Safety Construction
Or, regardless of her size, if she carries more than 12 passengers and is therefore a passenger ship, she will also require:
Passenger Ship Safety Certificate (passenger ships also require the ISSC, regardless of size)
Safety Management Certificate
*The Document of Compliance is issued to the company, but the ship needs to have a copy onboard. Note that this is also required by companies operating passenger vessels.
**The Maritime Labour Certificate is under the Maritime Labour Convention, not SOLAS. Given that it’s required at 500GT though, I’ve lumped it in with the SOLAS certs; just be aware of this. Also, the Cargo Ship Safety Radio Certificate (required at 300GT) is a SOLAS certificate.
The best way to remember these certs is by dividing them into groups:
The first two are the safety management certs
The next three cover manning, how you’re treated and how you’re kept safe
The next two are the cargo ship certs.
The last one is the passenger ship cert.
The Safety Management Certificates
These are required under SOLAS Chapter IX and made into UK law under The Merchant Shipping (International Safety Management (ISM) Code) Regulations 2014
Because a company operating an ISM vessel (500GT+, or passenger vessel of any size) needs a DOC for each type of vessel they operate, let’s look first at the process for obtaining a DOC:
The company applies for an audit leaving to issue of an Interim DoC from the MCA, using MSF 5100
The Safety Management System (SMS) documentation is reviewed to ensure that it complies with the ISM code
An Interim DOC is issued, valid for one year
After at least three months an Initial audit is carried out. If this is satisfactory, a full-term DOC is issued, valid for five years
DoCs are always issued by the flag state; they are not delegated to class under either the EAS or the ACS. If the company has a multi-flag fleet, the MCA may permit the flag state of the majority of the vessels to carry out the audit and issue a DoC on the MCA’s behalf.
The DoC certifies that the company SMS has been assessed as compliant with the ISM code.
Safety Management Certificate
A Safety Management Certificate is required for all passenger vessels and all vessels over 500GT. Government operated ships used for non-commercial purposes are exempt (i.e. troop carriers and warships). The cert. is issued by the flag state (or, on the request of the flag state, another flag state) and verifies that the company and its shipboard management operate in accordance with the approved Safety Management System (SMS).
Understanding this, and that the core tenet of the ISM code is ‘say what you do, do what you say’ goes some way towards helping to remember how it is issued.
Application process for a SMC
Once the company has a DoC, the owner/operator applies for an interim audit by filling in MSF 5100.
This interim audit of the vessel leads to the issue of an Interim SMC, valid for six months. This allows the ship to operate and generate evidence that she follows the SMS. The company will carry out an internal audit before this three month period is up.
After three months but before six months, an Initial audit is carried out and a full-term SMC , valid for five years, is issued. This is subject to one Intermediate audit after three years, and a Renewal audit before five years.
If the company or ship fails an Initial audit, a short-term DoC or SMC valid for an additional three months may be issued, allowing another attempt at the initial audit. Only the MCA may cancel or suspend a DOC or SMC. This may happen on the identification of a major non-conformity.
Remember that the DoC is issued to the company, the SMC is issued to the ship.
Safe Manning Document
All vessels of 500GT or more must hold a Safe Manning Document (SMD) specifying the minimum required manning levels. This should be applied for at the design stage.
The application process
The company fills in and sends to the MCA MSF 4227.
The MCA review the application and, once satisfied that the ship can be operated safely with the proposed minimum level of crew, the SMD is issued.
In MSF 4227 the company gives details of the vessels intended service, manning system, any exemptions held, whether she has an Unmanned Machinery Space Certificate, whether the Master will take a navigational watch, her area of operations etc. The application also includes a manning proposal from the company.
Exemptions can only be issued by the MCA and can be applied for via email. They are always time-limited and can never apply to the Master or the Chief Engineer.
Ship owners must inform the MCA of any change in circumstances which are relevant to a Safe Manning Document. The MCA will then review the document’s continuing validity or approve fresh proposals from the owner or operator. This can result in the issue of a new SMD.
Maritime Labour Certificate
The Maritime Labour Certificate is required under the ILO/IMO Maritime Labour Convention; this is incorporated into UK law as The Merchant Shipping (Maritime Labour Convention) Regulations 2014 (as amended).
Process for issue
For a new build, a vessel flagging-in or a vessel that has changed owner, the owner must apply to the MCA for a MLC survey.
Following this survey, if the MCA is satisfied that the ship is prepared to comply with the MLC, an Interim Maritime Labour Certificate, valid for max 6 months, can be issued. At the same time, a Declaration of Maritime Labour Compliance (DMLC) part 1 is issued. This states the requirements (what the vessel must do to comply).
The DMLC part 2 is completed by the shipowner, stating how they intend to comply with the requirements of the DMLC part 1.
Before the 6-month Interim MLC expires, the vessel must be surveyed for the issue of a full term MLC.
The MLC is then valid for five years, subject to an Intermediate Survey between the second and third anniversaries and a Renewal survey.
Another article in this series will cover the Maritime Labour Convention in greater detail, including what is surveyed prior to the issue of this certificate.
International Ship Security Certificate
The ISSC is required under SOLAS Chapter XI-2 (Special measures to enhance maritime security). It was rushed into being after 9/11 and is made into UK law as The Ship and Port Facility (Security) Regulations 2004. Note that this is not just about ships; it’s about port facilities too.
We won’t go into Ship Security Assessments, Ships Security Plans, Security Officers etc. here; that’s for another article.
Issue process
The Ships Security Assessment and Ship Security Plan are assessed by a Recognised Organisation or the MCA, who verify that they are compliant with the ISPS code. The vessel is now issued with an Interim ISSC valid for six months, allowing her to sail. Once she has sailed for three months she becomes eligible for the Initial verification. Note that this schedule is similar to that for the issue for a SMC, and for good reason; evidence is needed that the ship is complying with these documents. On passing an Initial verification the full-term ISSC is issued, dated the same as the initial certificate. Renewal verification is required at an interval of not more than 5 years, with at least one Intermediate verification between these.
Details on the certificate
Name
Distinctive numbers or letters
Port of registry
Type of vessel
Gross tonnage
Dates of initial, intermediate and renewal verifications
The ISSC certifies that:
The ship has an approved Ship Security Plan
The security system and equipment has been verified and comply with the ISPS code
The cargo ship safety certificates
These certificates, and the Passenger Ship Safety Certificate, all come under the Harmonised System of Survey and Certification; read that article for their survey schedules. They are required under The Merchant Shipping (Survey and Certification) Regulations 2015 as amended. Surveys can be delegated to class under the ACS, otherwise the MCA do these.
Cargo Ship Safety Equipment Certificate
This certificate is accompanied by form E, which lists all mandatory safety equipment carried by the vessel. This makes it a useful resource in creating checklists, preparing for audits etc.
Items inspected include:
Fire safety systems
Life saving appliances (this covers a LOT of equipment)
Navigational equipment
Pilot embarkation arrangements
Nautical publications
Lights and shapes
Sound signals and distress signals
Emergency power supply
Stability data
Details included on the certificate:
Ships particulars
Type of ship
Dates of build
Dates of inspection and survey
Cargo Ship Safety Construction Certificate
The CSSC covers the structure, machinery and equipment of the ship with the exception of those items covered by the CSSR (Radio, required at 300GT) and CSSE certificates.
Items surveyed include:
Anchors and anchor cables
Condition of steelwork
Bilge and drainage systems
Watertight doors
Fixed fire-fighting systems
Emergency escapes
Means of communication throughout the ship
Engines
Steering gear
For a more complete overview of the items surveyed, follow this link.
Details included on the certificate:
Ships particulars
Type of ship
Dates of build
Dates of inspection and survey, including dates of last two inspections of the outside of the ship’s bottom
Exemptions granted if any
Cargo Ship Safety Certificate
Note that the three Cargo Ship Safety Certificates (Radio, Equipment and Construction) can be combined into one certificate; the Cargo Ship Safety Certificate. This is accompanied by form C, which includes everything that would otherwise be included on forms R and E.
Passenger Ship Safety Certificate
For vessels carrying more than 12 passengers and thus classed as passenger vessels, the three Cargo Ship Certificates (Radio, Equipment and Construction) or the combined Cargo Ship Safety Certificate are replaced with the single Passenger Ship Safety Certificate (PSSC). This certificate is part of the Harmonised System of Survey and Certification and is unusual in that it is subject to yearly Renewal surveys. It is also subject to an Initial survey prior to the vessel being put into service, and Additional surveys as and when required.
Who carries out the PSSC survey?
The MCA remains responsible for the issue of the Passenger Ship Safety Certificate. In practice, hull and machinery surveys on passenger ships are carried out in order to maintain both their statutory certification and Class status and to avoid duplication of survey items Class surveyors have been authorised to conduct hull and machinery surveys on all ships on MCA‘s behalf. The attending MCA surveyor is thus able to focus their attention closely on the more critical aspects of passenger ship safety. In general the UK has authorised the UK approved classification societies (recognised organisations) to survey hull, machinery, electrical and control systems, while MCA deal with survey of Fire and Safety Equipment, Navigation, Safe Manning and Safety Management and Security Audits.
Due to the size and complexity of modern passenger ships and because of their demanding schedules, the MCA permits a continuous survey regime (sometimes referred to as ‘Zone Surveys’). The basis of the continuous survey regime is that the survey of the whole ship, its equipment and manning is broken down into a number of smaller, more manageable partial surveys. These are scheduled and carried out within the one year duration of the Passenger Certificate. In this case a continuous survey scheme must be prepared by the owner and approved by the MCA prior to commencement.
The radio survey, due to the specialised nature of this work, is undertaken by authorised persons on behalf of the MCA.
The PSSC is accompanied by form P, the record of equipment for passenger ships.
Information on the certificate:
Particulars of vessel, including IMO number
Sea areas the vessel is certified to operate in
Assigned subdivision load lines
Items surveyed for issue of certificate:
Everything covered in the Cargo Ship Safety Radio, Equipment and Construction certificates:
Anchor, windlass and cables
Guard-rails & bulwark
Tank examination and pressure test
Sea connections
Storm valves
Weighted lever cocks
Windows and sidescuttles
Main engines
Boilers
Evaporators/RO plant
Gearing
Generators and trips
Switchboard
Radio equipment
Megger test
Propellors
Rudders
Shafting arrangements
Start air system
Ship side door installation
Watertight doors
Load line and subdivisions
Emergency generators
MCAQs
If a company operates a fleet consisting of general cargo ships, container vessels, Ro-Ro ferries and a single standby vessel, how many DoCs would they require?
What are the periods of validity for an interim DoC and interim SMC?
Do DoCs and SMCs require inspections or audits? What is the difference between an inspection and an audit?
When does the Safe Manning Document become invalid?
Your second engineer has failed to show up on crew change day. How do you go about gaining an exemption from your minimum manning level to allow the ship to sail?
Under what convention is the Maritime Labour Certificate required?
Who completes the DMLC part 1?
Who completes the DMLC part 2?
What items would be inspected for a Cargo Ship Safety Equipment Certificate?
Where would you find a list of these items?
What form accompanies the CSSE Certificate?
What items are checked during the survey for a Cargo Ship Safety Construction Certificate?
Who carries out the Passenger Ship Safety Certificate survey?
How often must this certificate be renewed?
What items are checked as part of the PSSC survey?
Are these always surveyed at once or is there another option?