CONTENTS

1 Deleted Jan 2000 (Incorporated into PR1A (Jan 2000))

1A Procedure for Transfer of Class Rev.5 Jan 2016

1B Procedure for Adding, Maintaining or Withdrawing

Double or Dual Class Rev.2 July 2013

1C Procedure for Suspension and Reinstatement or Withdrawal

of Class in Case of Surveys, Conditions of Class or
Recommendations Going Overdue Rev.5 Jan 2016

1D Procedure for Class Entry of Ships not subject to

PR1A or PR1B Oct 2014

1 ANNEX Annexes to PR1A, PR1B and PR1C Rev.2 Oct 2013

2 Procedure for failure incident reporting and early warning

of serious failure incidents – early warning scheme – EWS Del Jan 2017

2A Procedure for Hull Failure Incident Reporting July 2015

2B Procedure for Early Warning of Serious Hull Failure Incidents

- “Early Warning Scheme – EWS” July 2015

3 Transparency of Classification and Statutory Information Corr.1 Nov 2016

4 Deleted Jan 2000 (Incorporated into PR1A (Jan 2000))

5 Definition of exclusive surveyor and non-exclusive surveyor

and procedure for employment and control of non-exclusive
surveyors Rev.0 July 2009

6 Procedure for Activity Monitoring of Surveyors, Plan

Approval Staff and Auditors Rev.3 Nov 2014

7 Procedure for the Training and Qualification of Survey and

Plan Approval Staff Rev.1 Nov 2012

8 Procedure for Responding to Port State Control Rev.1 Dec 2010

Page 1 IACS Proc Req. 2018

9 Procedural Requirements for ISM Code Certification Rev.3 Apr 2018

10 Procedure for the Selection, Training, Qualification and

Authorisation of Marine Management Systems Auditors Rev.2 Nov 2014

10A Deleted Mar 2009

10B Procedure for the Selection, Training, Qualification and

Authorisation of Maritime Labour Inspectors Dec 2016

11 IACS Procedure for Assigning Date of Build Rev.1 Nov 2010

12 Procedure for Statutory Certification at Change of Class

without Change of Flag Rev.2 Jun 2016

13 Cancelled December 1998

14 Deleted July 2009

15 Deleted Mar 2009

16 Procedure for providing lists of classed ships to EQUASIS Corr.2 Feb 2016

17 Reporting on deficiencies possibly affecting the

implementation of the ISM Code on board during surveys Rev.1 Sep 2016

18 Transfer of Safety and Security Management Systems

Certification Rev.1 Sep 2012

19 Procedural Requirement for Thickness Measurements Rev.1 July 2017

20 Procedural Requirement for certain ESP Surveys Rev.2 Apr 2016

21 Procedural Requirement for Statutory Surveys by

Exclusive Surveyors Rev.2 Mar 2018

22 Deleted July 2009

Page 2 IACS Proc Req. 2018

23 Procedure for Reporting Cancellation of Approval
of a Thickness Measurement Firm Corr.1 Dec 2013

24 Procedural Requirements for ISPS Code Certification Rev.1 Dec 2010

25 Deleted Mar 2009

26 Deleted Mar 2009

27 Deleted Jan 2008

28 Procedure for Change of Flag Rev.2 Jan 2018

29 Definition of date of “contract for construction” Rev.0 July 2009

30 Deleted June 2006

31 Additional measures to ensure mandatory application

of IACS Unified Interpretations Rev.1 July 2014

32 Procedure for handling technical questions regarding

the IACS CSRs Rev.1 Sept 2011

33 Owner’s Hull Inspection and Maintenance Schemes Rev.0 July 2009

34 Deleted July 2012

35 Procedure for Imposing and Clearing Recommendations/

Conditions of Class Rev.0 July 2009

36 Transfer of Maritime Labour Convention, 2006 Certification Mar 2013

37 Procedural Requirement for Confined Space Safe Entry Rev.2 Dec 2018

38 Procedure for Calculation and Verification of the Energy

Efficiency Design Index (EEDI) Rev.1 Mar 2016

Page 3 IACS Proc Req. 2018

 No.1

No.1
No. Deleted January 2000
(cont)

End of
Document

Page 1 of 1
 PR1A

PR1A
PR1A Procedure for Transfer of Class
(Rev.0
(cont)
July 2009)
(Rev.1 TABLE OF CONTENTS
June 2012)
(Rev.2 PR1A
Oct 2013) Procedure for Transfer of Class
(Rev.3
Jan 2015) Application
(Rev.4
July 2015) Definitions
(Rev.5
Jan 2016) Section A Procedural Requirements

A.1 Obligations and reporting of the gaining Society

A.2 Obligations and reporting of the losing Society

A.3 Transfer of class at vessel’s delivery

A.4 Other Requirements

Section B Technical Requirements

B.1 Plans and information

B.2 Surveys

Section C Plans to be Submitted by the Owner to the Gaining Society

C.1 Plans to be submitted

C.2 Torsional vibration calculations

C.3 Additional requirements for vessels with ice class notation

C.4 Additional plans required for oil tankers

C.5 Additional plans required for unattended machinery space notation

C.6 Additional Documents required for approval of Alternative Design and

Arrangements

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 PR1A

Notes:
PR1A
(cont) 1. This Procedural Requirement applies to requests for transfer of class received on or
after 1July 2009.

2. Revision 1 of this Procedural Requirement applies to requests for transfer of class

received on or after 1 July 2013.

3. Revision 2 of this Procedural Requirement applies to requests for transfer of class

received on or after 1 January 2014.

4. Revision 3 of this Procedural Requirement applies to requests for transfer of class

received on or after 1 July 2015.

5. Revision 4 of this Procedural Requirement applies to requests for transfer of class

received on or after 1 July 2016.

6. Revision 5 of this Procedural Requirement applies to requests for transfer of class

received on or after 1 July 2016.

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 PR1A

PR1A PR1A
(cont) Procedure for Transfer of Class
Application

This Procedure contains procedures and requirements pertaining to transfer of class from
one Society (i.e. losing Society) to another Society (i.e. gaining Society) and is applicable,
unless stated otherwise, to vessels of over 100 GT of whatever type, self propelled or not,
restricted or unrestricted service, except for "inland waterway" vessels.

The obligations of this Procedure apply to Classification Societies which are subject to
verification of compliance with QSCS.

Definitions

‘At vessel’s delivery’ means that the new construction survey process is completed, the first
Certificate of Class is delivered and the vessel has not departed from the yard.

‘First Certificate of Class’ means either Interim Certificate of Class or Full Term Certificate of
Class or another Certificate serving the same purpose.

‘Gaining Society’ means a Classification Society which accepts a vessel for its classification
only after all overdue surveys; overdue recommendations or overdue conditions of class
previously issued against the vessel have been completed by or as specified by the losing
Society.

‘Interim Certificate of Class’, or Interim Class Certificate, is the certificate issued immediately
upon completion of the survey of the vessel to enable it to trade while the report of the
classification surveys is processed by the gaining Society pursuant to issuing its full term
Class Certificate.

‘Losing Society’ means the Classification Society from which class is being transferred. In the
case of vessels classed by more than one Society, ‘losing Society’ means all Classification
Societies from which class is being transferred.

‘Outstanding’ means still to be dealt with.

‘Overdue’ means overdue on the date the losing Society receives the request by the gaining
Society for its current classification survey status.

‘Recommendations’ and ‘Conditions of Class’ are to be read throughout this Procedural

Requirement as being different terms used by 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.

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 PR1A

Section A - Procedural Requirements

PR1A
(cont) A.1 Obligations and reporting of the gaining Society

A.1.1 Whenever a Society is requested by an Owner to accept an existing vessel into

class, the gaining Society is to immediately notify the Owner in writing that:

.1 the relevant surveys specified in PR1A/B.2.1 are required to be satisfactorily

completed for entry into class;

.2 for vessels less than 15 years of age(Note 1), an Interim Certificate of Class can be
issued only after the gaining Society has completed: (i) all overdue surveys and (ii)
all overdue recommendations / conditions of class previously issued against the
vessel as specified to the Owner by the losing Society;

.3 for vessels 15 years of age and over, an Interim Certificate of Class can be issued
only after the losing Society has completed: (i) all overdue surveys and (ii) all
overdue recommendations / conditions of class previously issued against the vessel.

.4 any outstanding recommendations / conditions of class are to be dealt with by their

due dates;

.5 the principles given in items .1, .2 and .3 above apply to any additional
recommendations / conditions of class issued against the vessel arising from
surveys which were not included in the initial survey status provided to the gaining
Society by the losing Society because the surveys were carried out in close proximity
to the request for transfer of class. Such additional recommendations / conditions of
class if received after the issuance of the Interim Certificate of Class by the gaining
Society and which are overdue are to be dealt with at the first port of call by the
relevant Society depending on the age of the vessel;

.6 copies of the plans listed in Section C are to be provided to the gaining Society as a
prerequisite to obtaining a full term Class Certificate.

If the Owner is unable to provide all of the required plans, the gaining Society is to request
that the Owner authorise the losing Society to transfer copies of such of these plans as it may
possess directly to the gaining Society upon request from the gaining Society, with the advice
that the losing Society will invoice the gaining Society and the gaining Society may, in turn,
charge the associated costs to the Owner.

A.1.2 Prior to issuing an Interim Certificate of Class the gaining Society is to obtain:

.1 from the Owner, a written request for transfer of class, containing an authorisation for
the gaining Society to obtain the current classification status from the losing Society;
and

.2 the current classification survey status from the Headquarters of the losing Society or
one of its designated control or management centres.

(Note 1)
To be calculated from the date of delivery to the “Date Request for Class was
Received” in Form G Part A – Survey Status Request.

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 PR1A

A.1.3 Within two (2) working days of receipt of a written request from the Owner for
PR1A transfer of class at a Society’s Headquarters or one of its designated control or management
(cont) centres, the gaining Society is to notify the losing Society of the requested transfer of class
using the Form G in Annex 1 with Part A completed and attaching the Owner’s authorisation
for release of the survey status. If the gaining Society does not receive the classification
survey status from the losing Society within three (3) working days from request, the gaining
Society may utilise the losing Society’s survey status information provided by the Owner and,
after complying with the other relevant requirements of this Procedural Requirement, may
issue an Interim Certificate of Class. In such cases, a statement is to be included in or with
the Interim Certificate of Class reminding the Owner that the conditions of A.1.1 are still
applicable.

A.1.4 The gaining Society is not to issue an Interim Certificate of Class, or other
documents enabling the vessel to trade:

1. Until all overdue surveys and all overdue recommendations / conditions of class
previously issued against the subject vessel as specified to the Owner by the losing
Society, have been completed and rectified by:

a) the gaining Society, for vessels less than 15 years of age;

b) the losing Society, for vessels 15 years of age and above; and

2. Until all relevant surveys specified in PR1A/B.2.1 have been satisfactorily completed;
when facilities are not available in the first port of survey, an Interim Certificate of
Class may be issued to allow the vessel to undertake a direct voyage to a port where
facilities are available to complete surveys required in PR1A/B.2.1 In such cases:

The surveys specified in PR1A/B.2.1 are to be carried out to the maximum extent
practicable at the first port of survey, but in no case less than the scope of annual
hull survey and machinery surveys as required in B.2.1.2;

3. before giving the opportunity to the Flag Administration to provide any further
instructions within three (3) working days.(Note 2)

A.1.5 The validity of the Interim Certificate of Class and the subsequent Class Certificate is
subject to any outstanding recommendations / conditions of class previously issued against
the vessel being completed by the due date and as specified by the losing Society. Any
outstanding recommendations / conditions of class with their due dates are to be clearly
stated on the:

.1 Interim Certificate of Class or an attachment to the Interim Certificate of Class,

and/or class survey record available on board; and

.2 survey status when the full term Class Certificate is issued.

(Note 2)
In compliance with the requirements of Art. 10.5 of the Regulation (EC) No 391/2009
as amended.

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 PR1A

A.1.6 The gaining Society is, within one (1) month from issuing its Interim Certificate of
PR1A Class, to advise the losing Society of the date of issuing this certificate and confirm the date,
(cont) location and action taken to satisfy each overdue survey and overdue recommendation /
condition of class, if any, issued against the subject vessel as specified to the Owner by the
losing Society. The report Form G in Annex 1, with Parts A and B duly completed is to be
used.

A.1.7 Any additional information regarding outstanding surveys or recommendations /

conditions of class received from the losing Society in accordance with A.2.3 is to be dealt
with in accordance with A.1.4 and A.1.5, as applicable, and reported to the losing Society with
Form G in Annex 1 with Part B-1 duly completed within one (1) month from the completion of
the survey. If this additional information is received after the Interim Certificate of Class has
been issued, any surveys or recommendations / conditions of class which are overdue are to
be dealt with at the first port of call:

.1 by the gaining Society in vessels less than 15 years of age; or

.2 by the losing Society in vessels 15 years of age or over.

If this is not accomplished, the Interim Certificate of Class is to be withdrawn immediately

unless the Owner agrees to proceed directly, without further trading, to a suitable port where
any overdue surveys or overdue recommendations / conditions of class are to be carried out
by the relevant Society based on the age of the vessel.

A.1.8 Prior to final entry into class the gaining Society’s obligation is:

.1 to carry out and document the review, of class survey records, of the losing Society,
by an authorised person considering the items specified in Annex 3;

.2 to advise the losing Society in writing of the anticipated date of final entry into class
and that Form G with Parts A, B and B-1 (when applicable) duly completed has been
sent(Note 3).

A.1.9 The gaining Society may, if deemed necessary, carry out the review of class survey
records of other Societies, which had previously classed the vessel.

A.1.10 Within one (1) month of the date of final entry into class, the gaining Society is to
dispatch Form G in Annex 1, with Parts A, B, B-1 (when applicable) and C duly completed, to
the losing Society. In cases where the losing Society has reported recommendations /
conditions of class on the vessel, the gaining Society is to provide to the losing Society,
together with Form G, an itemised list of actions taken with the date and location and actions
to be taken, to satisfy each recommendation / condition of class. The gaining Society is to
confirm in writing the date of final entry into class to the flag State within one (1) month of the
date of final entry into class.

A.1.11 The reporting by gaining Society to losing Society required in A.1.6, A.1.7 and A.1.10
is to be done in accordance with the Harmonisation of Reporting in Annex 2.

(Note 3)
In compliance with the requirements of Art. 10.6 of the Regulation (EC) No 391/2009
as amended.

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 PR1A

A.2 Obligations and reporting of the losing Society

PR1A
(cont) A.2.1 If an Owner advises the losing Society of an intention to transfer class, the losing
Society is to immediately confirm to the Owner any overdue surveys and outstanding
recommendations / conditions of class, together with any outstanding fees.

A.2.2 The losing Society:

.1 within two (2) working days of receipt of a written request at its Headquarters or one
of its designated control or management centres, is to notify the gaining Society the
latest class details in its possession including a full list of overdue surveys and
recommendations / conditions of class - with the respective due dates - issued
against the subject vessel. For vessels under Enhanced Survey Programme, the
following documentation is also to be provided:

(i) the most recent Condition Evaluation Report/Executive Hull Summary Reports;

(ii) any available Survey Planning Document for the forthcoming special or
intermediate survey, regardless of whether the gaining Society intends to credit or
not class entry surveys as periodical surveys for maintenance of classification.

In cases where the class status is received in a language not readily understood by
the gaining Society or contains vague or unclear descriptions, the losing Society is to
provide additional detailed information in English language on request of the gaining
Society. The losing Society is obliged to advise the gaining Society of the possibility
of further recommendations / conditions of class arising from surveys which the
losing Society knows have been carried out but for which reports have not yet been
received. The report Form L in Annex 1 with Part A completed is to be used by the
losing Society to report on the class status. Details may be amplified, if necessary, in
accompanying documents.

.2 is obliged to make available, within one (1) month of the receipt of the request
referred to in .1 above, all class survey records including thickness measurement
reports from the last special survey and in addition, any subsequent thickness
measurements including areas with substantial corrosion, to the gaining society for
record review and relevant reporting, to the extent this information is in the
possession of the losing Society, to enable the gaining Society to retain the Vessel’s
Records as outlined in Annex 3, in accordance with A.1.8.

.3 alternatively to .2 above, upon request is obliged to provide, within one (1) month of
the receipt of the request referred to in .1, a copy of all the class survey records
including thickness measurement reports from the last special survey and in
addition, any subsequent thickness measurements including areas with substantial
corrosion, to the gaining Society, to enable the gaining Society to retain the Vessel’s
Records as outlined in Annex 3, in accordance with A.1.8. These survey records will
be transferred electronically if electronic files are available.

.4 is also to submit, within one (1) month of the receipt of the request referred to in .1
above, any Vessel’s Records regarding class items (see Annex 3) available from
prior transfers of class performed after 1 July 2001.

A.2.3 The losing Society has one (1) month from issuance of its survey status to the
gaining Society as per A.2.2 to forward to the gaining Society:

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 PR1A

.1 the additional information on outstanding surveys and/or recommendations /

PR1A conditions of class arising from surveys performed proximate to the date of Owner’s
(cont) written request for transfer of class which were not included in said status, by
dispatching Form L in Annex 1 with Part A-1 duly completed;

A.2.3bis The losing Society is to forward to the gaining Society:

.1 the standard structural diminution allowances which were applying to the vessel, by
dispatching Form L in Annex 1 with Parts A and A-1 (when applicable) duly
completed, within five working days from the receipt of the request for transfer of
class from gaining Society;

.2 the UR-S19/31 assessment reports (when applicable) within twelve working days
from the receipt of the request for transfer of class from gaining Society.

A.2.3ter For CSR vessels, the Owner is to submit to the Gaining Society plans showing, for
each structural element, both as-built and renewal thicknesses and any thickness for
“voluntary addition”. (refer to C.1.2)

A.2.4 To ensure mutual exchange of information on vessels transferring class and on the
survey status of such vessels, the losing Society is, on completion of a withdrawal of class, to
dispatch Form L in Annex 1, with Parts A, A-1 (when applicable) and B duly completed, to the
TOC database and to the gaining Society.

A.2.5 Should the losing Society, upon receiving information from the gaining Society
pursuant to the disposition of the transfer of class, have clear grounds for believing that the
gaining Society did not fulfil its obligations as specified in A.1, the losing Society is to notify
the gaining Society of its concerns and attempt to resolve any differences.

A.2.6 Societies who had classed the vessel prior to the losing Society have the same
obligations as the losing Society which are given in A.2.2.2 or A.2.2.3, if so requested by the
gaining Society, in accordance with A.1.9.

A.3 Transfer of class at vessel’s delivery

A.3.1 The procedural requirements for transfer of class at vessel’s delivery are applicable
when the Society which has carried out the new construction technical review and surveys
(i.e. Losing Society) has issued its first Certificate of Class.

Obligations and reporting of the Gaining Society

A.3.2 Whenever a Society is requested by an Owner to accept a vessel into class at its
delivery, that Society, i.e. the gaining Society, is to immediately notify the Owner in writing
that:

.1 any outstanding recommendations / conditions of class are to be dealt with by their

due dates;

.2 copies of the plans listed in Section C are to be provided to the gaining Society as a
prerequisite to obtaining a Full Term Certificate of Class.

If the Owner is unable to provide all of the required plans, the gaining Society is to request
that the Owner authorise the losing Society to transfer copies of such of these plans as it may
possess directly to the gaining Society upon request from the gaining Society, with the advice

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 PR1A

that the losing Society will invoice the gaining Society and the gaining Society may, in turn,
PR1A charge the associated costs to the Owner.
(cont)
A.3.3 Prior to issuing an Interim Certificate of Class on the date of the vessel’s delivery, the
gaining Society is to obtain:

.1 from the Owner, a written request for transfer of class at vessel’s delivery, containing
an authorisation for the gaining Society to obtain a copy of the first Certificate of
Class, from the losing Society; and

.2 the first Certificate of Class from the Headquarters of the losing Society or one of its
designated control or management centres or from the attending Surveyor at the
yard of the builder including any outstanding recommendations / conditions of class
and information normally contained in the classification status.

A.3.4 After receipt of a written request from the Owner for transfer of class at a Society’s
Headquarters or one of its designated control or management centres, the gaining Society is
to notify the losing Society of the requested transfer of class using the Form G in Annex 1
with Part A completed and attaching the Owner’s authorisation for release of the first
Certificate of Class, including the list of any recommendations / conditions of class - with the
respective due dates - issued against the subject vessel and information normally contained
in the classification status.

If the gaining Society does not receive the above documents from the losing Society on the
date of the vessel’s delivery, the gaining Society may utilise the losing Society’s said
documents provided by the Owner and, after complying with the other relevant requirements
of this Procedural Requirement, may issue an Interim Certificate of Class on the date of the
vessel’s delivery. In such cases, a statement is to be included in or with the Interim Certificate
of Class issued by the Gaining Society reminding the Owner that the conditions of A.3.2 are
still applicable.

A.3.5 The Gaining Society is not to issue an Interim Certificate of Class, or other
documents enabling the vessel to trade:

.1 until all relevant surveys specified in PR1A/B.2.1 have been satisfactorily completed;
and

.2 before giving the opportunity to the Flag Administration to provide any further
instruction within three (3) working days(Note 4).

(Note 4)
In compliance with the requirements of Art. 10.5 of the Regulation (EC) No 391/2009
as amended.

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 PR1A

A.3.6 The validity of the Interim Certificate of Class and the subsequent full term Certificate
PR1A of Class issued by the Gaining Society is subject to any outstanding recommendations /
(cont) conditions of class previously issued against the vessel being completed by the due date and
as specified by the losing Society. Any outstanding recommendations / conditions of class
with their due dates and information normally contained in the classification status are to be
clearly stated on the:

.1 First Certificate of Class or an attachment to the First Certificate of Class and/or

class survey record available onboard.

.2 Survey status when the full term Certificate of Class is issued.

A.3.7 The gaining Society is, within one (1) month from issuing its Interim Certificate of
Class, to advise the losing Society of the date of issuing this certificate. The report Form G in
Annex 1, with Parts A and B duly completed is to be used.

A.3.8 Within one (1) month of the date of final entry into class, the gaining Society is to
dispatch Form G in Annex 1, with Parts A, B, and C duly completed to the losing Society. In
cases where the losing Society has reported recommendations / conditions of class on the
vessel, the gaining Society is to provide to the losing Society, together with Form G, an
itemised list of actions taken with the date and location and actions to be taken, to satisfy
each recommendation / condition of class.

A.3.9 The reporting by gaining Society to losing Society required in A.3.8 is to be done in
accordance with the Harmonisation of Reporting in Annex 2.

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 PR1A

Obligations and reporting of the losing Society

PR1A
(cont) A.3.10 Upon receipt of a written request at its Headquarters or one of its designated control
or management centres and on the date of the vessel’s delivery, the losing Society is to
submit to the gaining Society its first Certificate of Class, including the list of any
recommendations / conditions of class - with the respective due dates - issued against the
subject vessel and the list of any information normally contained in the classification status.
The report Form L in Annex 1 with Part A completed is to be used by the losing Society.
Details may be amplified, if necessary, in accompanying documents.

A.3.11 The losing Society has one (1) month from issuance of its first Certificate of Class to
the gaining Society to forward to the gaining Society:

.1 the structural diminution allowances which were applying to the vessel, by

dispatching Form L in Annex 1 with Parts A and A-1 duly completed.

A.3.12 To ensure mutual exchange of information on vessels transferring class, the losing
Society is, on completion of a withdrawal of class, to dispatch Form L in Annex 1, with Parts
A, A-1 and B duly completed, to the TOC database and to the gaining Society.

A.3.13 Should the losing Society, upon receiving information from the gaining Society
pursuant to the disposition of the transfer of class, have clear grounds for believing that the
gaining Society did not fulfil its obligations, the losing Society is to notify the gaining Society
of its concerns and attempt to resolve any differences.

A.4 Other requirements

A.4.1 The obligations of the gaining and losing Societies continue to apply when a vessel’s
class is suspended and for six (6) months following withdrawal of a vessel’s class,
irrespective of class status in the meantime.

A.4.2 As the ship may be laid up, the gaining Society is to check the classification status
from the previous Society in order to verify if PR1A is applicable.

A.4.3 Any differences which cannot be settled privately between the gaining and losing
Societies, are to be solved under the IACS Procedures, Volume 3, Annex 4 “IACS Procedure
for handling a complaint”.

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 PR1A

Section B - Technical Requirements

PR1A
(cont) For transfer of class from one Society to another, the following minimum technical
requirements are to be applied.

B.1 Plans and information

B.1.1 The gaining Society is to request copies of plans showing the main scantlings and
arrangements of the actual vessels and machinery, together with any proposals for
alterations being dealt with, from the Owner. Receipt of plans listed in Section C, or
equivalent, alternative technical data in lieu of specific plans or items, is to be identified to the
Owner as a prerequisite to issuance of a full term Class Certificate by the gaining Society.
However, having made a good faith effort to obtain the information, if it proves not practicable
to acquire certain plans as listed in Section C, or equivalent, alternative technical data, the
gaining Society may issue the full term Class Certificate provided that its classification
records document that the vessel is being accepted into class on the basis of a recorded
internal review of the circumstances prevailing with respect to availability of plans.

B.2 Class Entry Surveys(Note 1)

B.2.1 Notwithstanding the records indicating that all surveys are up-to-date, a class entry
survey is to be held by the gaining Society, the minimum extent of which is to be based on
the age of the vessel and the losing Society’s class status as follows:

.1 Hull Class Entry Survey:

i) for vessels of age less than 5 years the survey is to take the form of an Annual
Survey;

ii) for vessels between 5 and 10 years of age the survey is to include an Annual Survey
and inspection of a representative number of ballast spaces;

iii) for vessels of 10 years of age and above but less than 20 years of age, the survey is
to include an Annual Survey and inspection of a representative number of ballast
spaces and cargo spaces. For gas carriers, in lieu of internal inspection of cargo
spaces, the following applies:

- Inspection of representative spaces surrounding cargo tanks, including external

inspection of the tank and its supporting systems as far as possible;

- Review of cargo log books and operational records to verify the correct
functioning of the cargo containment system.

(Note 1)
Class entry surveys may be, but are not required to be, credited as periodical
surveys for maintenance of classification. Recommendations and/or conditions of
class due for compliance at a specified periodical survey for maintenance of
classification need not be carried out/complied with at a class entry survey unless
the class entry survey is credited as the specified periodical survey for maintenance
of classification or the recommendation / condition of classification is overdue.

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 PR1A

iv) for vessels subject to UR Z10.1, Z10.2, Z10.3, Z10.4 or Z10.5 which are 15 years of
PR1A age and above but less than 20 years of age, the survey is to have the scope of a
(cont) Special Survey or an Intermediate Survey, whichever is due next;

v) for all vessels, which are 20 years of age and above, the survey is to have the scope
of a Special Survey(Note 2);

vi) in lieu of the requirements in items i) through v), the following apply for site specific
purpose-built Floating Production and/or Storage Vessels:

- for vessels of age less than 5 years, the survey is to have the scope of an Annual
Survey;

- for vessels of age between 5 and 10 years, the survey is to include an Annual
Survey and inspection of twenty percent of ballast spaces;

- for vessels of age between 10 and 20 years, the survey is to include an Annual
Survey and inspection of twenty percent of ballast spaces and twenty percent of
cargo spaces.

- for vessels over 20 years of age, the survey is to have the scope of a Special
Survey.

vii)for site specific Floating Production and/or Storage Vessels which have been
converted from other vessels, the survey is to take the form of an Annual Survey and
also include inspection of twenty percent of ballast spaces and twenty percent of
cargo spaces until 20 years have elapsed since conversion. After 20 years the
survey is to have the scope of a Special Survey.

viii) in the context of applying items iv) and v) above, if a dry-docking of the vessel is not
due at the time of transfer, consideration can be given to carrying out an underwater
examination in lieu of dry-docking.

ix) in the context of applying items iv) and v), as applicable, the anchors and anchor
chain cables ranging and gauging for vessels over 15 years of age is not required to
be carried out as part of the class entry survey unless the class entry survey is being
credited as a periodical survey for maintenance of class. If the class entry survey is
to be credited as a periodical survey for maintenance of class, consideration may be
given by the gaining society to the acceptance of the anchors and anchor chain
cables ranging and gauging carried out by the losing society provided they were
carried out within the applicable survey window of the periodical survey in question.

x) in the context of applying items i) to viii) above, as applicable,

- if the class entry survey is to be credited as a periodical survey for maintenance

of class consideration may be given by the gaining society to the acceptance of
thickness measurements taken by the losing society provided they were carried
out within the applicable survey window of the periodical survey in question.

(Note 2)
The requirement of item v) is also applicable to the vessels having their hull under
continuous survey.

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 PR1A

- if the class entry survey is not to be credited as a periodical survey for

PR1A maintenance of class, consideration may be given by the gaining society to the
(cont) acceptance of thickness measurements taken by the losing society provided they
were carried out within 15 months prior to completion of class entry survey when
it is in the scope of a Special Survey, within 18 months prior to completion of
class entry survey when it is in the scope of an Intermediate Survey.

In both cases, the thickness measurements are to be reviewed by the gaining

society for compliance with the applicable survey requirements, and confirmatory
gauging are to be taken to the satisfaction of the gaining society.

xi) In the context of applying iii) to viii) above, as applicable, tank testing for vessels
over 15 years of age is not required to be carried out as part of the class entry
survey unless the class entry survey is being credited as a periodical survey for
maintenance of class. If the class entry survey is to be credited as a periodical
survey for maintenance of class, consideration may be given by the gaining society
to the acceptance of the tank testing carried out by the losing society provided they
were carried out within the applicable survey window of the periodical survey in
question.

xii)In the context of applying i) to viii) above, as applicable, compliance with IACS
Unified Requirements that require compliance at the forthcoming due periodical
surveys (such as S26 and S27) are not required to be carried out/completed as part
of the class entry survey unless the class entry survey is credited as a periodical
survey for maintenance of class.

.2 Machinery Class Entry Survey, a general examination of all essential machinery is to

be held and is to include:

i) examination under working conditions of oil fuel burning equipment of boiler,

economisers and steam/steam generators. The adjustment of safety valves of this
equipment is to be verified by checking the records on the vessel;

ii) all pressure vessels;

iii) insulation resistance, generator circuit breakers, preference tripping relays and
generator prime mover governors are to be tested and paralleling and load sharing
to be proved;

iv) in all cases, navigating lights and indicators are to be examined and their working
and alternative sources of power verified;

v) bilge pumps, emergency fire pumps and remote control for oil valves, oil fuel pumps,
lubricating oil pumps and forced draught fans are to be examined under working
conditions;

vi) recirculating and ice clearing arrangements, if any;

vii)the main and all auxiliary machinery necessary for operation of the vessel at sea
together with essential controls and steering gear is to be tested under working
conditions. Alternative means of steering are to be tested. A short sea trial is to be
held at the Surveyors discretion if the vessel has been laid up for a long period;

viii) initial start arrangements are to be verified;

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 PR1A

ix) in the case of oil tankers, the cargo oil system and electrical installation in way of
PR1A hazardous spaces are to be checked for compliance with the gaining Society’s Rule
(cont) requirements. Where intrinsically safe equipment is installed, the Surveyors are to
satisfy themselves that a recognised authority has approved such equipment. The
safety devices, alarms and essential instruments of the inert gas system are to be
verified and the plant generally examined to ensure that it does not constitute a
hazard to the vessel.

Note: For the transfer of class or adding class at ship’s delivery, items iii) and ix) may be
verified by reviewing the ship’s record.

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Section C - Plans to be submitted by the Owner to the Gaining Society

PR1A
(cont) C.1 Plans to be submitted

C.1.1 Main Plans

- General Arrangement
- Capacity Plan
- Hydrostatic Curves
- Loading Manual, where required.
- Damage Stability calculation, where required.

C.1.2 Steel plans

- Midship Section
- Scantling Plan
- Decks
- Shell Expansion
- Transverse Bulkheads
- Rudder and Rudder Stock
- Hatch Covers
- For CSR vessels, plans showing, for each structural element, both as-built and
renewal thicknesses and any thickness for “voluntary addition”.

C.1.3 Machinery plans

- Machinery Arrangement
- Intermediate, Thrust- and Screw Shafts
- Propeller
- Main Engines, Propulsion Gears and Clutch Systems (or Manufacturer make,
model and rating information)
- For Steam Turbine Vessels, Main Boilers, Superheaters and Economisers (or
Manufacturer make, model and rating information) and Steam Piping
- Bilge and Ballast Piping Diagram
- Wiring Diagram
- Steering Gear Systems Piping and Arrangements and Steering Gear
Manufacturer make and model information

C.2 Torsional vibration calculations

C.2.1 For vessels less than two (2) years old, torsional vibration calculations are to be
submitted.

C.3 Additional requirements for vessels with ice class notation

C.3.1 Plans for flexible couplings and/or torque limiting shafting devices in the propulsion
line shafting (or manufacturer make, model and rating information) are to be submitted.

C.4 Additional plans required for oil tankers

C.4.1 Pumping arrangement at the forward and after ends and drainage of cofferdams and
pump rooms are to be submitted.

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C.5 Additional plans required for unattended machinery space notation

PR1A
(cont) C.5.1 The following additional plans are to be submitted:

- Instrument and Alarm List

- Fire Alarm System
- List of Automatic Safety Functions (e.g. slowdowns, shutdowns, etc.)
- Function Testing Plan.

C.6 Additional Documents required for approval of Alternative Design and Arrangements

C.6.1 Document(s) of Approval of Alternative Design and Arrangements are to be

submitted, if any.

Notes:

(1) Additional information may be necessary according to Flag State requirements.

(2) Alternative technical data may be accepted by the gaining Society in lieu of specific
items of the listed documentation not being available at the time of the transfer.

End of
Document

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 PR1B

PR1B Procedure for Adding, Maintaining or

PR1B
(cont) July
(Rev.0
2009)
Withdrawing Double or Dual Class
(Rev.1 Apr
2010) TABLE OF CONTENTS
(Corr.1 June
2012) PR1B 3
(Rev.2 Procedure for Adding, Maintaining or Withdrawing Double or Dual Class
July 2013)
Application

Definitions

Section A Adding Class of a Second Society to a Vessel Classed

by a First Society

A.1 Obligations of the second Society

A.2 Obligations of the first Society

Section B

B.1 Adding class of a Second Society to a vessel classed by First Society at

vessel’s delivery

Section C Maintaining Class in a Double or Dual Class Arrangement

C.1 Double Class

C.2 Dual Class

Section D Withdrawing Class of a Society from a Double Class Arrangement

D.1 Obligations of the remaining Society maintaining its class

D.2 Obligations of the withdrawing Society

Section E Withdrawing Class of a Society from a Dual Class Arrangement

Section F Other Requirements

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 PR1B

Notes:
PR1B
(cont) 1. This Procedural Requirement applies when adding, maintaining or withdrawing double
or dual class on or after 1 July 2009.

2. Rev.1 of this Procedural Requirement applies when adding, maintaining or

withdrawing double or dual class on or after 1 July 2010.

3. Rev.2 of this Procedural Requirement applies when adding, maintaining or

withdrawing double or dual class on or after 1 July 2014.

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 PR1B

PR1B PR1B
(cont) Procedure for Adding, Maintaining and Withdrawing Double or Dual
Class
Application

This Procedure contains procedures and requirements pertaining to adding, maintaining or

withdrawing a double or dual class and is applicable, unless stated otherwise, to vessels of
over 100 GT of whatever type, self propelled or not, restricted or unrestricted service, except
for "inland waterway" vessels.

The obligations of this Procedure apply to Classification Societies which are subject to
verification of compliance with QSCS.

Definitions

‘Double class vessel’ is a vessel which is classed by two Societies and where each Society
works as if it is the only Society classing the vessel, and does all surveys in accordance with
its own requirements and schedule.

‘Dual class vessel’ is a vessel which is classed by two Societies between which there is a
written agreement regarding sharing of work.

‘First Society’ is a Society classing a vessel which, under request of the Owner, enters a
double or dual class arrangement with another Society.

‘Interim Certificate of Class’, or Interim Class Certificate, is the certificate issued immediately
upon completion of the survey of the vessel to enable it to trade while the report of the
classification surveys is processed by the gaining Society pursuant to issuing its full term
Class Certificate.

‘Outstanding’ means still to be dealt with.

‘Overdue’ means overdue on the date the first or losing Society receives the request by the
second or remaining Society for its current classification survey status.

‘Recommendations’ and ‘Conditions of Class’ are to be read throughout this Procedural

Requirement as being different terms used by 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.

‘Remaining Society’ is a Society which keeps an existing vessel in class, when the class by
the other Society involved in the double or dual class arrangement is suspended or
withdrawn.

‘Second Society’ is a Society which is requested by an Owner to accept an existing vessel

already classed by another Society into its class under double or dual class arrangement.

‘Withdrawing Society’ is a Society which withdraws its class to an existing vessel in class
under double or dual class arrangement.(Note 1)

(Note 1)
In this Procedure, Form G and L in Annex 1, Annex 2 and Annex 3, the withdrawing
Society is sometimes referred to simply as the “losing”, when the context is obvious.

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 PR1B

Section A - Adding class of a Second Society to a vessel classed by First Society

PR1B
(cont) A.1 Obligations of the second Society

A.1.1 Whenever a Society (i.e. second Society) is requested by an Owner to accept an

existing vessel already classed by another Society (i.e. first Society) into its class under
double or dual class arrangement, the second Society is to immediately notify the Owner in
writing that:

.1 the second Society only accepts a vessel that is free from any overdue surveys or
recommendations / conditions of class;

.2 the Owner is to inform first Society of his request to second Society;

.3 the Owner is to authorise first Society to submit to second Society its current
classification status and documents as listed in Annex 3 for information and use by
second Society in conducting its class entry surveys;

.4 when the Owner decides to leave the double or dual class arrangement and prior to
withdrawing from the class of one of two Societies the Owner is to inform the
Societies of his intended actions;

.5 when the Owner is advised that one of the Societies involved in double or dual class
arrangement suspends or withdraws class the Owner is to inform the remaining
Society of the action taken by the other Society without delay;

.6 copies of the plans listed in Section C of PR1A are to be provided to second Society
as a prerequisite to obtaining a full term Class Certificate. If the Owner is unable to
provide all of the required plans, the second Society is to request that the Owner
authorise the first Society to transfer copies of such of these plans as it may possess
directly to the second Society upon request from the second Society, with the advice
that the first Society will invoice the second Society and the second Society may, in
turn, charge the associated costs to the Owner.

A.1.2 Within two (2) working days of receipt of a written request from the Owner for entry
into second Society’s class at a Society’s Headquarters or one of its designated control or
management centres, the second Society is to notify the first Society of the requested entry
into class using Form G in Annex 1 with its Part A duly completed and attaching the Owner’s
authorisation for release of survey status.

A.1.3 Prior to issuing an Interim Certificate of Class the second Society is to:

.1 obtain from the Owner, a written application for entry into second Society’s class,
containing an authorisation for second Society to obtain the current classification
status from the first Society;

.2 obtain the current classification survey status from the Headquarters of the first
Society or one of its designated control or management centres;

.3 for double class: carry out its class entry survey in accordance with the requirements
of Section B of PR1A taking account of the recommendations / conditions of class in
the status provided by the first Society;

.4 for dual class: carry out an initial survey having the scope of an annual survey as a
minimum.

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 PR1B

A.1.4 The second Society is, within one month from issuing its Interim Certificate of Class,
PR1B to advise the first Society of the date of issuing this certificate. The report Form G in Annex 1,
(cont) with Parts A and B duly completed is to be used.

Any additional information regarding outstanding surveys or recommendations / conditions of

class received from the first Society in accordance with A.2.2 is to be taken into account in
accordance with A.1.3.3, as applicable, and reported to the first Society with Form G in Annex
1 with Part B-1 duly completed within one (1) month from the completion of the survey.

A.1.5 Prior to final entry into the second Society’s class, the second Society is obligated to:

.1 carry out and document the review of class survey records, of the first Society, by an
authorised person considering the items specified in Annex 3;

.2 obtain plans and information in accordance with the requirements of Section B of

PR1A.

A.1.6 To ensure mutual exchange of information on vessels adding class and on the survey
status of such vessels, the second Society is, on completion of final entry into class, to
dispatch Form G in Annex 1, with Parts A, B, B-1 (when applicable) and C duly completed to
the TOC database and to the first Society.

A.2 Obligations of the first Society

A.2.1 The first Society:

.1 within two (2) working days of receipt of a written request at its Headquarters or one of
its designated control or management centres is to notify the second Society the
current classification status including a full list of surveys and recommendations /
conditions of class. The most recent condition evaluation report/executive hull
summary reports and survey planning document for the commenced Special Survey
for vessels under Enhanced Survey Programme are also to be provided. In cases
where the class status is received in a language not readily understood by the second
Society or contains vague or unclear descriptions the first Society is to provide
additional detailed information in English language on request of the second Society.
The first Society is obliged to advise the second Society of the possibility of further
recommendations / conditions of class arising from surveys, which the first Society
knows have been carried out but for which reports have not yet been received. The
report Form L in Annex 1 with Part A completed is to be used by the first Society to
report on the class status; details may be amplified, if necessary, in accompanying
documents;

.2 is obliged to make available, within one (1) month of receipt of request referred to in
.1, all class survey records to the second Society for record review and relevant
reporting, to the extent this information is in possession of the first Society, to enable
the second Society to retain the Vessels Records outlined in Annex 3, in accordance
with A.1.5.1 of this Procedure;

.3 alternatively to .2 above, upon request is obliged to provide, within one (1) month of
receipt of the request referred to in .1, a copy of all the class survey records to the
second Society, to enable the second Society to retain the Vessels Records outlined
in Annex 3, in accordance with A.1.5.1 of this Procedure. These survey records will be
transferred electronically if electronic files are available;

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 PR1B

.4 is also to submit, within one month of receipt of the request referred to in .1 above,
PR1B any Vessel’s Records regarding class items (see Annex 3) available during the
(cont) present class and from prior transfers of class performed after 1 July 2001.

A.2.2 The first Society has one month from issuance of its classification status to the second
Society as per A.2.1 to forward to the second Society:

.1 the additional information on outstanding surveys and/or recommendations /

conditions of class arising from surveys performed proximate to the date of Owner’s
written request for adding class which were not included in said status, by dispatching
Form L in Annex 1 with Part A-1 duly completed; and

.2 the structural diminution allowances which were applying to the vessel, by dispatching
Form L in Annex 1 with Parts A and A-1 (when applicable) duly completed.

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 PR1B

Section B
PR1B
(cont) B.1 Adding class of a Second Society to a vessel classed by First Society at vessel’s
delivery

B.1.1 The procedural requirements for adding class at vessel’s delivery are applicable when
the Society which has carried out the new construction technical review and surveys (i.e. First
Society) has issued its first Certificate of Class.

Obligations and reporting of the second Society

B.1.2 Whenever a Society (i.e. Second Society) is requested by an Owner to accept a

vessel already classed by another Society (i.e. first Society) into its class under double or
dual class arrangement at vessel’s delivery, the second Society is to immediately notify the
Owner in writing that:

.1 the Owner is to inform first Society of his request to second Society;

.2 the Owner is to authorise first Society to submit to second Society its Certificate of
Class;

.3 when the Owner decides to leave the double or dual class arrangement and prior to
withdrawing from the class of one of two Societies the Owner is to inform the
Societies of his intended actions;

.4 when the Owner is advised that one of the Societies involved in double or dual class
arrangement suspends or withdraws class the Owner is to inform the remaining
Society of the action taken by the other Society without delay;

.5 copies of the plans listed in Section C of PR1A are to be provided to second Society
as a prerequisite to obtaining a full term Certificate of Class. If the Owner is unable to
provide all of the required plans, the second Society is to request that the Owner
authorise the first Society to transfer copies of such of these plans as it may possess
directly to the second Society upon request from the second Society, with the advice
that the first Society will invoice the second Society and the second Society may, in
turn, charge the associated costs to the Owner.

B.1.3 After receipt of a written request from the Owner for entry into second Society’s class
at a Society’s Headquarters or one of its designated control or management centres, the
second Society is to notify the first Society of the requested entry into class using Form G in
Annex 1 with its Part A duly completed and attaching the Owner’s authorisation for release of
the first Certificate of Class, including the list of any recommendations / conditions of class –
with the respective due dates - issued against the subject vessel and the list of any
information normally contained in the classification status.

B.1.4 Prior to issuing an Interim Certificate of Class on the date of the vessel’s delivery, the
second Society is to:

.1 obtain from the Owner, a written request for entry into second Society’s class at
vessel’s delivery, containing an authorisation for second Society to obtain a copy of
the first Certificate of Class, from the first Society;

.2 obtain the first Certificate of Class from the Headquarters of the first Society or one of
its designated control or management centres or from the attending Surveyor at the

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 PR1B

yard of the builders, including any outstanding recommendations / conditions of class

PR1B and information normally contained in the classification status.
(cont)
.3 carry out and satisfactorily complete all relevant surveys specified in PR1A/B.2.1.

B.1.5 The second Society is, within one month from issuing its Interim Certificate of Class,
to advise the first Society of the date of issuing this certificate. The report Form G in Annex 1,
with Parts A and B duly completed is to be used.

B.1.6 Prior to final entry into the second Society’s class, the second Society is obligated to:

.1 obtain plans and information in accordance with the requirements of Section B of

PR1A.

B.1.7 To ensure mutual exchange of information on vessels adding class and on the survey
status of such vessels, the second Society is, on completion of final entry into class, to
dispatch Form G in Annex 1, with Parts A, B and C duly completed to the TOC database and
to the first Society.

Obligations and reporting of first Society

B1.8 Upon receipt of a written request at its Headquarters or one of its designated control
or management centres and on the date of the vessel’s delivery, the first Society is to notify
the second Society its first Certificate of Class, including the list of any recommendations /
conditions of class - with respective due dates - issued against the subject vessel and the list
of any information normally contained in the classification status. The report Form L in Annex
1 with Part A completed is to be used by the first Society; details may be amplified, if
necessary, in accompanying documents;

B.1.9 The first Society has one month from issuance of its Certificate of Class to the second
Society to forward to the second Society:

.1 the structural diminution allowances which were applying to the vessel, by dispatching
Form L in Annex 1 with Parts A and A-1 duly completed.

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 PR1B

Section C - Maintaining Class in a Double or Dual Class Arrangement

PR1B
(cont) C.1 Double class

C.1.1 Each Society acts independently while the vessel is in double class.

C.2 Dual class

C.2.1 Each Society acts also on behalf of the other Society, while the vessel is in dual class,
in accordance with the agreement adopted by the two Societies.

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 PR1B

Section D - Withdrawing Class of a Society from a Double Class Arrangement

PR1B
(cont) D.1 Obligations of the remaining Society maintaining its class

D.1.1 Whenever a Society (i.e. the remaining Society) being in a double class arrangement
with another Society receives a written request from an Owner pertaining to his intention to
withdraw from class of the other Society (i.e. withdrawing Society), or information that her
class has been withdrawn by the other Society, the remaining Society is to immediately notify
the Owner in writing that:

.1 the validity of the remaining Society’s Class Certificate is subject:

i) for vessels less than 15 years of age(Note 2), to completion by the remaining
Society of all overdue recommendations / conditions of class of the
withdrawing Society at the first port of call at which surveys can be carried out
and to completion by the remaining Society of all outstanding
recommendations / conditions of class of the withdrawing Society by the due
date;

ii) for vessels of 15 years of age and over, to completion by the withdrawing
Society of all overdue recommendations / conditions of class and to
completion by the remaining Society of all outstanding recommendations /
conditions of class of the withdrawing Society by the due date;

.2 the Owner is to authorise remaining Society to request from withdrawing Society its
current classification status;

.3 principles given in item .1 above apply to any additional recommendations / conditions

of class issued against the vessel, which were not included in the initial survey status
provided to the remaining Society by the withdrawing Society because they have
arisen from the surveys carried out in close proximity to the request for withdrawal
from class. Such additional recommendations / conditions of class, if received after
the issuance of the Interim Certificate of Class by the remaining Society and which are
overdue, are to be dealt with at the first port of call at which surveys can be carried out
by the relevant Society, depending on the age of the vessel.

D.1.2 The remaining Society is to obtain from the Owner a written confirmation of intention
to withdraw from the other Society’s class, containing an authorisation for remaining Society
to obtain the current classification status from the Headquarters of the withdrawing Society or
one of its designated control or management centres.

D.1.3 Within two (2) working days of receipt of a written confirmation of intention from the
Owner to withdraw from the other Society’s class at the remaining Society’s Headquarters or
at one of its designated control or management centres, the remaining Society is to request
the withdrawing Society, on the basis of Owner’s authorisation, to release the survey status
using Form G in Annex 1 with its Part A duly completed and attaching the Owner’s
authorisation for release of survey status. However, if the remaining Society does not receive
the classification survey status from the withdrawing Society within three (3) working days
from the request, the remaining Society may utilise the withdrawing Society’ survey status

(Note 2)
To be calculated from the date of delivery to either the date of notification by the
Owner of his intention to withdraw from class or the date of advice by the withdrawing
Society to the Remaining Society (date of Form L) that class has been withdrawn, not
at the request of the Owner.

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 PR1B

information provided by the Owner and, after complying with the other relevant requirements
PR1B of this Procedural Requirement, may confirm the validity of its Class Certificate.
(cont)
D.1.4 The remaining Society is to suspend the validity of its Class Certificate or other
documents enabling the vessel to trade, if any overdue recommendations / conditions of
class previously issued against the subject vessel by the withdrawing Society have not been
satisfactorily completed by the relevant Society, depending on the age of the vessel, at the
first port of call where surveys can be carried out.

When repair facilities are not available in the first port of survey, a direct voyage to a repair
port may be accepted to complete surveys for overdue recommendations / conditions of
class. In that case, the remaining Society is to inform the owner and withdrawing Society of
the decision taken, e.g. direct voyage conditions agreed and port of repairs.

D.1.5 The validity of remaining Society’s Class Certificate is subject to any outstanding
recommendations / conditions of class previously issued against the vessel by the
withdrawing Society being completed by the due date and as specified by the withdrawing
Society. Any outstanding recommendations / conditions of class with their due dates are to be
clearly stated on the:

.1 class survey record if available on board; and

.2 survey status.

D.1.6 Within one (1) month from the completion of the survey, the remaining Society is to
advise the withdrawing Society of the actions taken with dates and locations to satisfy each
overdue recommendation / condition of class, if any, issued against the subject vessel as
specified to the Owner by the withdrawing Society. The report Form G in Annex 1, with Parts
A and B duly completed is to be used. A list of dates, locations and actions taken to satisfy
each overdue recommendation/overdue condition of class as specified to the Owner by the
withdrawing Society is to be attached to the copy sent to the withdrawing Society.

Where no overdue items are provided by the withdrawing Society, this form with Parts A and
B, duly completed, is to be sent to the withdrawing Society and to the TOC database within
one (1) month from the date of sending Form L Part A.

D.1.7 Any additional information regarding outstanding recommendations / conditions of

class received from the withdrawing Society in accordance with D.2.3 is to be dealt with in
accordance with D.1.4 and D.1.5, as applicable, and reported to the withdrawing Society with
Form G in Annex 1 with Part B-1 duly completed within one (1) month from the completion of
the survey. When this additional information is received any recommendations / conditions of
class which are overdue are to be dealt with at the first port of call at which surveys can be
carried out by the relevant Society, depending on the age of the vessel. If this is not
accomplished, the Class Certificate is to be suspended immediately unless the Owner agrees
to proceed directly, without further trading, to a suitable port where any overdue
recommendations / conditions of class are to be dealt with for completion.

D.1.8 The remaining Society is, within one (1) month of completion of a transfer of vessel
into single class, to dispatch Form G in Annex 1, with its Parts A, B, B-1 (when applicable)
and C duly completed, to the TOC database and to the withdrawing Society. In cases where
the withdrawing Society has reported recommendations / conditions of class on the vessel,
the due dates of which are yet to come, the remaining Society is to provide to the withdrawing
Society, together with the Form G, an itemised list of the actions taken with dates and
locations and actions to be taken, to satisfy each recommendation / condition of class.

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 PR1B

D.1.9 The reporting by remaining Society to withdrawing Society required in D.1.8 is to be

PR1B done in accordance with the Harmonisation of Reporting in Annex 2.
(cont)
D.1.10 The remaining Society is to carry out and document the review of class survey
records of the withdrawing Society during the period of double class arrangement, by an
authorised person considering the items specified in Annex 3.

D.2 Obligations of the withdrawing Society

D.2.1 If an Owner advises a Society in writing of an intention to withdraw from its class or
class is withdrawn by the withdrawing Society, the withdrawing Society is to immediately
confirm to the Owner any overdue surveys and outstanding recommendations / conditions of
class, together with any outstanding fees. The remaining Society is to be informed of the
actual or intended withdrawal of class using Form L in Annex 1, completed as applicable.

D.2.2 The withdrawing Society:

.1 within two (2) working days of receipt of a written request from the remaining Society
at its Headquarters or one of its designated control or management centres, is to
notify the remaining Society the latest class details in its possession including a full list
of overdue surveys and recommendations / conditions of class - with the respective
due dates - issued against the subject vessel. The most recent Condition Evaluation /
Executive Hull Summary Reports and Survey Planning Document for the commenced
Special Survey for vessels under Enhanced Survey Programme, if any during the
period of double class arrangement, are also to be provided. In cases where the class
status is received in a language not readily understood by the remaining Society or
contains vague or unclear descriptions, the withdrawing Society is to provide
additional detailed information in English language on request of the remaining
Society. The withdrawing Society is obliged to advise the remaining Society of the
possibility of further recommendations / conditions of class arising from surveys,
which the withdrawing Society knows have been carried out but for which reports
have not yet been received. The report Form L in Annex 1 with Part A completed is to
be used by the withdrawing Society to report on the class status. Details may be
amplified, if necessary, in accompanying documents;

.2 is obliged to make available, within one month of receipt of the request referred to in
2.1, all class survey records to the remaining Society for record review and relevant
reporting during the period of double class arrangement to the extent this information
is in the possession of the withdrawing Society to enable the gaining Society to retain
the Vessel’s Records as outlined in Annex 3, in accordance with D.1.10;

.3 alternatively to .2 above, the withdrawing Society is obliged to provide, within one

month of receipt of the request referred to in .1, a copy of all class survey records to
the remaining Society upon request.

D.2.3 The withdrawing Society has one (1) month from issuance of its survey status to the
remaining Society per paragraph D.2.2.2 to forward to the remaining Society the additional
information on outstanding surveys and/or recommendations / conditions of class arising from
surveys performed proximate to the date of Owner’s written request to withdraw from class
which were not included in said status to the Owner, by dispatching Form L in Annex 1 with
Part A-1 duly completed.

D.2.4 For vessels of 15 years of age and over, the withdrawing Society is, within one (1)
month from completion of any overdue recommendations / conditions of class imposed by the
withdrawing Society, to confirm to the remaining Society the date, location and action taken to

Page 12 of 15 IACS Proc Req. 2009/Rev.2 2013

 PR1B

satisfy each item. The report Form L in Annex 1, Part A duly completed, is to be used. The
PR1B reporting by the withdrawing Society to the remaining Society is to be done in accordance
(cont) with the Harmonisation of Reporting in Annex 2.

D.2.5 To ensure mutual exchange of information on vessels transferring class and on the
survey status of such vessels, the withdrawing Society is, on completion of a withdrawal of
class, to dispatch Form L in Annex 1, with its Parts A, A-1 (when applicable) and B duly
completed, to the TOC database and to the remaining Society.

D.2.6 Should the withdrawing Society, upon receiving information from the remaining
Society pursuant to the disposition of the withdraw of class, have clear grounds for believing
that the remaining Society did not fulfil its obligations as specified in D.1, the withdrawing
Society is to notify the remaining Society of its concerns and attempt to resolve any
differences.

Page 13 of 15 IACS Proc Req. 2009/Rev.2 2013

 PR1B

Section E - Withdrawing Class of a Society from a Dual Class Arrangement

PR1B
(cont) E.1 In the case of dual classed vessels, the withdrawing Society - according to agreement
between the two Societies - is to inform the remaining Society that the class has been
withdrawn using the first part and Part B of Form L.

Page 14 of 15 IACS Proc Req. 2009/Rev.2 2013

 PR1B

Section F - Other Requirements

PR1B
(cont) F.1 The obligations of the withdrawing and remaining Societies continue to apply when a
vessel’s class is suspended and for six (6) months following withdrawal of a vessel’s class.

F.2 Any differences, which cannot be settled privately between the withdrawing Society
and the remaining Society are to be solved under the IACS Procedures, Volume 3, Annex 4
“IACS Procedure for handling a complaint”.

End of
Document

Page 15 of 15 IACS Proc Req. 2009/Rev.2 2013

 PR1C

PR1C Procedure for Suspension and Reinstatement

PR1C
(cont)
(Rev.0
July 2009) or Withdrawal of Class in Case of Surveys,
(Corr.1
Oct 2009)
Conditions of Class or Recommendations
(Rev.1
Apr 2010)
Going Overdue
(Rev.2
June 2012) TABLE OF CONTENTS
(Rev.3 July
2013) PR1C
(Rev.4 Procedure for Suspension and Reinstatement or Withdrawal of Class in
Mar 2015) Case of Surveys, Conditions of Class or Recommendations Going Overdue
(Rev.5
Jan 2016) Application

Definitions

Section A Procedure for Suspension and Reinstatement or Withdrawal of Class

A.1 Suspension and reinstatement of class in the case of overdue surveys

A.2 Suspension and reinstatement of class in the case of overdue

recommendations / conditions of class

A.3 Suspension and reinstatement of class of dual classed vessels

A.4 Withdrawal of class

Section B Notification and Reporting

B.1 Notification to Owners and Flag States

Page 1 of 7 IACS Proc Req. 2009/Rev.5 2016

 PR1C

Notes:
PR1C
(cont) 1. This Procedural Requirement applies to the suspension and reinstatement or
withdrawal of class in case of surveys, conditions of class or recommendations going
overdue on or after 1 July 2009.

2. Rev.1 of this Procedural Requirement applies from 1 July 2010.

3. Revision 2 of this Procedural Requirement applies to the suspension and

reinstatement or withdrawal of class in case of surveys, conditions of class or
recommendations going overdue on or after 1 July 2013.

4. Rev.3 of this Procedural Requirement applies from 1 July 2014.

5. Rev.4 of this Procedural Requirement applies from 1 July 2016.

6. Rev.5 of this Procedural Requirement applies from 1 January 2017.

Page 2 of 7 IACS Proc Req. 2009/Rev.5 2016

 PR1C

PR1C PR1C
(cont) Procedure for Suspension and Reinstatement or Withdrawal of
Class in Case of Surveys, Conditions of Class or Recommendations
Going Overdue
Application

This Procedure contains procedures and requirements pertaining to suspension and

reinstatement or withdrawal of class and is applicable, unless stated otherwise, to vessels of
over 100 GT of whatever type, self propelled or not, restricted or unrestricted service, except
for "inland waterway" vessels.

The obligations of this Procedure apply to Classification Societies which are subject to
verification of compliance with QSCS.

Definitions

‘Disclassed’ means class has been suspended or withdrawn.

‘Dual class vessel’ means a vessel which is classed by two Societies between which there is
a written agreement regarding sharing of work.

‘Recommendations’ and ‘Conditions of Class’ are to be read throughout this Procedural

Requirement as being different terms used by 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.

‘Exceptional circumstances’ means unavailability of dry-docking facilities; unavailability of

repair facilities; unavailability of essential materials, equipment or spare parts; or delays
incurred by action taken to avoid severe weather conditions.

‘Force Majeure’ means damage to the ship; unforeseen inability of the Society to attend the
vessel due to the governmental restrictions on right of access or movement of personnel;
unforeseeable delays in port or inability to discharge cargo due to unusually lengthy periods
of severe weather, strikes or civil strife; acts of war; or other force majeure.

Page 3 of 7 IACS Proc Req. 2009/Rev.5 2016

 PR1C

Section A - Procedure for Suspension and Reinstatement or Withdrawal of Class

PR1C
(cont) A.1 Suspension and reinstatement of class in the case of overdue surveys

A.1.1 Owners are to be notified that the 5-year Class Certificate expires, and classification is
automatically suspended, from the certificate expiry date in the event that the Special
(Renewal) Survey has not been completed or is not under attendance for completion prior to
resuming trading, by the due date, or by the expiry date of any extension granted in A.1.1.1.

Classification will be reinstated upon satisfactory completion of the surveys due. The surveys
to be carried out are to be based upon the survey requirements at the original date due and
not on the age of the vessel when the survey is carried out. Such surveys are to be credited
from the date originally due. However, the vessel is disclassed from the date of suspension
until the date class is reinstated.

A.1.1.1 Under “exceptional circumstances”, the Society may grant an extension not
exceeding three (3) months to allow for completion of the Special Survey provided that the
vessel is attended and the attending Surveyor(s) 1 so recommend(s) after the following has
been carried out:

a) annual survey;

b) re-examination of Recommendations / Conditions of Class;

c) progression of the Special Survey as far as practicable;

d) in the case where dry docking is due prior to the end of the class extension, an
underwater examination is to be carried out by an approved diving company. An
underwater examination by an approved company may be dispensed with in the
case of extension of dry-docking survey not exceeding 36 months interval provided
the ship is without outstanding Recommendation / Condition of Class regarding
underwater parts.

A.1.1.2 In the case that the Class Certificate will expire when the vessel is expected to be at
sea, an extension to allow for completion of the Special Survey may be granted provided
there is documented agreement to such an extension prior to the expiry date of the certificate,
and provided that positive arrangements have been made for attendance of the Surveyor at
the first port of call, and provided that the Society is satisfied that there is technical
justification for such an extension. Such an extension is to be granted only until arrival at the
first port of call after the expiry date of the certificate. However, if owing to “exceptional
circumstances” the special survey cannot be completed at the first port of call, A1.1.1 may be
followed, but the total period of extension shall in no case be longer than three months after
the original due date of the special survey.

A.1.2 Annual Surveys: Owners are to be notified that the Class Certificate becomes invalid,
and classification is automatically suspended, if the Annual Survey has not been completed
within three (3) months of the due date of the annual survey, unless the vessel is under
attendance for completion of the Annual Survey.

Classification will be reinstated upon satisfactory completion of the surveys due. Such
surveys are to be credited from the date originally due. However, the vessel is to be
disclassed from the date of suspension until the date class is reinstated.

1
See Procedural Requirement 20 ‘Procedural Requirement for certain ESP surveys’

Page 4 of 7 IACS Proc Req. 2009/Rev.5 2016

 PR1C

A.1.3 Intermediate Surveys: Owners are to be notified that the Class Certificate becomes
PR1C invalid, and classification is automatically suspended, if the Intermediate Survey has not been
(cont) completed within three (3) months of the due date of the third annual survey in each periodic
survey cycle, unless the vessel is under attendance for completion of the Intermediate
Survey.

Classification will be reinstated upon satisfactory completion of the surveys due. Such
surveys are to be credited from the date originally due. However, the vessel is to be
disclassed from the date of suspension until the date class is reinstated.

A.1.4 Continuous Survey Item(s): Continuous survey item(s) due or overdue at time of
annual survey is to be dealt with. The vessel’s class will be subject to a suspension
procedure if the item(s) is not surveyed, or postponed by agreement.

A.1.5 Vessels laid-up in accordance with the Society’s Rules prior to surveys becoming
overdue need not be suspended when surveys addressed above become overdue.

However, vessels which are laid-up after being suspended as a result of surveys going
overdue, remain suspended until the overdue surveys are completed.

A.1.6 When a vessel is intended for a demolition voyage with any periodical survey
overdue, the vessel's class suspension may be held in abeyance and consideration may be
given to allow the vessel to proceed on a single direct ballast voyage from the lay up or final
discharge port to the demolition yard. In such cases a short term Class Certificate with
conditions for the voyage noted may be issued provided the attending surveyor finds the
vessel in satisfactory condition to proceed for the intended voyage.

A.1.7 Force Majeure: If, due to circumstances reasonably beyond the owner’s or the
Society’s control as defined above, the vessel is not in a port where the overdue surveys can
be completed at the expiry of the periods allowed above, the Society may allow the vessel to
sail, in class, directly to an agreed discharge port, and if necessary, hence, in ballast, to an
agreed port at which the survey will be completed, provided the Society:

a) exams the ship’s records;

b) carries out the due and/or overdue surveys and examination of Recommendations /
Conditions of Class at the first port of call when there is an unforeseen inability of the
Society to attend the vessel in the present port, and

c) has satisfied itself that the vessel is in condition to sail for one trip to a discharge port
and subsequent ballast voyage to a repair facility if necessary. (Where there is
unforeseen inability of the Society to attend the vessel in the present port, the master
is to confirm that his ship is in condition to sail to the nearest port of call.)

The surveys to be carried out are to be based upon the survey requirements at the original
date due and not on the age of the vessel when the survey is carried out. Such surveys are to
be credited from the date originally due.

If class has already been automatically suspended in such cases, it may be reinstated subject
to the conditions prescribed in this paragraph.

A.1.8 When a vessel is intended for a single voyage from laid-up position to repair yard with
any periodical survey overdue, the vessel's class suspension may be held in abeyance and
consideration may be given to allow the vessel to proceed on a single direct ballast voyage
from the site of lay up to the repair yard, upon agreement with the Flag Administration,

Page 5 of 7 IACS Proc Req. 2009/Rev.5 2016

 PR1C

provided the Society finds the vessel in satisfactory condition after surveys, the extent of
PR1C which are to be based on surveys overdue and duration of lay-up. A short term Class
(cont) Certificate with conditions for the intended voyage may be issued. This is not applicable to
vessels whose class was already suspended prior to being laid-up.

A.2 Suspension and reinstatement of class in the case of overdue recommendations /

conditions of class

A.2.1 Each recommendation / condition of class will be assigned a due date for completion.
Owners will be notified of these dates and that the vessel’s class will be subject to a
suspension procedure if the item is not dealt with, or postponed by agreement, by the due
date.

A.2.2 Classification will be reinstated upon verification that the overdue recommendation /
condition of class has been satisfactorily dealt with. However, the vessel is to be disclassed
from the date of suspension until the date class is reinstated.

A.3 Suspension and reinstatement of class of dual classed vessels

A.3.1 When a vessel is dual classed and in the event that one of the Societies involved
takes action to suspend the class of the vessel for technical reasons, the Society concerned
will advise the other Society of the reasons for such action and the full circumstances within
five (5) working days.

A.3.2 The other Society will, upon receipt of this advice, also suspend the class of the
vessel, unless it can otherwise document that such suspension is incorrect.

A.3.3 When either Society decides to reinstate class, it is to inform the other Society.

A.4 Withdrawal of class

A.4.1 When class of a vessel has been suspended for a period of six (6) months due to
overdue surveys and/or recommendations / conditions of class, the class is to be withdrawn.
A longer suspension period may be granted when the vessel is not trading as in cases of lay-
up, awaiting disposition in case of a casualty or attendance for reinstatement.

Page 6 of 7 IACS Proc Req. 2009/Rev.5 2016

 PR1C

Section B - Notification and Reporting

PR1C
(cont) B.1 Notification to Owners and Flag States

B.1.1 The Society is to confirm in writing the suspension of class and reinstating of the
vessel’s class to the Owner and to the Flag State.

B.1.2 The Society is to confirm in writing the withdrawal of class to the Owner and to the
Flag State.

B.1.3 For vessels to which SOLAS applies, the letters according to B.1.1 and B.1.2 are to
state that certain statutory certificates are implicitly invalidated by the suspension / withdrawal
of class.

Notes:
(1) The Class Certificate is to include as a minimum:
- an expiry date based on the five year Special Survey (Renewal Survey);
- an endorsement section to record the completion of Annual [and Intermediate]
Surveys;
- a statement to indicate that the Class Certificate becomes invalid and classification
is automatically suspended, if:

i) the Annual Survey has not been completed within three (3) months of the due
date of the annual survey; or

ii) the Intermediate Survey has not been completed within three (3) months of the
due date of the third annual survey in each periodic survey cycle,

unless the vessel is under attendance for completion of the relevant survey; or
alternatively, a reference to the class suspension requirement contained in the
Classification Society’s Rules.

(2) At the discretion of each Society, the following types of vessels may be exempted
from compliance with this Procedural Requirement provided the Society has
procedures for the suspension and withdrawal of their class:
- Mobile Offshore Drilling Units;
- Mobile Offshore Units;
- Floating Production and/or Storage Vessels;
- Military vessels or commercial vessels owned or chartered by Governments, which
are utilised in support of military operations or service; or
- Vessels in lay-up;
- Fishing vessels.

End of
Document

Page 7 of 7 IACS Proc Req. 2009/Rev.5 2016

 PR1D

PR1D Procedure for Class Entry of Ships not subject

PR1D
(Oct
(cont)
2014) to PR1A or PR1B
TABLE OF CONTENTS

PR1D
Procedure for Class Entry of Ships not subject to PR1A or PR1B

Application

Definitions

Section A Procedural Requirements

A.1 Obligations and reporting of the Society

Section B Technical Requirements

B.1 Plans and information

B.2 Class Entry Surveys

Section C Plans to be Submitted by the Owner to the Society

C.1 Plans to be submitted

C.2 Torsional vibration calculations

C.3 Additional requirements for vessels with ice class notation

C.4 Additional plans required for oil tankers

C.5 Additional plans required for unattended machinery space notation

C.6 Additional plans and documents may be required by the Society for appraisal

Notes:

1. This Procedural Requirement applies to requests for class received on or after

1 January 2015.

Page 1 of 6 IACS Proc Req. 2014

 PR1D

PR1D
PR1D
(cont) Procedure for Class Entry of Ships not subject to PR1A or PR1B

Application

This Procedure contains procedures and requirements pertaining to class entry of ships not
subject to PR1A or PR1B and is applicable, unless stated otherwise, to vessels of over 100
GT of whatever type, self-propelled or not, restricted or unrestricted service, except for "inland
waterway" vessels.

The obligations of this Procedure apply to Classification Societies which are subject to
verification of compliance with QSCS.

Definitions

‘Interim Certificate of Class’, or Interim Class Certificate, is the certificate issued immediately
upon completion of the survey of the vessel to enable it to trade while the report of the
classification surveys is processed by the Society pursuant to issuing its full term Class
Certificate.

‘Plan Appraisal’ means the process of plan and document review and/or approval as required
by the applicable classification Rules of the Society.

For terminology not defined in this procedure, reference is to be made to the definitions in
PR1A.

Page 2 of 6 IACS Proc Req. 2014

 PR1D

Section A - Procedural Requirements

PR1D
(cont) A.1 Obligations and reporting of the Society

A.1.1 Whenever a Society is requested by an Owner to accept an existing vessel into

class, the Society is to notify the Owner in writing of:

.1 the relevant surveys specified in PR1D/B.2.1 that are required to be satisfactorily

completed for entry into class;

.2 the plan submittal and appraisal requirements for classification by the Society as a
prerequisite to obtaining an Interim or Full Term Certificate of Class;

.3 the requirement that an Interim or Full Term Certificate of Class can be issued only
after the Society has satisfactorily completed all required plan appraisal and surveys.

A.1.2 Prior to issuing an Interim Certificate of Class the Society is to obtain a written
request for classing the vessel from the owner.

A.1.3 The Society is not to issue an Interim Certificate of Class, or other documents
enabling the vessel to trade under its classification:

.1 until all required surveys have been completed;

.2 until the appraisal of the plans listed in Section C, as required by the Society to verify
compliance with its applicable classification Rules, has been carried out1;

.3 before giving the opportunity to the Flag Administration to provide any further
instruction within three (3) working days2.

1
Where issues remain outstanding, the Society may impose a Recommendation/Condition
of Class for a limited time period in accordance with Procedural Requirement IACS PR 35.
2
In compliance with the requirements of Art. 10.5 of the Regulation (EC) No 391/2009 as
amended.

Page 3 of 6 IACS Proc Req. 2014

 PR1D

Section B - Technical Requirements

PR1D
(cont) For entry into class, the following minimum technical requirements are to be applied.

B.1 Plans and information

B.1.1 The Society is to request the submission of plans, documents or alternative technical
information required to verify that the vessel complies with the Society’s applicable
classification Rules.

B.1.2 In cases where the vessel has been previously classed by the Society or a Society
subject to verification of compliance with QSCS, the submission of plans may be specially
considered subject to confirmation of no alteration/modification to the vessel.

B.1.3 Where plan appraisal issues remain outstanding, the Society may impose a
Recommendation/Condition of Class for a limited time period in accordance with Procedural
Requirement IACS PR 35.

B.1.4 However, having made a good faith effort to obtain the information, if it proves not
practicable to acquire certain plans as listed in Section C, equivalent/alternative technical
data must be provided prior to the Society issuing the Full Term Class Certificate.

B.2 Class Entry Surveys

B.2.1 A class entry survey is to be held by the Society, the minimum extent of which is to
be based on the age and type of the vessel as follows:

.1 Special Survey of Hull and Machinery including thickness measurements

.2 Dry docking Survey

.3 Tailshaft Survey(s)

.4 Boiler Survey(s) and Pressure vessel survey(s)

B.2.2 The Society may request further examinations, tests and measurements, including
but not limited to material testing, non-destructive testing, hydraulic and hydrostatic tests and
sea trial.

B.2.3 Where the vessel has, during any portion of the five years prior to the request for
classification being received, been previously classed by:

i. the Society, or
ii. a Society subject to verification of compliance with QSCS at the time it classed the vessel,

then survey requirements may be specially considered but are not to be less than those
required by PR1A.

Page 4 of 6 IACS Proc Req. 2014

 PR1D

Section C - Plans to be submitted by the Owner to the Society

PR1D
(cont) C.1 Plans to be submitted

C.1.1 Main Plans

- General Arrangement

- Capacity Plan

- Hydrostatic Curves

- Loading Manual, where required

- Damage stability calculation, where required

C.1.2 Steel plans

- Midship Section

- Scantling Plan

- Decks

- Shell Expansion

- Transverse Bulkheads

- Rudder and Rudder Stock

- Hatch Covers

- Stern frame

C.1.3 Machinery plans (as applicable)

- Machinery Arrangement

- Shafting arrangement, i.e. Intermediate, Thrust and Screw Shafts

- Propeller

- Main Engines, Propulsion Gears and Clutch Systems (or Manufacturer make,
model and rating information)

- For Steam Turbine Vessels, Main Boilers, Superheaters and Economisers (or
Manufacturer make, model and rating information) and Steam Piping

- Bilge and Ballast Piping Diagram

- Wiring Diagram

- Steering Gear Systems Piping and Arrangements and Steering Gear

Manufacturer make and model information

Page 5 of 6 IACS Proc Req. 2014

 PR1D

C.2 Torsional vibration calculations

PR1D
(cont) C.2.1 For vessels less than two (2) years old, torsional vibration calculations are to be
submitted.

C.3 Additional requirements for vessels with ice class notation

C.3.1 Plans for flexible couplings and/or torque limiting shafting devices in the propulsion
line shafting (or manufacturer make, model and rating information) are to be submitted.

C.4 Additional plans required for oil tankers

C.4.1 Pumping arrangement at the forward and after ends and drainage of cofferdams and
pump rooms are to be submitted.

C.5 Additional plans required for unattended machinery space notation

C.5.1 The following additional plans are to be submitted:

- Instrument and Alarm List

- Fire Alarm System

- List of Automatic Safety Functions (e.g. slowdowns, shutdowns, etc.)

- Function Testing Plan.

C.6 Additional plans and documents may be required by the Society for appraisal

Notes to Section C:

(1) Additional information may be necessary according to Flag State requirements.

(2) Alternative technical data may be accepted by the Society in lieu of specific
items of the listed documentation not being available at the time of the transfer.

End of
Document

Page 6 of 6 IACS Proc Req. 2014

 PR1 Annex

PR1
PR1 Annexes to PR1A, PR1B and PR1C
ANNEX TABLE OF CONTENTS
ANNEX
(cont)
(Rev.0
July 2009)
(Rev.1 Annex 1 Reporting Forms G and L 3
June 2012)
(Rev.2 Annex 2 Harmonisation of Reporting 16
Oct 2013)
Annex 3 Items to be considered in the review of Vessel’s Records 17

Annex 4 List of Societies’ Contact Points, (relocated to IACS Website) 18

Page 1 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

Notes:
PR1
ANNEX 1. This Annex applies to the requests for transfer of class, or requests for adding class, or
(cont) requests from an Owner pertaining to his intention to withdraw from class from another
Society, or advice by the withdrawing Society that class has been withdrawn, received
on or after 1 July 2009.

2. Revision 1 of this Annex applies to requests for transfer of class, or requests for adding
class, or requests from an Owner pertaining to his intention to withdraw from class from
another Society, or advice by the withdrawing society that class has been withdrawn,
received on or after 1 July 2013.

3. Revision 2 of this Annex applies to requests for transfer of class, or requests for adding
class, or requests from an Owner pertaining to his intention to withdraw from class from
another Society, or advice by the withdrawing society that class has been withdrawn,
received on or after 1 January 2014.

Page 2 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

Annex 1 - Reporting Forms G and L

PR1
ANNEX Form G
(cont)
Form G is to be created and updated on the on-line TOC database maintained by the IACS
Permanent Secretariat. The Form is then to be faxed or e-mailed to the other Society in
accordance with the Notes below.

Form G is to be used:

I) by the gaining Society for reporting transfer of class from another Society
(refer to A.1 and A.3 of PR1A) using the following Notes:

1. This form with Part A, duly completed, is to be sent to the losing Society within two (2)
working days of receipt of a written request for transfer of class by the gaining Society
at its Headquarters or one of its designated control or management centres.

In the case of transfer of class at vessel’s delivery, the two (2) working days do not
apply.

2. This form with Parts A and B, duly completed, is to be sent to the losing Society within
one (1) month of the date of issuing an Interim Certificate of Class to a vessel which is
transferring from another Society.

When not required to have been dealt with by the losing Society, a list of dates,
locations and actions taken to satisfy each overdue survey and overdue
recommendation / overdue condition of class as specified to the Owner by the losing
Society is to be attached to the copy sent to the losing Society.

3. This form with Parts A, B and B-1 duly completed, is to be sent to the losing Society
within one (1) month from the completion of the survey to confirm that additional
overdue surveys and overdue recommendations / conditions of class have been dealt
with.

A list of dates, locations and actions taken to satisfy each additional overdue survey
and additional overdue recommendation / condition of class as specified to the Owner
by the losing or first or withdrawing Society is to be attached.

4. The gaining Society is, within one (1) month of the date of final entry into class, to
dispatch this form, with Parts A, B, B-1 (when applicable) and C duly completed to the
losing Society.

In cases where the losing Society has reported recommendations / conditions of class
on the vessel a list of actions taken with dates and locations and actions to be taken
to satisfy each recommendation / condition of class within the due dates as specified
to the owner by the losing Society is to be attached to the copy sent to the losing
Society.

II) by the second Society for reporting addition of class to a vessel already classed by
another Society (refer to A.1 and B.1 of PR1B) using the following Notes:

1. This form with Part A, duly completed, is to be sent to the first Society within two (2)
working days of receipt of a written request for addition of class by the second Society
at its Headquarters or one of its designated control or management centres.

Page 3 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

In the case of adding class at vessel’s delivery, the two (2) working days do not apply.
PR1
ANNEX 2. This form with Parts A and B, duly completed, is to be sent to the first Society within
(cont) one (1) month of the date of issuing an Interim Certificate of Class.

3. This form with Parts A, B and B-1 duly completed, is to be sent to the first Society
within one (1) month from the completion of the survey to confirm that additional
information regarding outstanding surveys or recommendations / conditions of class
have been taken into account.

4. The second Society is, on completion of final entry into class, to dispatch this form,
with Parts A, B, B-1 (when applicable) and C duly completed, to the first Society.

III) by the remaining Society for reporting maintenance of class when one class has
been withdrawn from double class (refer to D.1 of PR1B) using the following Notes:

1. This form with Part A duly completed, is to be sent to the withdrawing Society within
two (2) working days of receipt of a written request for withdrawal of class by the
remaining Society at its Headquarters or one of its designated control or management
centres.

2. This form with Parts A and B, duly completed, is to be sent to the withdrawing Society
within one (1) month from the completion of the survey to confirm that overdue
recommendations / conditions of class have been dealt with. Where no overdue items
are provided by the withdrawing Society, this form with Parts A and B, duly completed,
is to be sent to the withdrawing Society within one (1) month from the date of sending
Form L Part A.

When not required to have been dealt with by the withdrawing Society, a list of dates,
locations and actions taken to satisfy each overdue recommendation / overdue
condition of class as specified to the Owner by the withdrawing Society is to be
attached to the copy sent to the withdrawing Society.

3. This form with Parts A, B and B-1 duly completed, is to be sent to the withdrawing
Society within one (1) month from the completion of the survey to confirm that
additional overdue surveys and overdue recommendations / conditions of class have
been dealt with.

In cases where the withdrawing Society has reported recommendations / conditions of

class on the vessel, a list of actions taken with dates and locations and actions to be
taken to satisfy each recommendation / condition of class within the due dates as
specified to the owner by the withdrawing Society is to be attached to the copy sent to
the withdrawing Society.

4. On completion of a transfer of vessel into single class, this form, with Parts A, B, B-1
(when applicable) and C, duly completed is to be sent to the withdrawing Society to
report the date of completion of transfer to single class from double class if not yet
reported in case a) above.

IV) by Societies for reporting reassignment of class to a vessel which had its class
previously withdrawn (refer to A.4 of PR1A) using the following Note:

This form, with Parts B and C duly filled in the fields relevant to a reassignment of
class, is to be completed on the on-line TOC database maintained by the IACS
Permanent Secretariat within one (1) month of final entry into class when class is

Page 4 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

reassigned to a vessel class withdrawn previously due to a reason other than transfer
PR1 of class amongst Societies.
ANNEX
(cont)
Form G attached.

Page 5 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

INTERNATIONAL ASSOCIATION
IACS OF CLASSIFICATION SOCIETIES FORM G
(Tick all check boxes as appropriate)

GAINING SOCIETY’S TRANSFER OF CLASS

REASSIGNMENT OF CLASS
ADDING CLASS OF A SECOND SOCIETY TO A VESSEL CLASSED BY ANOTHER (FIRST) SOCIETY
MAINTENANCE OF CLASS WITH THIS (REMAINING) SOCIETY WHEN WITHDRAWING FROM DOUBLE CLASS

To: Losing or first or withdrawing Society: Fax No./e-mail address:

TOC database on-line database

From: Gaining or second or remaining Society Fax. No./e-mail address :

Gaining or second or remaining Society’s Vessel Data

Name of Vessel ID No.
Vessel Type OT Oil Tanker Flag
CT Chemical Tanker
GT Gas Tanker
LC Other Bulk Liquid Carrier
BC Bulk Carrier (all combinations OB, OBO, OO)
GC General Cargo Vessel (including Ro-Ro Cargo, Container, Reefer, HSC Cargo)
PS Passenger Vessel (including Passenger / General Cargo, Passenger / Ro-Ro, Passenger
HSC)
ZZ Other Vessel Type
Owner

Page 6 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

INTERNATIONAL ASSOCIATION
IACS OF CLASSIFICATION SOCIETIES FORM G

Part A - Survey Status Request (See Note 1)

Name of Vessel ID No.
(Prior to Transfer of Class or Adding Class or Withdrawing Class) (losing or first or withdrawing Society’s,
if known)
Gross Tonnage IMO No.
In accordance with PR1A or PR1B, please provide details of the current survey status, including a full list of overdue surveys
and recommendations / conditions of class with respective due dates for the vessel identified above.
In case of transfer of class or adding class at vessel’s delivery, please provide details of the first Certificate of Class, including
the list of any recommendations / conditions of class and the list of any information normally contained in the classification
status.
Attached hereto is a copy of the Owner's authorization for release of the information requested to the gaining or second or
remaining Society named on this form.

We request the facility for record review in accordance with PR1A, A.2.2.2 or PR1B, D.2.2.2.
We request a copy of the records in accordance with PR1A, A.2.2.3 or PR1B, D.2.2.3.

Date request for class was received Date DD MM YYYY

Signature Date DD MM YYYY

Page 7 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

INTERNATIONAL ASSOCIATION
IACS OF CLASSIFICATION SOCIETIES FORM G

Part B - Report on Issue of Interim Certificate of Class or maintenance of Class (See Note 2)

Date Survey Status, or first DD MM YYYY

Certificate of Class in case of
transfer of class or adding class at
ship’s delivery, received

Change of Owner Yes No Change of Flag Yes No

Reason for Class Entry Transfer from another Society

Reassignment of class to a vessel class withdrawn previously due to a reason other
than transfer of class amongst Societies
Adding class as double class
Adding class as dual class
Maintenance of Class (when withdrawing from double class)

Survey status not received within three working days of request

For transfer of class or adding class at vessel’s delivery, first Certificate of Class not received from losing / first Society
on the day of vessel’s delivery.
A list of dates, locations and actions taken to satisfy each overdue survey and overdue recommendation / condition of
class as specified to the Owner by the losing or withdrawing Society is attached
No relevant items provided by the losing or withdrawing Society

Date of Issue of Interim Certificate of Class Date DD MM YYYY

Signature Date DD MM YYYY

Page 8 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

INTERNATIONAL ASSOCIATION
IACS OF CLASSIFICATION SOCIETIES FORM G

Part B-1 - Report on Additional Information received by the losing or first or withdrawing Society (See Note 3)
(to be completed only if Part A-1 of Form L is received)

A list of dates, locations and actions taken to satisfy each additional overdue survey and additional overdue
outstanding recommendation / condition of class as specified to the Owner by the losing or first or withdrawing
Society is attached
No relevant items provided by the losing or first or withdrawing Society

Signature Date DD MM YYYY

Page 9 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

INTERNATIONAL ASSOCIATION
IACS OF CLASSIFICATION SOCIETIES FORM G

Part C - Report on Final Entry into Class or Completion of Transfer to Single Class
(See Note 4)

Date of Final Entry into Class or DD MM YYYY

Completion of Transfer to Single
Class from Double Class

A list of dates, locations and actions which have been or will be taken to satisfy each recommendation / condition of
class within the due dates as specified to the Owner by the losing or first Society is attached
No relevant items provided by the losing or first Society

Signature Date DD MM YYYY

Page 10 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

Form L

Form L is to be created and updated on the on-line TOC database maintained by the IACS Permanent
Secretariat. The Form is then to be faxed or e-mailed to the other Society in accordance with the Notes
below.

Form L is to be used:

I) by the losing Society for reporting withdrawal of class due to a transfer of class to
another Society (refer to A.2, A.3 and A.4 of PR1A);

II) by the first Society in connection with adding the class of a second society to a vessel
already classed by the first Society (refer to A.2 and B.1 of PR1B); and

III) by the withdrawing Society for advising the remaining Society when withdrawing from
double or dual class (refer to D.2 and E of PR1B)

using the following Notes:

1. This form, with Part A duly completed, is to be sent by fax or e-mail to the
gaining/second/remaining Society within two (2) working days of receipt of the
gaining/second/remaining Society's Survey Status Request. A full list of overdue surveys and
recommendations / conditions of class with the respective due dates for the vessel is to be
attached to the copy sent to the gaining/second/remaining Society. Surveys and
recommendations / conditions of class which have not been completed by their due date
(including window period), when a ship is laid-up in accordance with the Society’s rules prior to
such due date (including window period), are not to be declared as overdue within the scope of
the information to be included in Form L. In the case of transfer of class/adding class at vessel’s
delivery, the two (2) working days do not apply.

2. If the fourth box of Part A is ticked, this form, with Part A-1 duly completed, is to be sent to the
gaining/second/remaining Society within one (1) month from issuance of the
losing/first/withdrawing Society’s survey status for advising additional survey status information
which has not been provided in the previous reporting to the gaining/second/remaining Society.

If the eighth box of Part A is ticked, this form, with Part A-1 duly completed, is to be sent to the
gaining/second/remaining Society within five (5) working days from issuance of the
losing/first/withdrawing Society’s survey status for advising additional survey status information
which has not been provided in the previous reporting to the gaining/second/remaining Society.

3. This form, with Parts A, A-1 (when applicable) and B duly completed, is to be sent to the
gaining/remaining Society when class has been withdrawn from a vessel which has transferred
to another Society or withdrawn from double class.

Form L attached.

Page 11 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

INTERNATIONAL ASSOCIATION
IACS OF CLASSIFICATION SOCIETIES FORM L
(Tick all check boxes as appropriate)

LOSING SOCIETY’S TRANSFER OF CLASS

ADDING CLASS OF A SECOND SOCIETY TO A VESSEL CLASSED BY THIS (FIRST) SOCIETY
ADVICE TO THE REMAINING SOCIETY WHEN WITHDRAWING FROM DOUBLE OR DUAL CLASS

To: Gaining or second or remaining Society: Fax No./e-mail address:

TOC database on-line database

From: Losing or first or withdrawing Society: Fax. No./e-mail address:

Vessel Data
Name of Vessel ID No.
Gross Tonnage IMO No.
Flag Year of build
Vessel Type OT Oil Tanker
CT Chemical Tanker
GT Gas Tanker
LC Other Bulk Liquid Carrier
BC Bulk Carrier (all combinations OB, OBO, OO)
GC General Cargo Vessel (including Ro-Ro Cargo, Container, Reefer, HSC Cargo)
PS Passenger Vessel (including Passenger / General Cargo, Passenger / Ro-Ro,
Passenger HSC)
ZZ Other Vessel Type
Build Yard & No.
Owner
Equipment Number DD MM YY
Date of entry into the
losing or first or withdrawing
Society during Construction Society
Record of Previous Transfer of Class, if available
Society Date Classed Society Date Classed Society Date Classed

DD MM YY DD MM YY DD MM YY
Status of compliance with URs S19/22/23/26/27/30/31, if applicable
Information already included in the survey status
Applicable Due date for compliance Date initial compliance verified
URs S19/S22/S23 DD MM YY DD MM YY

URs S26 DD MM YY DD MM YY

URs S27 DD MM YY DD MM YY

URs S30 DD MM YY DD MM YY

URs S31 DD MM YY DD MM YY

Page 12 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

INTERNATIONAL ASSOCIATION
IACS OF CLASSIFICATION SOCIETIES FORM L

Part A – Survey Status Information (See Note 1)

Date Survey Status Request, or request for first Certificate of Class in case of transfer of class or adding class at ship’s
delivery, received DD MM YYYY

A full list of overdue surveys / outstanding recommendations / conditions of class with the respective due dates
for the vessel identified above is attached.

In case of transfer of class or adding class at vessel’s delivery, details of the first Certificate of Class, including
the list of any recommendations / conditions of class and the list of any information normally contained in the
classification status for the vessel identified above is attached.
There is no overdue survey nor outstanding recommendation / condition of class.

There is/are survey report(s) outstanding. (if this box is ticked, then Part A-1 is applicable)

There is no survey report outstanding.

Structural diminution allowances are attached.

Structural diminution allowances: see document circulated by letter Ref. ……………………….Date ……………..

Structural diminution allowances will be sent within five (5) working days. (if this box is ticked, then Part A-1 is
applicable)

Class is not suspended, nor withdrawn

Class is suspended, with effect from (date) DD MM YYYY

Reason for suspension:
a= Survey Overdue
b= Non-compliance with Recommendations / Conditions or Class
c= Other Safety Related
d= Pending Disposition of Casualty
e= Other Non-Safety Related

Class was withdrawn, with effect from (date) DD MM YYYY

Reason for withdrawal:
0= Transfer of class amongst Societies holding a QSCS certificate
1a= At the Owner’s request due to the reasons other than identified in 1b, 1c or 2
1b= Scrapped/Sold for Scrap
1c= Casualty
2= Transferred to a Society not holding a QSCS certificate
3a= Overdue Surveys
3b= Non-compliance with Recommendations / Condition of Class
3c= Safety Related other than identified in 3a or 3b
4= Other Non-Safety Related or Unidentified

Signature: Date: DD MM YYYY

Page 13 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

INTERNATIONAL ASSOCIATION
IACS OF CLASSIFICATION SOCIETIES FORM L

Part A-1 – Additional Survey Status Information (See Note 2)

A list of additional overdue surveys and additional outstanding recommendations / conditions of class which were
not included in Part A is attached.
Structural diminution allowances are attached.
No further information.

Signature: Date: DD MM YYYY

Page 14 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

INTERNATIONAL ASSOCIATION
IACS OF CLASSIFICATION SOCIETIES FORM L

Part B – Report on Withdrawal of Class on Transfer to, or maintenance of class with another Society
(See Note 3)
Date Class Withdrawn DD MM YYYY

Signature: Date: DD MM YYYY

Page 15 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

Annex 2 - Harmonisation of Reporting

ITEM ACTION LOCATION DATE GAINING SOCIETY’S REPORT

REQUIREMENTS
Overdue Survey Commenced Port Survey Date List items credited and items remaining
to be credited, if any. Explain why the
entire survey was not completed at this
port. List conditions for direct voyage to
port where survey will be completed,
including the need to discharge current
cargo if applicable.
Overdue Survey Continued Port Survey Date In cases where surveys are continued
at the port where the current cargo is
discharged, list items credited and
items remaining to be credited, if any.
Explain why the entire survey was not
completed at this port. List conditions
for direct voyage to port where survey
will be completed.
Overdue Survey Completed Port Survey Date List place and date where survey was
completed.
Overdue Cleared Port Survey Date Explain actions taken to complete
recommendation overdue recommendation / condition of
/ condition of class as specified by the losing
class Society.

Overdue Commenced Port Survey Date In cases where overdue

recommendation recommendations / conditions of class
/ condition of are postponed or partly postponed at
class the port where the current cargo is
discharged, list items credited and
items remaining to be credited, if any.
Explain why the overdue
recommendation was not completed at
this port. List conditions for discharge
voyage to port where recommendation
will be completed as specified by losing
Society.
Overdue Cleared Port Survey Date List date, place and actions take for
recommendation completion of overdue
/ condition of recommendations / conditions of class.
class

Page 16 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

Annex 3 - Items to be considered in the review of Vessel's Records

* 1. Damages

* 2. Major repairs / rectifications

* 3. Conversion of hull-dates

* 4. Major alterations of machinery installation-dates

5. Condition evaluation / hull summary report if applicable

* 6. History of recommendations / conditions of class

7. Thickness measurements from last Special Survey and subsequent thickness measurements,
including areas with substantial corrosion

8. Report of last Special Survey and subsequent periodical reports

* 9. Information on coating condition of water ballast tanks (including non ESP vessels)

10. Restrictions / limitations in navigation area

11. Optional photos when available

* As retained by the losing Society

Page 17 of 18 IACS Proc Req. 2009/Rev.2 2013

 PR1 Annex

Annex 4 - List of Societies’ Contact Points

Refer to the IACS Website:

[Link], located under:

• Publications
• Procedural Requirements

and the Transfer of Class (TOC) Database.

End of
Document

Page 18 of 18 IACS Proc Req. 2009/Rev.2 2013

 No.2

No.2
No. Procedure for Failure Incident Reporting and
(Rev.0
(cont)
July Early Warning of Serious Failure Incidents -
2009)
“Early Warning Scheme - EWS”
PR2A + PR2B replace PR2.

Deleted 1 Jan 2017.

End of
Document

Page 1 of 1 IACS Proc Req. 2009

 No.2A

No.
No. Procedure for Hull Failure Incident Reporting
2A
2A
(July
(cont) 1 Objective
2015)
To collect hull failure information to be used in the development and maintenance of IACS
structural requirements and booklets on typical hull damages for various ship types.

2 Definitions

In the context of this procedure, the following definitions apply.

2.1 Hull failure incident: a hull failure (e.g. a visible through thickness fracture of any length
in the oil/watertight envelope of the outer shell; a fracture or buckling which has weakened a
main strength member to the extent that the ship’s structural strength may be compromised)
that is known, or suspected, to be due to inadequate compliance with relevant standards for
design, construction, modification or repair of the failed item or inadequacy in standards
relevant to the failed item.
Damage incidents caused by all other causes, including but not limited to such things as
collision, grounding, improper or inadequate operation, improper loading, human error or
action, natural disaster, etc. are not “hull failure incidents” within the context of this procedure.

2.2 Serious hull failure incident: A hull failure incident that:

- Resulted in loss of the ship, death or serious injury to the personnel on board, or severe
pollution of the marine environment; or

- Endangering the ship, the personnel on board, or posed a threat of severe pollution of
the marine environment. For guidance examples of events in this category are given,
but not limited to:

a) Fracture or buckling of the ship’s longitudinal structure such that the global
strength is reduced by a significant amount, for example; greater than 5%
reduction in section modulus or section shear area.

b) Loss of steering capability by fracture/deformation of the rudder, rudder stock, or

rudder horn.

c) Loss of tightness of a hatch cover, shell door/ramp, ventilator, sounding pipe, etc.
causing the ingress of a significant amount of water, as determined by the
Society.

d) The leakage of a significant amount of oil/pollutant from a containing tank into

adjacent non-cargo space or through a hull breach, as determined by the Society.

e) An event of similar severity not listed above.

2.3 Hull: Hull structure and appurtenant equipment and structure fitted on or through the hull
envelope (including but not limited to such things as hatches, doors or ramps, ventilation and
sounding pipes, rudder including rudder stock, sea connections, etc.).

Note:

This Procedural Requirement applies from 1 January 2017.

Page 1 of 4 IACS Proc Req. 2015

 No.2A

3 Hull failure incident reporting

No.
3.1 Hull failure incidents which are considered to be noteworthy and of possible utility for
2A improving international technical requirements, Societies’ Rules or survey procedures and
(cont) guidance are to be reported1), without identifying the particular ship involved, using the Data
Sheet for Reporting Hull Failure Incidents and Repairs, contained in Annex.

3.2 Societies are to submit the required information on failure incidents of ships in their class
to the IACS Hull Panel within a period of three months from the date the Society first
becomes aware of the occurrence of the incident.

3.3 The Hull Panel will be responsible for maintaining the records of submitted information
and issuing periodic lists of all cases.

3.4 The Hull Panel will, on an ongoing basis, review the information received and, where
necessary or appropriate, make recommendations to GPG regarding possible further action
by IACS. The Hull Panel will also use the information received, when appropriate, in the
development and maintenance of the IACS booklets on typical hull damages for various ship
types.

4 Confidentiality

4.1 Information provided or obtained in the course of application of this procedure, is to be

considered confidential and is not to be divulged to any other party, except as needed to
implement the present procedure, or as required by law.

4.2 Information obtained under this procedure is not to be used to seek commercial
advantage.

5 Exceptions

5.1 Inability to provide information for use in conjunction with this procedure as a result of
expectation of litigation shall not be held against the Society involved.

6 Relationship to IACS PR2B Procedure for Early Warning of Serious Hull Failure
Incidents - “Early Warning Scheme – EWS”

6.1 A serious hull failure incident is, additionally, subject to the requirements of IACS PR2B
and is to be reported by the Hull Panel Member submitting the incident to the Hull Panel to
the Incident Reporting Officer (IRO) (see PR2B) of his/her Society for handling under PR2B.

1)
Considerable uncertainty may exist as to whether a particular incident is a hull failure
incident or not. In deciding whether to treat an incident as a hull failure incident
consideration is to be given to whether enough is known or can reasonably be expected
to be learned about the particular incident to warrant treating it as a hull failure incident.
Similarly, for incidents which may have been caused by inadequate maintenance of an
item, consideration should be given to whether information on the incident would
contribute to reassessing the periodicity of required surveys or examinations, or other
aspects within the purview of classification or statutory certification.

Page 2 of 4 IACS Proc Req. 2015

 No.2A

ANNEX
No. Page 1 of Pages

2A Data Sheet for Reporting Unique Record

(cont) Number (*1)
Hull Failure Incidents and Repairs

Ship Type Date of

Report

Size Group Age Group (*3)

(GRT or DWT) (*2)
Note: (*1) aa-bb-cc (aa: Society’s name, bb: year reported, cc: consecutive report number)
(*2) GRT: < 6,000 6,000 – 9,999 10,000 – 29,999 30,000 ≤
DWT: < 10,000 10,000 – 49,999 50,000 – 99,999 100,000 – 179,999 180,000 ≤
(*3) Age: 0-4, 5-9, 10-14, 15-19, 20 ≤
Please indicate tank and hold arrangement and the global locations of damage on the diagrams provided below.

Note: This form should not be used as a vehicle to transmit information to member societies’
field surveyors or any other parties.

Page 3 of 4 IACS Proc Req. 2015

 No.2A

No. Page of Pages

2A Data Sheet for Reporting Unique Record

(cont) Number
Hull Failure Incidents and Repairs

Description of Damages, Likely Causes, Methods of Repair and Lessons Learned

Please describe (1) the nature and extent of damages

(2) factors likely to have contributed to the damages if known
(3) methods of repair if any
(4) lessons learned

Please also identify global locations of damages on the

diagrams provided on page 1.

Please sketch (1) Details of damage with scantlings and material of

associated structures
(2) Details of repairs, if any, with scantlings and material of
any modified structures and/or additional reinforcements

Note: This form should not be used as a vehicle to transmit information to societies’ field
surveyors or any other parties.

End of
Document

Page 4 of 4 IACS Proc Req. 2015

 No.2B

No.
No. Procedure for Early Warning of Serious Hull
2B
2B Failure Incidents - “Early Warning Scheme -
(July
(cont)
2015) EWS”
1 Objective

1.1 To improve ship safety and protection of the marine environment by providing information
on serious hull failure incidents as hereinafter defined and where sister or similar ships exist
that could be at risk. The information regarding such failures is to be provided to the involved
Classification Societies, and other relevant parties as stipulated herein, with a view to
reducing the likelihood of their reoccurrence.

2 Definitions: In the context of this procedure, the following definitions apply.

2.1 Hull failure incident: a hull failure (e.g. a visible through thickness fracture of any length
in the oil/watertight envelope of the outer shell; a fracture or buckling which has weakened a
main strength member to the extent that the ship’s structural strength may be compromised)
that is known, or suspected, to be due to inadequate compliance with relevant standards for
design, construction, modification or repair of the failed item or inadequacy in standards
relevant to the failed item.
Damage incidents caused by all other causes, including but not limited to such things as
collision, grounding, improper or inadequate operation, improper loading, human error or
action, natural disaster, etc. are not “hull failure incidents” within the context of this procedure.
Hull failure incidents are subject to the requirements of IACS PR2A.

2.2 Serious hull failure incident: A hull failure incident that:

- Resulted in loss of the ship, death or serious injury to the personnel on board, or severe
pollution of the marine environment; or

- Endangering the ship, the personnel on board, or posed a threat of severe pollution of
the marine environment. For guidance examples of events in this category are given,
but not limited to:

a) Fracture or buckling of the ship’s longitudinal structure such that the global
strength is reduced by a significant amount, for example; greater than 5%
reduction in section modulus or section shear area.

b) Loss of steering capability by fracture/deformation of the rudder, rudder stock, or

rudder horn.

c) Loss of tightness of a hatch cover, shell door/ramp, ventilator, sounding pipe, etc.
causing the ingress of a significant amount of water, as determined by the
Society.

d) The leakage of a significant amount of oil/pollutant from a containing tank into

adjacent non-cargo space or through a hull breach, as determined by the Society.

e) An event of similar severity not listed above.

Note:
This Procedural Requirement applies from 1 January 2017.

Page 1 of 5 IACS Proc Req. 2015

 No.2B

2.3 Sister ship: For the sole purpose of this PR, ships having the same hull form, dimensions
No. and cargo tank or cargo hold configuration that have been built to the same plans, even if
approved by different societies.
2B
(cont) 2.4 Similar ship: When considering serious hull failure incidents, ships of the same type and
dimensions (L, B, D), nearly same frame spacing in way of damaged area (with max 10%
deviation), having nearly identical deadweight or gross tonnage (with max 1% deviation) and
having the same number and configuration of cargo holds/tanks. (Note; classification
societies may expand this definition to include other vessels.)

2.5 Hull: Hull structure and appurtenant equipment and structure fitted on or through the hull
envelope (including but not limited to such things as hatches, doors or ramps, ventilation and
sounding pipes, rudder including rudder stock, sea connections, etc.)

2.6 Incident Reporting Officer (IRO): The person designated by each Society to report and
receive information and to undertake or manage the performance of the procedure within the
Society.

2.7 Incident Data Administrator (IDA): The person designated at IACS Secretariat to perform
the data receipt, collation, and distribution functions required to administer the procedure
under the Annex in accordance with the requirements of section 4, Confidentiality.

2.8 Involved Society: a classification society classing a sister or a similar ship to the one
involved in the incident.

3 Early Warning of Serious Hull Failure Incidents

3.1 Serious hull failure incidents which are considered, owing to the severity of their
consequences, to warrant investigation and/or action with respect to other ships which may
be susceptible to such failures, or which are considered to be noteworthy and of possible
utility for improving IACS resolutions, Societies’ Rules or survey procedures and guidance are
to be reported1) in accordance with the Annex to this procedure.

The IDA is to establish and maintain a secure communication protocol for use in association
with this procedure.

3.2 In cases where the Builder has taken the responsibility to advise Owners and the relevant
classification societies of ships which may be similarly affected, those societies are to report
the failure incidents with a view to establishing recommendations towards collective action by
IACS.

4 Confidentiality

4.1 Information provided or obtained in the course of application of this procedure, is to be

considered confidential and is not to be divulged to any other party, except as needed to
implement the present procedure, or as required by law.

4.2 Access to information identifying specific ships provided in accordance with the Annex is
to be restricted by the involved Societies and the IACS Secretary General to those within their
Society/Secretariat with a need to know in order to undertake appropriate studies, decisions
or actions directly related to achieving the objective stated in 1.1.

4.3 Information obtained under this procedure is not to be used to seek commercial
advantage.

Page 2 of 5 IACS Proc Req. 2015

 No.2B

5 Exceptions
No.
5.1 Inability to provide information for use in conjunction with this procedure as a result of
2B expectation of litigation shall not be held against the Society involved.
(cont)

1)
In judging whether an incident should be treated as a serious hull failure incident
consideration is to be given to the risk involved in terms of the probability of future
occurrences resulting in severe or unacceptable consequences as well as the likelihood
of identifying and implementing safety improvements which will effectively reduce that
risk.

Page 3 of 5 IACS Proc Req. 2015

 No.2B

Annex
No. Early Warning of Serious Hull Failure Incidents

2B 1 General
(cont)
1.1 In the event of the occurrence of a serious hull failure incident, the IRO of the Society
classing the ship involved is to provide the information specified below to the IDA:

Ship’s main characteristics, viz:

- Type;
- Year of build;
- Cargo Spaces (type and no.)
- Deadweight;
- Gross Tonnage;
- L, B, D; and
- Frame spacing in way of damaged area.

Details of the incident, as applicable:

- Nature and extent of damages;

- Factors likely to have contributed to the damages;
- Global locations of damages;
- Details of damage with scantlings and material of associated structures;
- Details of repairs, if any, with scantlings and material of any modified structures;
- Lessons learned;
- Any additional information considered relevant to pursuing the objective of this
procedure.

1.2 If authorization has been given by the owner to disclose the ship specific information,
additional details are to be provided as follows:

- Ship’s Name and IMO Number;

- Builder’s Name and Yard Number;
- Any known sister ships and the classing Societies.

1.3 With the information provided by the initiating IRO the IDA is to query available databases
to identify any sister or similar ships, as applicable and the involved classing societies. IDA
informs the IROs of involved societies of the details of the case.
The IDA is also to identify other societies with which each ship was previously classed and
notify the IROs. The IDA may approach individual member societies (which may not be the
Society classing the ship involved) to verify through their databases the identified sister
and/or similar ships. In order to confirm that ships so identified are sisters (as defined), the
IDA may request copies of approved plans, as necessary, provided permission for use by IDA
is obtained by the involved societies from the owner of the plans.

1.4 In order to determine whether the incident is one of a series of similar incidents on sister
ships or whether it appears to be an isolated case, written feedback from the IROs of the
involved Societies of any information held on file concerning surveys, damages or repairs
undertaken on the ship or the identified sister ships in their class or previously in their class,
which is relevant to the case, is to be made available to IDA and IROs of the involved
societies and added to the case file maintained by IDA within 10 working days.

1.5 Written feedback from IROs with respect to relevant follow-up information obtained during
subsequent surveys is to follow the same procedure as in 1.4 above.

Page 4 of 5 IACS Proc Req. 2015

 No.2B

1.6 The IDA is to request one of the IROs of the involved societies to take a leadership role in
No. monitoring and assessing the case information, which may require a meeting of the IROs of
the involved societies. The group of the involved IROs is to initiate immediate proactive
2B actions relevant only to the involved societies, covering:
(cont)
• A detailed structural survey with close-up examination of similar locations on the
involved ships, and

• An assessment of the serious hull failure incident with a scope of, but not limited to:

a. The possible cause of failure2),

b. Structural analysis (simple beam or finite element analysis) and/or fatigue
assessment where considered necessary,
c. The need for proactive repairs, reinforcements and/or modifications,
d. Effective and practical repairs,
e. Detailed structural surveys on sister/similar ships.

The group of involved IROs is also to recommend any further follow-up actions considered
necessary or appropriate to GPG prior to closing the case file. Such recommendations might
include, but are not necessarily limited to, such things as follow-up action on a broader group
of similar ships, or issue IACS safety notice, review CSR, URs, PRs, etc. with a view to
minimizing reoccurrence of the serious hull failure incident in question.

1.7 GPG is to consider the appropriate Panel to execute the recommendations from the
group of IROs of the involved societies.

2 Annual Review

2.1 The IDA is responsible for the preparation of an annual review report on the Annex
activity for consideration by Council at its first regularly scheduled meeting of each year. The
scope of the review should include:

- Any difficulties regarding confidentiality considerations with respect to identification of

ships or Societies involved in cases not in the public domain;
- A summary of the number and nature of cases dealt with or in process;
- Identification of perceived problems with the operation of the procedure together, where
appropriate, with recommendations for improvement;
- In the report, information shall be presented in anonymous form and Society’s names
shall be kept confidential by the IDA.

2)
Refer, for example, to the Guidance in Recommendation No. 96.

End of
Document

Page 5 of 5 IACS Proc Req. 2015

 No.3

No.3 Transparency of Classification and Statutory

No.3
(Rev. 0
(cont)
July Information
2009)
(Rev. 1 1 Type of Information
Oct
2015) The actual types of information are as follows:
(Corr.1
Nov Standing documentation
2016) Ship related information
Newbuildings
Ships in Operation Class Services
Ships in Operation Statutory Services
Other information
SCF – Ship Construction File as indicated in SOLAS [Link]-1/3-10, Paragraph 4.

2 The Receivers of Information

The receivers are:

Owners
Flag States
Port States
Insurance Companies

3 Release of Information

The Table 1 indicates release of information and is applicable to all types of ships with the
exception of Tankers and Bulk Carriers subject to SOLAS Chapter II-1 Part A-1 Regulation 3-
10 (Goal-based ship construction standards for bulk carriers and oil tankers).

The Table 2 indicates release of information and is applicable to Tankers and Bulk Carriers
subject to SOLAS Chapter II-1 Part A-1 Regulation 3-10 (Goal-based ship construction
standards for bulk carriers and oil tankers).

The footnotes describe the conditions of release.

Note:

1. This Procedural Requirement applies from 1 July 2009.

2. Revision 1 of this Procedural Requirement applies from 1 July 2016.

Page 1 of 3 IACS Proc Req. 2009/Rev.1 2015/Corr.1 2016

 No.3

Table 1
No.3
(cont)
Information available to:
Information in Question Owners Flag Port Insurance Ship
State State Company* Yards

1. Class Societies Standing

Documents:
Rules and Guidelines (Class 1 1 1 1 1
and statutory requirements)
Instructions to Surveyors 1
Quality Manual 1 1 1 1 1
Register Book 1 1 1 1 1
2. Ship Related Information:
A. New buildings
Approved Drawings 6 1 7
Formal Approval Letters 1 7
Certificates of Important 2 7
Equipment
B. Ships in Operation:
Class Services
Date (month and year) of all 7 1 1 1
Class Surveys
Expiry Date of Class Certificate 7 7** 1 1
Certificates/Reports 7 1 6 5
Overdue Surveys 7 7** 1 1
Text of Conditions of Class/ 7 1 1 5
Recommendations
Text of Overdue Conditions of 7 1 1 1
Class/Recommendations
Executive Hull Summary 7 3 3 3
Statutory Services
Due Dates of Statutory Surveys 7 7** 1 1
Expiry Date of Statutory 7 7** 1 1
Certificates
Registered Statutory Rec. 7 7** 1 5***
Overdue Statutory Rec. 7 7** 1 1***
3. Other Information:
Correspondence File with Yard 6 6 5&6
and/or Owner
Audit of Class Societies QA 4 4 4 4
System
Class Transfer Reporting 7 7 7 7
Class Withdrawal Information 7 7 7 7

* Insurance Company means P&I Clubs and Hull Underwriters.

** If stated in Agreement.
*** Unless prevented by the agreement with the flag State.
KEY:
1. Available upon request.
2. At delivery of the ship by Shipyard.
3. Available under visit on board.
4. Result of audit available on request.
5. When accepted by Owners - or through special clause in insurance contract.
6. When accepted by Owner (Master) or Shipyard as applicable.
7. Automatically available.

Page 2 of 3 IACS Proc Req. 2009/Rev.1 2015/Corr.1 2016

 No.3

Table 2
No.3
(cont) Information available to:
Information in Question Owners Flag Port Insurance Ship
State State Company* Yards
1. Class Societies Standing
Documents:
Rules and Guidelines (Class and 1 1 1 1 1
statutory requirements)
Instructions to Surveyors 1
Quality Manual 1 1 1 1 1
Register Book 1 1 1 1 1
2. Ship Related Information:
A. New buildings
Approved Drawings 1 1 7
Formal Approval Letters 1 1 7
Certificates of Important Equipment 2 1 7
SCF 2 8 7
Formal Review Letters in relation
2 2 7
with SCF
B. Ships in Operation:
Class Services
Date (month and year) of all Class 7 1 1 1
Surveys
Expiry Date of Class Certificate 7 7** 1 1
Certificates/Reports 7 1 6 5
Overdue Surveys 7 7** 1 1
Text of Conditions of Class/
7 1 1 5
Recommendations
Text of Overdue Conditions of
7 1 1 1
Class/Recommendations
Executive Hull Summary 7 3 3 3
Statutory Services
Due Dates of Statutory Surveys 7 7** 1 1
Expiry Date of Statutory Certificates 7 7** 1 1
Registered Statutory Rec. 7 7** 1 5***
Overdue Statutory Rec. 7 7** 1 1***
3. Other Information:
Correspondence File with Yard
1 1 5&6
and/or Owner
Updated modifications to SCF 7**** 8
Audit of Class Societies QA System 4 4 4 4
Class Transfer Reporting 7 7 7 7
Class Withdrawal Information 7 7 7 7

* Insurance Company means P&I Clubs and Hull Underwriters.

** If stated in Agreement.
*** Unless prevented by the agreement with the flag State.
**** By Owner or Shipyard.
KEY:
1. Will be available upon request.
2. At delivery of the ship by Shipyard.
3. Available under visit on board.
4. Result of audit available on request.
5. When accepted by Owners - or through special clause in insurance contract.
6. When accepted by Owner (Master) or Shipyard as applicable.
7. Automatically available.
8. Available through Owner upon request.

End of
Document

Page 3 of 3 IACS Proc Req. 2009/Rev.1 2015/Corr.1 2016

 No.4

No.4
No. Deleted January 2000
(cont)

End of
Document

Page 1 of 1
 No.5

No.5
No.5 Definition of Exclusive Surveyor and
(Rev.0
(cont)
July Non-Exclusive Surveyor and Procedure for
2009)
Employment and Control of Non-Exclusive
Surveyors
1. Exclusive Surveyor

An exclusive surveyor is a person solely employed by a Classification Society, who is duly

qualified, trained and authorized to execute all duties and activities incumbent upon his
employer, within his level of work responsibility. Such an exclusive surveyor is not permitted
to undertake other employment.

An exclusive surveyor of one Classification Society may also be regarded as an exclusive

surveyor to another Classification Society in those cases where the relevant Societies have
agreed to share survey resources.

A secondment surveyor from an organization may be regarded as an exclusive surveyor to a

Classification Society subject to the basis of a long term secondment contract from the
organization to the Classification Society. The secondment surveyor must be duly qualified,
trained, authorized and directly controlled by that Society for the performance of the duties
and activities being delegated, in accordance with the relevant quality system requirements of
the Classification Society. Such a secondment surveyor is only permitted to execute duties on
behalf of that Classification Society.

2. Non-Exclusive Surveyor

A non-exclusive surveyor is a person who enters into an agreement with a Society to act on
its behalf and who is also free to work on behalf of other organizations.

2.1 Employment

(i) The employment of non-exclusive surveyors should be limited to locations not easily
served by exclusive surveyors. This should, however, not prevent the hiring of non-
exclusive surveyors who, on a case-by-case basis, may be needed to assist during
periods of high work loading at exclusive offices.

(ii) The suitability of the non-exclusive surveyor is to be determined before engagement,

either:

(a) by a previously demonstrated capability to provide a proper service, or,

(b) by direct assessment by a suitably qualified senior exclusive surveyor.

Note:

This Procedural Requirement applies from 1 July 2009.

Page 1 of 3 IACS Proc Req. 2009

 No.5

No.5 (iii) The qualifications of a non-exclusive surveyor should include:

(cont)
(a) a degree or equivalent from an institution recognised within a relevant field of
engineering or physical science, or
a qualification from a suitable marine or nautical institution and relevant seagoing
experience as a certified ship officer,

(b) suitable work experience relevant to the processes he or she is authorised to

perform.

(iv) In assessing suitability and qualifications, the following may also be taken into account:

(a) Experience from class-related work as stated in a CV or other document.

(b) Mandatory training given by the Society in accordance with the documented
Scheme.

(v) Proposals for the employment of non-exclusive surveyors together with a CV giving
details of education and experience are to be forwarded to the society for consideration,
including final approval by authorised senior staff.

(vi) Records are to be kept of the justification for engagement.

(vii) Non-exclusive surveyors are to fulfill the qualification and training requirements of the
quality system procedures and process instructions relevant to the tasks that each is
authorised to perform.

(viii) The non-exclusive surveyor is to be engaged by means of a contract giving conditions

of service, general instructions, and the scope of surveys which may be undertaken.

(ix) Depending on the extent of their employment, non-exclusive surveyors are to be

supplied with copies of:

(a) the society’s Register of Ships,

(b) a set of the society’s Rules and Regulations for the Classification of Ships,

(c) codes, standards and/or specifications related to the processes they are authorised
to perform,

(d) advice in writing detailing the service required on a job-by-job basis by a controlling
exclusive office,

(e) quality system procedures and process instructions (controlled copies) relevant to
the tasks non-exclusive surveyor is authorised to perform.

2.2 Control

(i) Effective controls are to be maintained over the non-exclusive surveyor by the
controlling office by means of:

(a) examination of survey reports, and

(b) activity monitoring in accordance with Procedural Requirement 6

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 No.5

No.5 (ii) Surveys by non-exclusive surveyors may be subject to a subsequent confirmatory

(cont) survey being carried out by an exclusive surveyor.

(iii) A comprehensive list of non-exclusive surveyors is to be maintained centrally, while a

list of verification dates is to be maintained by the controlling exclusive office.

End of
Document

Page 3 of 3 IACS Proc Req. 2009

 No.6

No.6 Procedure for Activity Monitoring of Surveyors,

No.6
(Rev.0
(cont’d)
July Plan Approval Staff and Auditors
2009)
(Rev.1
Mar 1 Purpose
2010)
(Rev.2 The purpose of Activity Monitoring is:
Sept
2011 - To determine whether the individuals maintain the competence and capability to
Complete satisfactorily perform the work for which they are qualified, consistent with the
Revision) Society’s policies and practices.
(Rev.3
Nov - To identify needs for continual improvement in aligning the technical services across
2014) the organisation.

- To identify need for improvements in the guidance, processes, training and

supporting tools provided for the technical staff.

2 Definitions

2.1 Activity Monitoring

Activity Monitoring is an assessment by the Society of the Society’s technical staff, conducted
by a monitor, for plan approval or in the course of a survey, audit or MLC inspection.

2.2 Monitor

“Monitor” is the designated person who carries out the Activity Monitoring.

2.3 Technical Staff

Technical staff are personnel qualified to carry out surveys, or plan approvals (see PR7) or
Marine Management Systems Audits (see also PR10) and MLC Inspections.

Note:

1. This Procedural Requirement applies from 1 July 2009.

2. Rev.1 of this Procedural Requirement applies from 1 April 2010.

3. For the purpose of this PR, assessment of ship yards and service suppliers are not
considered as ‘Marine Management System Audits’.

4. Rev.2 of this Procedural Requirement applies from 1 July 2012.

5. Rev.3 of this Procedural Requirement applies from 1 January 2015.

Page 1 of 4 IACS Proc Req. 2009/Rev.3 2014

 No.6

2.4 Field of work

No.6
(cont’d) The field of work encompasses various processes and different types of surveys, audits, MLC
inspections and plan approvals. The exact content may vary with a Society’s system, but for
the purposes of this procedure the following three fields of work are to be addressed:

1. Plan approval
2. Surveys
a. of materials and equipment, or
b. during construction and installation, or
c. during service
3. Audits
a. Marine Management Systems audits, or
b. MLC Inspections.

The above fields cover class and statutory scope of work, as applicable.

3 Monitoring

3.1 Designation of Monitors

Activity Monitoring shall be carried out by designated persons who are qualified in plan
approval, survey, or audit/inspection being monitored, as appropriate.

Alternatively, a specialist (i.e., an individual with appropriate knowledge and experience)

from the relevant department in the activity being monitored, who is designated by the
responsible headquarters department or regional management can also carry out the
Activity Monitoring.

3.2 Frequency of Monitoring

Activity Monitoring shall be carried out at least once every other calendar year for each field
of work for which the individual is qualified.

Failure to complete the Activity Monitoring within the required timeframe will result in the
individual not being permitted to carry out any activity in the field of work until the
monitoring is satisfactorily completed.

The individual whose monitoring is overdue, may be assigned to carry out the next activity
job, only if that activity job is monitored.

Control of any exceptions to this should be documented in the society’s procedures.

3.3 Selection of the activity

The activity within the field of work selected for monitoring shall be representative of the work
of the individual being monitored and therefore be sufficient to enable the monitor to
effectively assess the performance of the individual against his/her qualifications.

3.4 Preparation

Preparation for activity monitoring should include familiarisation with the processes,
requirements and tools (e.g. software) associated with the activity to be monitored.

Page 2 of 4 IACS Proc Req. 2009/Rev.3 2014

 No.6

3.5 Scope of Monitoring

No.6
(cont’d) The scope of the monitoring shall be sufficient to effectively evaluate the performance of the
individual at work. Plan approval monitoring may be carried out after completion of plan
approval work.

Monitoring is to include, as applicable, an evaluation of the individual’s:

- personal safety awareness and adherence to the Society’s safety policy;

- professional behaviour and performance;

- preparation, execution and follow-up of the activity;

- understanding and application of the relevant requirements;

- technical capabilities, including proper judgement and decision making;

- reporting and communication, both internal and external.

Activity Monitoring may be combined with a vertical contract audit1.

4 Reporting

The report shall include evaluation of the performance of the individual at work as indicated in
3.5.

Any deviation from the required activities is considered to be a variance and is to be reported
along with the proposed course of action to correct it.

The report shall also include conclusions with respect to:

- whether the individuals maintain the competence and capability to satisfactorily

perform the work for which they are qualified, consistent with the Society’s policies
and practices (including particularly positive aspects);

- any areas for improvement;

- any recommended training requirements.

The completed report is to be sent to the individual’s line manager.

5 Evaluation

The individual’s line manager shall review the completed report and where necessary will
ensure that the proposed course of action, as appropriate, is implemented.

Results of Activity Monitoring shall be taken into account as part of the individual’s annual
performance review (see PR 7) and ongoing training needs.

1
Ref.: IACS Procedures Volume 3

Page 3 of 4 IACS Proc Req. 2009/Rev.3 2014

 No.6

The society shall, at least once every other calendar year, analyse the results of all activity
No.6 monitoring for each field of work, to identify possible improvements across the organisation.
(cont’d) The society shall categorise variances or adopt an equivalent methodology to facilitate
analysis and to identify trends, if any.

6 Documents and records

The Society is to:

6.1 document the activity monitoring methodology, including how it is reported.

6.2 document how Monitors are designated.

6.3 document the consequence(s) and action(s) to be taken if activity monitoring is not
completed within the required timeframe.

6.4 maintain records to demonstrate that all personnel required to be monitored have been
monitored within the required timeframe.

6.5 maintain records on the analysis of the results of monitoring activity for possible
improvements across the organisation.

End of
Document

Page 4 of 4 IACS Proc Req. 2009/Rev.3 2014

 No.7

No.7 Procedure for the Training and Qualification of

No.7
(Rev.0
(cont’d)
July Survey and Plan Approval Staff
2009)
(Rev.1
Nov
2012)

Notes:

1. This Procedural Requirement applies from 1 July 2009.

2. Rev.1 of this Procedural Requirement applies from 1 July 2013.

Page 1 of 6 IACS Proc Req. 2009/Rev.1 2012

 No.7

1. Purpose and application

No.7
(cont’d) 1.1 This Procedural Requirement defines the common training and qualification
requirements for survey and plan approval staff in accordance with the requirements of IMO
Resolutions A.739(18) and A.789(19), ISO 9001:2008 and ISO/IEC 17020:2004, as
amended.

1.2 The overall objective of this PR is to provide training and qualification requirements for
personnel engaged in classification of ships and offshore installations in respect of both new
building and existing ships and offshore installations and statutory work carried out on behalf
of the appropriate national Administrations, as well as survey and certification of materials
and products, in compliance with the requirements of the Society Rules and Regulations,
IACS Procedural Requirements and International Conventions and Codes taking into account
IMO Resolution A.1053(27), as amended.

1.3 In applying this PR, each Society has the flexibility to adopt teaching methods which are
the most appropriate for the particular educational background, work experience and general
culture of trainees, or methods provided by the Society in their procedures and instructions.

1.4 The requirements of this PR do not apply to support staff assisting in the performance
of classification or statutory work. Such staff may carry out tasks to assist Surveyors or Plan
Approval staff but the Surveyor or Plan Approval Staff are responsible for the work of the
support staff and the technical content of the service. However support staff should have
education, training and supervision commensurate with the tasks they are authorized to
perform.

2. Definitions

2.1 Survey staff are exclusive and non-exclusive surveyors as defined in PR5 authorized
to carry out surveys and to conclude whether or not compliance has been achieved.

2.2 Plan approval staff are personnel authorized to carry out design assessment and to
conclude whether or not compliance has been achieved.

2.3 Trainee is a person receiving theoretical and practical training under the supervision of
a trainer/tutor.

2.4 Trainer is a designated person having experience within a relevant area or a person
considered knowledgeable in a special field recognized by the Society to give theoretical
training through classroom teaching, special seminars or individual training.

2.5 Tutor is a qualified and designated person from among the Society’s staff having
appropriate experience and capability in the relevant areas of activities in which they assist,
coach and supervise the practical training of a trainee until the latter is qualified.

Page 2 of 6 IACS Proc Req. 2009/Rev.1 2012

 No.7

3. Trainee entry requirements

No.7
(cont’d) Personnel newly employed by the Society to be qualified as survey and/or plan approval staff
of the Society, shall have as a minimum the following formal educational background:

- a degree or equivalent qualifications from a tertiary institution recognised within a

relevant field of engineering or physical science (minimum two years’ program), or

- relevant qualifications from a marine or nautical institution and relevant sea-going

experience as a certified ship officer,

- to be competent in the English language commensurate with their future work.

4. Modules

4.1 The Society shall define the required competence criteria for each relevant type of
survey and plan approval activity to be performed.

The Society shall define the necessary theoretical and practical training modules to cover the
competence criteria defined for survey and plan approval staff. The training modules shall
cover as a minimum:

- learning and competence objectives

- scope of training
- evaluation criteria and pass requirements.

4.2 Through studying the training modules, trainees shall acquire and develop general
knowledge and understanding applicable to different types of ships and types of work
according to the Society Rules and Regulations, IACS Procedural Requirements and
International Conventions and Codes taking into account IMO Resolutions A.789(19) and A.
1053(27), as amended.

5. Theoretical training for survey and plan approval staff

5.1 The objective of theoretical training is to provide familiarization with rules, technical
standards or statutory regulations and any additional requirements specific to the type of
survey or ships sufficient for the areas of activity.

5.2 Theoretical training shall include:

- General modules for theoretical training;

- Special modules for theoretical training in the particular speciality.

5.3 General modules for theoretical training shall include general subjects with respect to:

1) Activity and functions of IMO and Maritime Administrations.

2) Activity and functions of Classification Societies,
3) Classification of ships and offshore installations,
4) Types of certificates and reports issued on completion of class and statutory surveys,
5) Quality Management System,
6) Personal Safety regulations.
7) Legal and ethical issues.

Page 3 of 6 IACS Proc Req. 2009/Rev.1 2012

 No.7

5.4 The theoretical training for survey and plan approval staff shall be documented in a
No.7 training plan and developed according to the areas of activity (types or categories of surveys,
(cont’d) types of ships, subjects such as hull, machinery, electrical engineering etc.).

5.5 In case of an existing gap in the formal educational background in some particular area
of activity, theoretical training shall be extended.

5.6 In case survey or plan approval staff have obtained particular qualifications through
their previous work experience prior to their joining the Society, the training plan may be
reduced.

5.7 Extensions or reductions in the individual training plans shall be documented.

5.8 Theoretical training may be received through courses, seminars, meetings or other
learning methods (e.g. blended learning, e-learning, self-study, simulators, mobile learning
etc.).

6. Practical training for survey and plan approval staff

Practical training shall provide the trainee with the necessary knowledge and proficiency to
carry out survey or plan approval work independently. In case survey or plan approval staff
have obtained particular qualifications through their previous work experience prior to their
joining the Society, the training may be reduced and shall be documented.

6.1 Survey staff

6.1.1 Practical training shall be commensurate with the complexity of the survey (types or
categories of surveys, types of ships, specific subjects e.g. hull, machinery, and electrical
engineering) and shall be carried out under the supervision of a tutor.

6.1.2 Selection of particular surveys depends on the speciality/qualification to be granted and

shall include classification and statutory types of surveys of the following as appropriate:

- new construction,
- ships and offshore installations in operation,
- materials and equipment.

6.1.3 Practical training carried out shall be recorded.

6.2 Plan approval staff

6.2.1 Practical training shall be commensurate with the complexity of design assessment
(review of technical design of ships, review of technical documentation on materials and
equipment) and shall be carried out under the supervision of a tutor.

6.2.2 Practical training carried out shall be recorded.

7. Examinations and tests

7.1 Competence gained through the theoretical training shall be demonstrated through
written or oral examination or through suitable computer tests.

7.2 Examinations and tests shall cover the sets of modules attended by the trainee, as
applicable.

Page 4 of 6 IACS Proc Req. 2009/Rev.1 2012

 No.7

7.3 With respect to competence gained through practical training being demonstrated by:
No.7
(cont’d) 7.3.1 a surveyor, this should be accomplished by the surveyor completing the survey(s) and
demonstrating a satisfactory level of understanding associated with the competence whilst
under the supervision of the tutor. The results of the tutor’s review are to be recorded on the
respective training record.

7.3.2 a plan approval staff member, this should be accomplished by the staff member
satisfactorily completing the appraisal of drawings against the relevant classification rules and
statutory regulations as verified through a review by the tutor. The results of the tutor’s review
are to be recorded on the respective training record.

7.4 During examinations and tests, use of the relevant working documents (Rules,
Conventions, checklists, etc.) by the trainee is considered allowable.

8. Qualification

8.1 The criteria adopted by the Society for granting qualifications shall be documented in
the appropriate QMS documents.

8.2 After completion of the theoretical and practical training, with positive results, the
trainee is granted the appropriate authorizations to work independently. The activities which
they are qualified to perform (types of surveys, types of ships, types of design approval, etc.)
are identified.

9. Assessment of training effectiveness

9.1 The criteria adopted by the Society for training effectiveness assessment shall be
documented in the appropriate Society QMS documents.

9.2 Assessment of training effectiveness shall be done on short and long term basis.

9.3 Short term assessment may be a test/interview, course evaluation etc. at the end of a
training initiative.

9.4 Long term assessment may be done as part of the annual performance review and/or
through activity monitoring, ref. PR6.

10. Maintenance of qualification

10.1 The criteria adopted by the Society for maintenance or updating of qualifications shall
be in accordance with and documented in the appropriate Society QMS documents.

10.2 Maintenance of qualifications in accordance with these criteria is to be verified at annual

performance review and during activity monitoring, ref. PR6.

10.3 Maintenance and updating of qualifications may be done through any or a combination
of the following methods:

1) Training courses, seminars or meetings

2) Practical Training (on-the-job)
3) Other learning methods (e.g. blended learning, e-learning, self-study, simulators, mobile
learning etc.)

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 No.7

10.4 Maintenance of qualification may also require relevant training for individuals as
No.7 determined by
(cont’d)
- activity monitoring or
- long time absence of practical experience from the following two fields of work as
defined in PR6: survey and/or plan approval or
- annual performance review or
- any other means.

11. Records

Records shall be maintained for each surveyor/plan approval staff member, indicating:

1) Formal education background.

2) Professional experience prior to joining the Society.
3) Theoretical training.
4) Practical training.
5) Evidence of examinations and tests.
6) Professional experience during employment at the Society.
7) Periodical updating of knowledge.

End of Document

Page 6 of 6 IACS Proc Req. 2009/Rev.1 2012

 No.8

No.8
No.8 Procedure for Responding to Port State Control
(cont)
(Rev.0
July 2009) 1 Co-operation and Assistance
(Corr.1
Dec 2009) (i) Societies shall co-operate during port state control inspections by:
(Rev.1
Dec 2010) (a) Liaising with port state control authorities to ensure that class surveyors and/or
auditors are called in as appropriate when deficiencies related to class and
statutory matters are found.

(b) Liaising with port state control officers to ensure uniformity of interpretation of
class and statutory requirements.

(c) Providing port state control officer, upon request, with background information,
extracts from reports pertinent to the inspection, and details of outstanding
conditions of class and statutory items.

(d) Liaising with the flag state in accordance with prior agreement, and the owner’s
representative and/or company, in order to ensure that both parties are fully aware
of actions being taken that affect safety-related matters of either a class or
statutory nature.

(ii) Any request received from a port state to attend on board a ship should be dealt with
both promptly and positively by the Society or Societies issuing the relevant certificates in
order to:

(a) assist in the rectification of reported hardware deficiencies or other discrepancies,

and/or

(b) review proposed action with respect to safety management system non-
conformities. (In doing so, the auditor must proceed in accordance with the
requirements of Annex 3, Procedural Requirement No. 9).

Before attending the vessel, the surveyor and/or auditor should inform the company, either
directly or through the owner’s representative, of the purpose of their visit.

2 Deficiencies

(i) Port state control officers should be urged to list the deficiencies they find, together
with details of the corresponding convention certificate in each case, (e.g. SAFCON, Load
Line, Safety Equipment, ISM SMC etc) including name of the issuer, and the date of the last
survey.

Notes:

1. This Procedural Requirement applies from 1 July 2009.

2. Rev.1 of this Procedural Requirement applies from 1 July 2011.

Page 1 of 2 IACS Proc Req. 2009/Rev.1 2010

 No.8

(ii) Such lists should include:

No.8
(cont) (a) all hardware and management system deficiencies recorded in the port state
inspection report, including the number or detention code, as applicable, for each
deficiency,

(b) details of actions taken with respect to the class and statutory deficiencies
identified,

(c) details of any outstanding deficiencies on departure that have been agreed by the
port state control officer and the surveyor and/or auditor. A date must be set by
which each such deficiency is to be specially examined and/or dealt with as
necessary.

3 Detention Reports and Statistics

(i) Reported hardware and management system deficiencies are to be examined

promptly and the following actions are to be taken:

(a) The attending surveyor and/or auditor should provide detailed comments on any
class or statutory deficiency,

(b) In accordance with prior agreement, the flag state is to be provided with a
summary of the deficiencies and the actions taken.

(ii) A database of deficiencies reported by port state control officers shall be maintained.

(iii) The information contained on the database is to be such that recurring violations can
be readily identified by type and ship, and is to include information on actions taken.

4 Performance

A system shall be maintained to monitor the performance of each classification society.

5 Sub-contracting Port State Control Duties

Societies shall follow principles established:

a) to encourage port state control authorities to undertake their duties with their own staff
(and not delegate),

b) to indicate that they are willing to assist port state control officers with technical
training.

End of
Document

Page 2 of 2 IACS Proc Req. 2009/Rev.1 2010

 No.9

No.9
No.9 Procedural Requirements for ISM Code
(Rev.0
(cont)
July 2009) Certification
(Rev.1
Jan 2010) INTRODUCTION
(Corr.1
Mar 2010) The IACS "Procedural Requirements for ISM Code Certification" reflect, as applicable, IMO
(Rev.2 Resolution A.1022(261118(30) "Revised guidelines on the implementation of the International
Sep 2012) Safety management (ISM) Code by Administrations" and IMO Resolution A.741(18)
(Rev.3 “International Safety Management (ISM) Code” as amended.
Apr 2018)
This document and its Annexes provide the Classification Societies with procedures and
criteria for the conduct of audits to verify compliance with the requirements of the ISM Code
and for the issuance of the corresponding Documents of Compliance (DOCs) and Safety
Management Certificates (SMCs), including short term and interim DOCs and SMCs. Also
provided are procedures governing the actions to be taken by Classification Societies when
deficiencies associated with the ISM Code are identified by Port State Control Officers
(PSCOs).

Where a Classification Society Recognized Organization (RO) performs verification audits on

behalf of a Flag an Administration, any certificates issued must comply with the format
required by the ISM Code and the Administration.

Resolution A.739(18) "Guidelines for the Authorisation of Recognised Organisations acting on

behalf of the Administrations", which was made mandatory by Chapter XI of SOLAS 74 and
Resolution A.996(25) “Code for the implementation of Mandatory IMO Instruments 2007” are
applicable when Administrations recognise Classification Societies acting on their behalf.

The “Code for Recognized Organizations” (RO Code) adopted by the Organization by
resolutions MSC.349(92) and MEPC.237(65), which was made mandatory by Chapter XI-1/1
of SOLAS 74 is applicable when Classification Societies act on behalf of the Administrations.

The Classification Societies have agreed that statutory authorisation as a Recognised

Organisation (RO) for When acting as an RO, ISM Code certification services will are to be
held provided by the Classification Society itself and not by one of its subsidiaries.

Where two or more Classification Societies ROs are involved in the ISM Code certification of
a single Company, arrangements should shall be made for appropriate communications
between them to ensure the exchange of the relevant information.

Note:

1. This procedural requirement applies from 1 July 2009.

2. Rev.1 of this Procedural Requirement applies from 1 July 2010.

3. Rev.2 of this Procedural Requirement applies from 1 February 2013.

4. Rev.3 of this Procedural Requirement applies from 1 July 2018.

Page 1 of 22 IACS Proc Req. 2009/Rev.3 2018

 No.9

1. GENERAL
No.9
(cont) 1.1 Definitions

1.1.1 "Audit" means a process of systematic and independent verification, through the
collection of objective evidence, to determine whether the SMS complies with the
requirements of the ISM Code and whether the SMS Safety Management System (SMS) is
implemented effectively to achieve the Code’s objectives.

1.1.2 "Auditor" means a person who is qualified and authorised to carry out ISM audits in
accordance with the requirements of PR10.

1.1.3 "Lead auditor" means an auditor who is authorised to lead a team of two or more
auditors.

1.1.4 "Branch Office" means an office that is part of a shore-based location identified by the
Company, is responsible under the Company’s control ISM Code which may perform safety
management system related tasks and is subject to operating under the same Safety
Management System (SMS). of the Company.

1.1.5 "Observation" means a statement of fact made during a safety management audit and
substantiated by objective evidence. It may also be a statement made by the auditor referring
to a weakness or potential deficiency in the SMS which, if not corrected, may lead to a non-
conformity in the future.

1.1.6 “Safety Management Manual" is the documentation used to describe and implement
the Safety Management System (SMS).SMS.

1.1.7 "Technical deficiency" means a defect in, or failure in the operation of, a part of the
ship’s structure or its machinery, equipment or fittings.

1.1.8 “Non-conformity” means an observed situation where objective evidence indicates the
non-fulfilment of a specified requirement.

1.1.9 “Major non-conformity” means an identifiable deviation that poses a serious threat to
the safety of personnel or the ship or a serious risk to the environment that requires
immediate corrective action or the lack of effective and systematic implementation of a
requirement of the ISM Code.

1.2 Scope and Application

1.2.1 This document establishes basic procedures for:

(i) the conduct of interim, initial, periodic scheduled and additional shore-based and
shipboard audits against the ISM Code;

(ii) the issue of ISM certificates to Companies and ships and their subsequent
endorsement.

1.2.2 This document is intended for use by applies to Classification Societies when they are
acting as Recognised Organisations ROs on behalf of Administrations under the provisions of
SOLAS Chapter IX, and, except for paragraph 2.1, to Classification Societies when
conducting audits for the issue of voluntary ISM Code Certificates.

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 No.9

1.2.3 This document also establishes basic procedures for Classification Societies ROs to
No.9 follow when potential failures of the shipboard SMS are identified by Port State Control
(cont) Officers.

2. VERIFYING COMPLIANCE WITH THE ISM CODE

2.1 Responsibilities of the Recognised Organisation RO

2.1.1 Criteria for verification of compliance with the requirements of the ISM Code shall be
in accordance with the applicable sections of IMO Resolution A.1022(26)1118(30) "Revised
guidelines on the implementation of the ISM International Safety Management (ISM) Code by
Administrations" and IMO Resolution A.741(18) “International Safety Management (ISM)
Code” as amended.

2.1.2 A Classification Society RO performing verification of compliance with the ISM Code
shall have, within its organisation, competence in relation to:

(i) the rules and regulations with which Companies must comply;

(ii) the approval, survey and certification activities relevant to maritime certificates;

(iii) the terms of reference of the SMS required by the ISM Code;

(iv) practical experience of ship operations;

(v) the assessment of management systems.

2.1.3 A Classification Society RO performing verification of compliance with the provisions

of the ISM Code shall ensure that personnel providing ISM-related consultancy services and
personnel providing the certification are entirely independent.

2.1.4 Management of ISM Code certification services shall:

(i) be carried out by those who have practical knowledge of ISM Code certification
procedures and practices;

(ii) ensure that the auditor(s) comply with the requirements relating to education,
training, work experience and audit experience specified;

(iii) ensure that the qualification and experience of auditors are adequate and
appropriate for the size and complexity of the Company or ship to be audited.

2.1.5 A Classification Society RO performing ISM Code certification shall have implemented
a documented system for the qualification and continuous updating of the knowledge and
competence of personnel who perform verification of compliance with the ISM Code.

This system shall provide for:

(i) theoretical training covering all the competence requirements specified in PR 10

PR10 and the application of the procedures governing the certification process;

(ii) supervised practical training as specified in PR 10 PR10;

(iii) the creation and maintenance of records of the theoretical and practical training
undertaken by each trainee.

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 No.9

2.1.6 A Classification Society RO performing ISM Code certification shall have implemented
No.9 a documented system ensuring that the certification process is performed in accordance with
(cont) this procedure. This system shall include procedures and instructions for the following:

(i) the establishment of contracts for the provision of ISM certification services;

(ii) the planning, preparation and conduct of ISM audits;

(iii) the reporting of ISM audits;

(iv) the issue of interim and full-term DOCs and SMCs;

(v) the evaluation and follow-up of corrective actions, including action to be taken in
response to major non-conformities. (Refer to Article 5 of Appendix to IMO Res/.
A.1022(26)1118(30) and MSC/Circ.1059/MEPC/Circ.401).

2.2 The ability of the SMS to meet safety management objectives

2.2.1 The purpose of an audit is to verify that:

(i) the SMS complies with the requirements of the ISM Code;

(ii) the SMS is being implemented effectively and in such a way as to ensure that
the objectives of the ISM Code are met.

2.2.2 All records having the potential to facilitate verification of compliance with the ISM
Code shall be open to scrutiny during an audit. For this purpose, the Company shall provide
auditors with statutory and classification records relevant to actions taken by the Company to
ensure that compliance with mandatory rules and regulations is maintained. In this regard,
records may be examined to substantiate their authenticity and veracity. If the DOC or SMC
are not issued by the same organisation that issues the statutory and classification
certificates, The Company shall ensure that the auditor has access to those statutory and
classification records during audits, also when these records are issued by another
Classification Society, other RO or the Administration itself.

2.2.3 The audit is based upon a sampling process. Where no non-conformities have been
reported, it should not be assumed that none exists.

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 No.9

3. THE CERTIFICATION PROCESS

No.9
(cont) 3.1 Certification Activities

3.1.1 Document of Compliance (DOC)

[Link] A DOC shall be issued to a Company following an initial or renewal verification of

compliance with the requirements of the ISM Code.

[Link] The Company shall make available copies of the DOC to each office location and
each ship covered by the SMS.

[Link] On completion of the audit, to facilitate the review of the auditor’s report prior to the
issue of the full-term certificate, a DOC with validity not exceeding five (5) months years may
be issued by the auditor. A certificate of shorter validity may be issued in accordance with
RO’s procedures and flag State requirements.

3.1.2 Safety Management Certificate (SMC)

[Link] A SMC shall be issued to a ship following an initial or renewal verification of

compliance with the requirements of the ISM Code.

[Link] A copy of the SMC shall be available at the Company’s Head Office.

[Link] The issue of a SMC is conditional upon:

(i) the existence of a full term DOC (not interim), valid for that type of ship;

(ii) the maintenance of compliance with the requirements of a Classification Society

which meets the requirements of IMO Resolution A.739(18) and A.789(19), RO
Code, as may be amended, or with the national regulatory requirements of an
Administration a flag State which provide an equivalent level of safety; and

(iii) the maintenance of valid statutory certificates.

[Link] On completion of the audit, to facilitate the review of the auditor’s report prior to the
issue of the full-term certificate, an SMC with validity not exceeding five (5) months years may
be issued by the auditor. A certificate of shorter validity may be issued in accordance with RO
procedures and flag State requirements.

3.2 Interim and initial verification

3.2.1 Interim verification for the issue of an interim DOC to a Company and an interim SMC
for a ship is carried out as described in ISM Code Section 14. The interim verification for
issuance of an interim DOC includes a review of the safety management system
documentation.

3.2.2 Initial verification for the issue of a DOC to a Company consists of the following steps:

(i) A satisfactory review of any changes made to the documented SMS since the
interim DOC was issued;

(ii) Verification of the effective functioning of the SMS, including objective evidence
that the Company’s SMS has been in operation for at least three (3) months on
board at least one ship of each type operated by the Company. The objective

Page 5 of 22 IACS Proc Req. 2009/Rev.3 2018

 No.9

evidence shall include records from the internal audits performed by the
No.9 Company ashore and on board and the statutory and classification records for at
(cont) least one ship of each type operated by the Company.

3.2.3 The initial verification for issuing a SMC to a ship consists of the following steps:

(i) Verification that the Company holds a valid DOC applicable to the ship type and
that the other provisions of paragraph [Link] are complied with. Only after on-
board confirmation of the existence of a valid DOC can the verification proceed;

(ii) Verification of the effective functioning of the SMS, including objective evidence
that the SMS has been in operation for at least three (3) months on board the
ship. The objective evidence should also include records of the internal audits
performed by the Company.

3.3 Annual verification or renewal of the Document of Compliance

3.3.1 The purpose of these audits is, inter alia, to verify:

(i) the effective functioning of the SMS;

(ii) that any modifications made to the SMS comply with the requirements of the
ISM Code;

(iii) that corrective action has been implemented;

(iv) that statutory and classification certificates are valid and that no surveys are
overdue.

3.3.2 The statutory and classification certification for at least one ship of each type identified
on the DOC shall be verified.

3.4 Intermediate verification or renewal of Safety Management Certificates

3.4.1 The purpose of these audits is, inter alia, to verify:

(i) the effective functioning of the SMS;

(ii) that any modifications made to the SMS comply with the requirements of the
ISM Code;

(iii) that corrective action has been implemented;

(iv) that statutory and classification certificates are valid and that no surveys are
overdue.

3.5 Preparing the audit

3.5.1 The auditor(s) in co-operation with the Company or Ship shall produce an audit plan.

3.5.2 The audit plan should be designed to be flexible in order to permit changes in
emphasis based on information gathered during the audit, and to permit the effective use of
resources. This plan shall be communicated to all those involved in the audit.

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 No.9

No.9 The audit plan shall include:

(cont)
(i) identification of the individuals or organizational units having significant direct
responsibilities within the SMS;

(ii) identification of the auditor(s);

(iii) the language of the audit;

(iv) the date and place where the audit is to be conducted;

(v) the schedule of meetings to be held with Company’s management.

3.5.3 Initial, intermediate and renewal shipboard verification audits shall be performed only
under normal operating conditions, e.g. when the ship is not in dry dock or laid up. Interim
audits may be conducted in circumstances other than normal operating conditions, provided
that the ship is fully manned in accordance with its Safe Manning Certificate.

3.6 Executing the audit

3.6.1 All scheduled, routine DOC and SMC audits (initial, intermediate, annual and renewal)
shall be fully scoped audits covering all elements of the ISM code and all aspects of the
management of shipboard safety and pollution prevention.

3.6.2 The audit shall begin with an opening meeting, the purpose of which is to:

(i) introduce the auditor(s) to the Company’s or shipboard management;

(ii) explain the scope and objective of the audit;

(iii) provide a short summary of the methods and procedures to be used to conduct
the audit;

(iv) establish the official communication links between the auditor(s) and the
Company or shipboard personnel;

(v) confirm that the resources, documentation and facilities needed to perform the
audit are available;

(vi) confirm the time and date of the closing meeting and any possible interim
meetings.

3.6.3 Working documents used to facilitate the audit and to document the results may
include:

(i) checklists used for evaluating SMS elements, and

(ii) forms for reporting observations and documenting supporting evidence.

Working documents should not restrict additional activities or investigations that may become
necessary as a result of information gathered during the audit.

3.6.4 Consideration should be given to the limitations that may be placed on the auditor’s
ability to gather information and collect objective evidence when audits are carried out during

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 No.9

the hours of darkness or other similarly restrictive operational conditions. Further visits may
No.9 be necessary to complete the audit.
(cont)
3.6.5 The auditor should take into account any changes made to the SMS since the last
external audit carried out.

3.6.6 The auditor(s) shall assess the SMS on the basis of the documentation presented by
the Company and objective evidence of its effective implementation. Such evidence shall be
collected through interviews, review of documentation and records, observation of activities
and examination of the condition and operation of the ship and its equipment and technical
systems.

3.6.7 Annual and renewal audits of the Company may include a review of non-conformities
reported in relation to previous internal and external Company and shipboard audits. The
auditor should select a sample of the reported non-conformities and audit the Company’s
investigation, analysis, and resolution of the non-conformities in accordance with the
requirements of sections 9 and 12 of the Code.

3.6.8 When auditing a Company managing ships classed by another society, or for which
the Administration or another societyRO performs the statutory surveys, the auditor shall
review the statutory and classification survey records for at least one ship of each ship type to
which the DOC is to apply. These records shall be made available at the Company’s office
(refer to 2.2.2).

3.6.9 When auditing a ship that is classed by another society or which the Administration or
another RO have performed statutory surveys or has issued the DOC to the Company,, as a
part of the audit process the auditor shall, at the beginning of the audit, review the statutory
and classification survey records which should be made available onboard (refer to 2.2.2).

3.6.10 The auditor is entitled to acquire information from other societies Classification
Societies, ROs or the Administration, in order to check the veracity of the information
presented to the auditor by the Company (refer to 2.2.2).

3.6.11 Audit findings shall be documented in a clear, concise manner and supported by
objective evidence. These shall be reviewed by the auditor(s) in order to determine which are
to be reported as major non-conformities, non-conformities, or observations.

3.6.12 At the end of the audit, prior to preparing the audit report, the auditor(s) shall hold a
meeting with the senior management of the Company or ship and those responsible for the
functions concerned. The purpose of the meeting is to present major non-conformities, non-
conformities and observations to the Company or shipboard management in such a manner
that they clearly understand the results of the audit.

3.7 Audit report

3.7.1 The audit report shall be prepared by the lead auditor, based on information gathered
by and discussed with the audit team members. It must be accurate and complete, reflect the
content of the audit and should include the following items:

(i) the date of completion of the audit;

(ii) the scope and objectives of the audit;

(iii) auditor(s), Company’s representatives;

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 No.9

(iv) all major non-conformities, non-conformities, and observations.

No.9
(cont) 3.7.2 The audit report shall be made available to the Company or ship as applicable.

3.7.3 The Company should maintain reports and records of all audits performed both
ashore and on board its ships (refer to 2.2.2).

3.8 Corrective Action Follow-up

3.8.1 The non-conformity report (NCR) should state clearly the act or situation identified as
non-compliant with the Company’s SMS or the ISM Code.

3.8.2 The content of the non-conformity report shall be complete and concise and written in
such a manner as to be easily understood. Clarity should not be sacrificed for the sake of
brevity.

3.8.3 When writing NCRs auditors should, whenever possible, include a reference to the
applicable requirement of the Company’s SMS, and when necessary for the sake of clarity,
restate the requirement.

3.8.4 NCRs shall include a reference to the relevant clause or sub-clause of the ISM Code.

3.8.5 A DOC or SMC may be issued, endorsed or renewed before all identified non-
conformities have been closed out provided that a schedule has been agreed between the
Company and the auditor(s) for the implementation of the necessary corrective actions.

3.8.6 Additional audit(s) may be necessary to confirm the validity of a DOC and/or SMC
depending on the nature of any non-conformities identified. The Company is responsible for
applying for any follow-up audit required by the auditor.

3.8.7 The Company is responsible for formulating and implementing corrective actions for
the non-conformities identified by the auditor(s). A corrective action plan shall be submitted to
the auditor within an agreed time period. The proposals will be accepted if, as written, they
appear to be an appropriate response to the non-conformities identified. A schedule not
exceeding three (3) months from the date of completion of the audit shall be agreed for the
implementation of the corrective actions. The effectiveness of the corrective actions shall be
verified not later than the next scheduled audit (annual, intermediate or renewal).

3.8.8 The review of the Company’s responses to non-conformities described in paragraph

3.6.7 is applicable only to non-conformities that are not considered to be major.

3.8.9 Failure to implement the agreed Corrective Action may be treated as grounds for
invalidation of the DOC or SMC.

3.9 Company responsibilities pertaining to safety management audits

3.9.1 The verification of compliance with the requirements of the ISM Code does not relieve
the Company, management, officers or seafarers of their obligation to comply with national
and international legislation related to safety and protection of the environment.

3.9.2 The Company is responsible for:

(i) informing relevant employees or organizational units about the objectives and
scope of the audit;

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 No.9

(ii) appointing responsible members of staff to accompany the auditor(s);

No.9
(cont) (iii) providing the resources needed by the auditor(s) to ensure an effective and
efficient verification process;

(iv) providing access and objective evidence as requested by the auditor(s);

(v) co-operating with the auditor(s) to ensure that the audit objectives are achieved;

(vi) informing the RO about significant changes to the SMS, which may need an
additional audit by the RO. These include major restructuring of the system (for
example, the establishment of Branch Offices) and changes in the operations
that introduce new hazards;

(vii) requesting additional audit, when required.

3.10 Responsibilities of the audit team

3.10.1 The auditor is responsible for:

(i) planning and carrying out assigned responsibilities effectively and efficiently;

(ii) complying with the applicable requirements and other appropriate directives;

(iii) reporting any major obstacles encountered in performing the audit;

(iv) organising specialist technical assistance required to fulfil the competence

requirements of the audit when necessary;

(v) clearly communicating non-conformities and observations to the Company or

shipboard management immediately;

(vi) reporting the full audit results clearly, conclusively and without undue delay;

(vii) making the audit report available to the Company or shipboard management;

(viii) verifying the effectiveness of corrective actions taken by the Company.

3.10.2 Documents and information pertaining to the certification shall be treated in

confidence.

3.10.3 An ISM auditor identifying a technical deficiency deemed to present a serious threat to
safety or the environment or that requires attention by class the responsible Classification
Society or the flag Administration shall:

(i) establish if the Company has taken appropriate action to correct the technical
deficiency. In every case the auditor shall establish that such technical
deficiencies have been reported to the responsible Class Classification Society
or flag Administration;

(ii) establish whether the technical deficiency constitutes or is symptomatic of a

major non-conformity and, if so, follow the requirements of section 3.11.

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 No.9

3.11 Response to Major non-conformities

No.9
(cont) 3.11.1 A major non-conformity raised on a ship must be downgraded before the ship can sail.
Downgrading may take place only after verifiable action has been taken to remove any
serious threats to personnel, the ship or the environment. An acceptable plan for
implementation not exceeding three (3) months should be agreed for completion of the
necessary corrective actions.

3.11.2 Following the downgrading of a major non-conformity, at least one additional audit
should be carried out on board the ship within the time frame indicated in the agreed
corrective action plan to verify that effective actions have been taken (refer to IMO Circular
MSC/Circ.1059). In addition to the additional shipboard audit, an additional audit of the
Company’s shore-based operations may also be carried out if the auditor deems it necessary.

3.11.3 If an audit is carried out later than the specified time window a major non-conformity
shall be raised.

3.11.4 Where a major non-conformity has been raised because a DOC audit has not taken
place within the specified time, the associated SMCs continue to remain in place without any
additional verification provided that no other major non-conformity remains unresolved.

3.11.5 All major non-conformities, including those that are downgraded before the completion
of the audit, shall be reported to the corresponding flag Administrations as follows:

(i) Major non-conformities identified during office audits shall be reported to all flags
Administrations on whose behalf DOCs have been issued and by which the
society RO is authorised.

(ii) Major non-conformities identified during shipboard audits shall be reported only
to the flag Administration of the ship concerned.

3.11.6 Where the corresponding DOC has been issued by a recognised organisation RO,
major non-conformities identified during shipboard audits shall be reported to that
organisation RO.

3.11.7 A DOC or SMC cannot be issued, endorsed or renewed if a major non-conformity

exists.

3.12 Withdrawal of Certification

3.12.1 The Company shall be required to notify the affected ships immediately its DOC is
withdrawn.

3.12.2 A Company whose Document of Compliance has been withdrawn should not be
issued with an Interim Document of Compliance. Furthermore, a new Document of
Compliance should not be issued unless an initial verification has been carried out. The
expiry date of the new Document of Compliance should be the same as that of the withdrawn
document.

3.12.3 Where the associated Safety Management Certificates are withdrawn as a result of
the withdrawal of Document of Compliance caused by a major non-conformity, new Safety
Management Certificates should not be issued unless the Document of Compliance has been
reinstated and a verification to the scope of an initial verification has been carried out on
board a representative sample of the ships. At least one ship of each type operated by the
Company should be verified.

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 No.9

No.9 3.12.4 An Interim Safety Management Certificate shall not be issued to a ship from which the
(cont) Safety Management Certificate has been withdrawn as a result of a major non-conformity.
Furthermore, a new Safety Management Certificate should not be issued unless an initial
verification has been carried out on board the ship. In addition, depending on the nature of
the major non-conformity raised against the Safety Management System implemented on
board the ship, the validity of the Document of Compliance may also need to be verified by an
audit, equivalent in scope to an annual audit, prior to the issue of the Safety Management
Certificate. The new Safety Management Certificate should have the same expiry date as the
withdrawn certificate.

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 No.9

Annex 1
No.9
(cont) COMPANY BRANCH OFFICE VERIFICATION

1 General

(i)(1) Where a Company assigns SMS responsibilities to Branch Offices, the verification shall
include a representative sample of those offices. The sample selected shall be sufficient to
ensure that all elements of the SMS and all requirements of the ISM Code can be assessed.

(ii)(2) The audit of each Branch Office shall address each requirement of the ISM Code
relevant to that office.

(iii)(3) The Company shall have performed internal audits of all Branch Offices and relevant
records shall be made available to the auditors.

(iv)(4)) Where the Company assigns SMS responsibilities to Branch Offices, the list of Branch
Offices shall be indicated in an attachment to the DOC.

2 Initial DOC audit

1) Where the same activities are performed by all Branch Offices, the number of Branch
Offices to be verified is:

a. two if the total number of Branch Offices is two or three;

b. three if the total number of Branch Offices is from four to six; and

c. to be agreed if the total number of Branch Offices is more than six.

2) Where different activities are performed by Branch Offices, the number of Branch
Offices performing the same activities to be verified is:

a. two if the total number of Branch Offices performing the same activities is two or
three;

b. three if the total number of Branch Offices performing the same activities is from
four to six; and

c. to be agreed if the total number of Branch Offices performing the same activities
is more than six.

3) Notwithstanding the above, if a Company nominates an office as its Head Office then
it must be audited as part of the initial verification.

3 Annual DOC audit

1) Annual audit shall ensure that all Branch Offices are visited during the period of
validity of the DOC. The audit of the Branch Offices shall be agreed with the Company. The
frequency of Branch Office audits shall be determined based on the nature and extent of the
activities undertaken by each Branch Office.

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 No.9

2) If an additional Branch Office is included by the Company in its SMS during the period
No.9 of validity of the DOC, it shall be verified no later than at the next scheduled verification. at
(cont) which time the additional Branch Office shall should be added to the list of Branch Offices.
included in the DOC when the DOC is endorsed.

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 No.9

Annex 2
No.9
(cont) COMMUNICATIONS WITH FLAG STATES AND BETWEEN CLASSIFICATION
SOCIETIES ROs

1) To ensure that the requirements of SOLAS Chapter I Regulation 6(d), SOLAS

Chapter IX, IMO Resolution A.1022(26)1118(30) and Resolution A.741(18) as amended are
fulfilled, the following communication procedures must be followed when a DOC or SMC
become invalid according to paragraph 3.11.

2) When a certificate is invalidated, the issuing society RO shall inform the flag State and
other ROs using the form "Notification of Invalidation of ISM Certification" attached to this
document as Annex 7 or by other means including the same information.

3) The communication shall be limited to the identity of the ship, the Company, the
substance of the major non-conformity and the date of audit.

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 No.9

Annex 3
No.9
(cont) PORT STATE CONTROL

1) When attending a ship as a result of a Port State Control action, the Classification
Society RO that issued the SMC shall consider the objective evidence presented by the
PSCO.

2) Where the auditor considers that the evidence indicates the presence of a major non-
conformity, the major non-conformity shall be documented in the usual way, the Company
shall be notified immediately and the auditor shall proceed as indicated in paragraph 3.11.

3) In the absence of any specific instructions to the contrary, the scope of any additional
audit carried out following the detention of a ship that holds an interim SMC shall include, as
a minimum, the deficiencies identified by PSCO. Implementation will be verified to the extent
that the available evidence permits.

4) In cases where the PSCO alleges that there is evidence of a major non-conformity,
and the auditor of the SMC-issuing Classification Society RO considers that there is not, the
PSCO, under the authority vested in the officer by the authorities of the port, will decide what
further action is to be taken.

5) If the auditor of the SMC-issuing Classification Society RO disagrees with the actions
taken by the PSCO, the auditor is to provide the PSCO with a written explanation of the
disagreement and inform the flag State.

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 No.9

Annex 4
No.9
(cont) SHIP TYPES ON ISM CERTIFICATES

1 Determination of ship types to be listed on DOCs and SMCs

1) The ship types listed on DOCs and SMCs shall be consistent with the specific ship
types defined in SOLAS and on pertinent SOLAS documentation aboard ship.

2) The ship types listed on DOCs and SMCs shall be consistent with the service in which
the ship operates. Some ships are designed for use in multiple services (for example OBOs).
The ship types listed on the DOC and SMC must reflect the service(s) in which the ship is
actually trading and fit to serve.

3) In the event that a multipurpose ship is voluntarily operated in only one of the services
for which it is designed, then the DOC and SMC should list only the ship type corresponding
to that service. When a ship is transferred to another service for which it is designed, an
interim DOC and SMC identifying the ship type appropriate to the new service may be issued.
Subsequent to satisfactory verification of the ship’s operation under a fully functional SMS for
the additional ship type, the DOC and SMC may be reissued listing the pertinent ship types.

2 Retention of ship types on DOCs

1) The auditor shall determine at each annual scheduled (see 3.6.1) audit of the
Company, the ship types operated by the Company at the time of the audit. If the auditor
discovers that the Company no longer operates a ship type listed on the DOC, the auditor is
to should either delete this ship type from the DOC immediately, or document an observation,
and to formally (documented) request advise the Company to inform the issuing Classification
Society should it not operate that the identified ship type for a period exceeding one year.
Upon receipt of will be removed from the DOC if this advice, situation persists at the next
scheduled audit. The DOC shall be re-issued at the next scheduled audit, no longer listing the
ship type that is no longer operated.

2) If, at a scheduled audit, the auditor determines that the Company has not been
operating ships of a particular type since a previous audit, then this ship type should be
removed from all DOC’s. If however, the Company continues to manage ships of a particular
type within its fleet then, unless otherwise instructed by the Administration, all DOC’s may be
endorsed for this ship type.

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 No.9

Annex 5
No.9
(cont) COMPANY CERTIFICATION SCENARIOS

Type of Carried Certificate

Scenario Minimum scope of audit
audit out by: issued
1 Change of Verification - Verify that Company organisation Auditor Reissue DOC
Company name Audit on site and responsibilities remain and SMCs with
and/or address essentially unchanged. new name.
- Ensure that necessary changes (expiry date as
have been made to SMS previous
documentation. certificates)
- Verify that changes have been
reported to Administration(s) to
update the CSR for each vessel.
2 Change to RO Initial audit - Audit to address all elements of the Auditor Full term DOC
from a ISM Code. valid 5 years
Classification - All corrective action to be verified from date of
Society not and previous NCNs to be closed audit
holding a QSCS out by the gaining society.
certificate
3 Additional ship Interim audit - Review changes to SMS to Auditor Interim DOC for
type on DOC on site accommodate new ship type. new ship type
- Review plans to implement
changes (minimum of 1 ship
required).
4 Change from Additional - Verify additional requirements for Auditor DOC (expiry
Interim DOC to audit on site ship type have been implemented. date as for
full DOC in - Review results of internal audit. existing ship
Scenario 3 type)
5 Minor change to Verify at next - Assess potential impact on SMS No action
SMS audit when advised and decide whether
visit is required.
6 Major change to Verify on site - Verify changes are appropriate and Auditor No action
SMS adequate for new circumstances.
7 Additional flag Verify at next - Verify availability of flag State Auditor If accepted by
audit instructions and their incorporation Flag, issue DOC
Additional into the management system. (expiry date as
audit on site other Flags’
DOCs)
Full term
certificate with
same expiry date
as the DOC
issued on behalf
of the other flag
State(s)

Note: The above shall apply in the absence of any instructions to the contrary from the Flag
Administration.

Note: Above scenarios may be subject to flag State requirements and should only be applied in the absence of
any instructions from the Administration.

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 No.9

Annex 6
No.9
(cont) SHIP CERTIFICATION SCENARIOS
Scenario Type of Minimum Scope of Audit Carried Out Certificate
Audit By: Issued
1 Change of Verification - Verify correct name on all Auditor or Change name on
Name on board Certificates and Documents. Surveyor existing SMC OR
change name
Note: Must be amended by issuing and
RO or by special arrangement. subsequently
issue
replacement
certificate
2 Change of Verification - Valid DOC for new flag sighted. Issuing Issue
Flag on board - Evidence of Owners information to Classification replacement
new Flag sighted. Society SMC.
- Valid statutory certificates, safe Auditor or (expiry date as
manning certificate and Flag Surveyor previous
endorsement. certificate)
- Verification of crew certification
compliance with Flag
requirements.
- Masters awareness of, and
availability of any relevant Flag
Regulations.
3 Change of Interim audit - Review documentation and plans Auditor Interim SMC
ship type on board for implementation of procedures
with new relating to operation of new ship
shipboard type.
operations - Check valid statutory certificates
and crew qualifications comply
with STCW.
4 Adding IMO Interim audit - Review documentation and plans Auditor Interim SMC
ship Type on board for implementation of procedures (in addition to
(e.g. from relating to operation of new ship existing SMC)
bulk carrier type.
to OBO) - Check valid statutory certificates
and crew’s qualifications.
5 Change to Initial audit - Audit to address all elements of Auditor Issue SMC
RO from a ISM Code. (maximum 5
Classification years from date
Society not of audit)
holding a
QSCS
certificate
6 Change of Audit on - Evidence of surrender of SOLAS Auditor or Amend SMC to
ship Type, board or MARPOL related certificates for surveyor reflect new ship
dual to single the original ship type. (e.g. type and
(e.g. OBO to surrender of IOPP Supp B when subsequently
oil tanker) going from OBO to bulk on issue
permanent basis). replacement
certificate (same
expiry date)
7 Ship more Interim - Interim verification. Auditor Issue Interim
than 6 verification SMC
months out
of service
8 Intermediate Intermediate - Scope extended to that of initial Auditor The reinstated
audits Audit - Major NC raised that may be SMC to be
requested downgraded based on completion endorsed as
after the end of audit "Validity
of the audit - Additional audit within 3 months reinstated with
time window required scope as initial"

Note: The above shall apply in the absence of any instructions to the contrary from
the Flag Administration.

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 No.9

Annex 6
No.9
(cont) SHIP CERTIFICATION SCENARIOS

Action
Scenario Condition Scope of audit and certification
required
1 Change of ship’s Conducted by Verification 1. Verify correct ship’s name on all Certificates
name a surveyor or on board and Documents.
an auditor 2. Amend/reissue SMC with new ship’s name, as
appropriate.
Note: SMC must be amended by issuing RO or by
special arrangement1. Replacement SMC shall
have the same expiry date as the current SMC.
2 Change of flag Conducted by Interim audit 1. Interim audit as required by ISM Code, 14.4
an auditor. on board 2. Issue interim SMC.
3 Change in IMO ship Conducted by Interim audit 1. Interim audit as required by ISM Code, 14.4.
type an auditor. on board 2. Issue Interim SMC with new ship type.
4 Adding IMO ship Conducted by Interim audit 1. Interim audit as required by ISM Code, 14.4.
type (e.g. from bulk an auditor on board 2. Issue interim SMC with both ship types.
carrier to OBO)
5 Change of ship type, Conducted by Verification on 1. Evidence of surrender of SOLAS or MARPOL
dual to single (e.g. a surveyor or board related certificates for the original ship type. (e.g.
OBO to oil tanker) an auditor surrender of IOPP Supp. B when going from
OBO to bulk on permanent basis).
2. Amend/issue replacement SMC with
appropriate ship type and same expiry date as
the current SMC.
Note: SMC must be amended by issuing RO or
by special arrangement1.
6 Change to RO from Conducted by Initial audit on 1. Audit to address all elements of ISM Code.
a Classification an auditor board2 2. Issue SMC.
Society not holding a
QSCS certificate
7 Ship out of service Conducted by Additional audit Endorse SMC as appropriate.
between 3 and 6 an auditor if required by
months3 the flag State
8 Ship out of service Conducted by Interim audit on 1. Interim verification.
more than 6 months3 an auditor board 2. Issue Interim SMC.
9 Intermediate audits Conducted by Intermediate 1. Major NC raised that may be downgraded
requested after the an auditor audit on board based on completion of audit.
end of the audit time 2. Additional audit within 3 months required.
window 3. If reinstated, SMC to be endorsed with a
statement (e.g. Validity reinstated with scope as
initial). If re-issued, SMC to have same expiry
date as previous certificate.
10 Change of Company Attendance on 1. Verify DOC has been reissued with new
name and/or board not Company name and address.
address required 2. Reissue SMC with the new Company name
and address.

Note: Above scenarios may be subject to flag State requirements and should only be applied in the
absence of any instructions from the Administration.
1
The RO may with permission from the Administration authorize a surveyor from the vessel’s
Classification Society, if other than the ISM RO, to amend the documentation.
2
Vessels with interim SMC, and which are not yet ready for initial audit, shall be issued with an interim
SMC with same validity as the certificate issued by the losing RO. The auditor should take into account
that there may not yet be records for all activities.
3
These instructions do not apply to ships for which seasonal lay-ups are a normal part of their
operational routine – refer to MSC-MEPC.7/Circ.9.

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 No.9

Annex 7
No.9
(cont) NOTIFICATION OF INVALIDATION OF ISM CERTIFICATION

Document of Compliance

Safety Management Certificate

Ship’s Name: IMO No.

Company Name and Address Certificate No.

Issued by:

The audit was conducted on behalf of the government of:

Type of audit: Annual (office) Intermediate (ship) Additional Renewal

(Tick as appropriate)

REASON FOR INVALIDATION OF CERTIFICATION (specify):

Name: Position: Society: Date:

Distribution:

 To Company
 Copy to Administration
 Copy to Port State Authority (if appropriate)
 Copies to ROs responsible for issue of SMCs (office audit)
 Copy to RO responsible for issue of DOC (ship audit)
 Copy to Classification Society (ship audit)

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 No.9

Annex 8
No.9
(cont) VERIFICATION OF COMPLIANCE WITH FLAG ADMINISTRATION STATE
REQUIREMENTS

1) Unless otherwise instructed by the Administration, auditors will verify compliance with
particular flag State requirements by sampling in the same way that compliance with other
mandatory requirements is verified.

2) The same approach will be adopted when a ship changes flag. Compliance with any
special requirements that are imposed by the new flag State will be verified by sample at the
next scheduled audit. An audit for the issue of an interim certificate in relation to any
additional flag State requirements, followed by verification of full implementation, will be
carried out only when specifically requested by the Administration concerned.

3) Where flag Administrations require routine verification of compliance with specific flag
State requirements at every scheduled audit, either on board or ashore, the classification
societies ROs will make an estimation of, and reach agreement on, the additional time that
will need to be added to the usual audit duration. The flag Administration will then be
informed of the outcome and the fact that the audit duration will be increased accordingly.

End of
Document

Page 22 of 22 IACS Proc Req. 2009/Rev.3 2018

 No.10

No.10 Procedure for the Selection, Training,

(Rev.0 July
(cont’d)
2009)
Qualification and Authorisation of Marine
(Rev.1 Sep Management Systems Auditors
2012)
(Rev.2
Nov 2014)

Note:

1. This procedural requirement applies from 1 July 2009.

2. Rev.1 of this procedural requirement applies from 1 February 2013.
3. Rev.2 of this procedural requirement applies from 1 January 2015. Amendments to
auditor training requirements introduced in Rev.2 are applicable from 1 January 2015 to
new ISM auditors only.

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 No.10

LIST OF CONTENTS
No.10
(cont’d) 1. General

2. Competence requirements

3. Selection criteria

4. Theoretical training

5. Examination

6. Practical training

7. Training (general)

8. Authorisation

9. Maintenance of authorisation

10. Update training

Appendix 1. Detailed learning objectives

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 No.10

1. General
No.10
(cont’d) 1.1 This Procedural Requirement describes the IACS requirements for the selection,
training, qualification and authorisation of marine management systems auditors responsible
for verifying compliance with the ISM and ISPS Codes. These requirements have been
developed in accordance with the provisions outlined below.

1.2 Paragraph 4.2 of Appendix 1 of IMO Resolution A.739(18) “Minimum standards for
recognized organizations acting on behalf of the Administration” requires Recognised
Organisations to provide “a systematic training and qualification regime for professional
personnel engaged in the safety management system certification process, to ensure
proficiency in the applicable management criteria as well as adequate knowledge of the
technical and operational aspects of shipboard operational management”.

1.2bis Paragraph A2.3.5.2 of Appendix 2 of IMO Resolution MSC.349(92) “Specifications on

the survey and certification functions of recognized organizations acting on behalf of the flag
state” and MEPC.237(65) requires that “the system shall comply with the qualification and
training requirements for ISM Code assessors contained in the Guidelines on Implementation
of the International Safety Management (ISM) Code by Administrations” adopted by
Resolution A.1071(28).

1.3 Paragraphs 3 and 4 of the Appendix to IMO Resolution A.1071(28) “Standards on ISM
Code certification arrangements” contain standards of competence and qualification
arrangements for those who are to participate in verification of compliance with the
requirements of the ISM Code.

1.4 Paragraph 4.2 of Appendix 1 of IMO Circular MSC/Circ.1074 “Interim guidelines for
the authorization of Recognized Security Organizations acting on behalf of the Administration
and/or Designated Authority of the Contracting Government” requires “the provision of a
systematic training and qualification regime for its professional personnel engaged in the
maritime management system certification process to ensure proficiency in the applicable
quality and security management criteria as well as adequate knowledge of the technical and
operational aspects of maritime security management.”

2. Competence requirements for marine management systems auditors

2.1 Those responsible for verifying compliance with the requirements of the ISM and ISPS
Codes must be able to demonstrate knowledge and understanding of:

1. The principles and practice of management systems auditing.

2. The requirements of the ISM and ISPS Codes and their interpretation and application.

3. Mandatory rules and regulations and applicable codes, guidelines and standards
recommended by the IMO, Administrations, classification societies and maritime
industry organisations.

4. Basic shipboard operations including emergency preparedness and response.

See Appendix 1 for a more detailed list of learning objectives.

2.2 In addition, they must demonstrate that they have the ability to apply such knowledge
and understanding and that they are capable of carrying out effective verification audits of the

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 No.10

shore-based and shipboard aspects of marine management systems against the ISM and
No.10 ISPS Codes as applicable.
(cont’d)
2.3 The competences described above may be acquired as a result of any combination of
the following:

1. Previous relevant qualifications and experience.

2. Theoretical training.

3. Practical training.

3. Selection Criteria

3.1 In order to be accepted for training as a marine management systems auditor, the
candidate must have, as a minimum:

Either a qualification from a tertiary institution recognised by the Administration or by the

Classification Society within a relevant field of engineering or physical science (minimum two-
year programme);
Or a qualification from a marine or nautical institution and relevant seagoing experience as a
certificated ship’s officer.

3.2 In addition, the candidate must have at least five years experience in areas relevant to
the technical or operational aspects of shipboard operational management. Such experience
may be gained in the following ways:

• ship classification or statutory surveys; or

• sea-going service as a certificated watch-keeping officer; or
• employment in a technical role (for example, technical manager, superintendent,
operations manager) in a ship management company; or
• any combination of these three.

3.3 Exceptionally, alternative qualifications and experience may be considered provided

that they can be shown to be at least equivalent to those specified in paragraphs 3.1 and 3.2
above, are an acceptable basis for marine auditor training and are sufficient to ensure the
candidate’s credibility in the eyes of the administrations, the companies and the industry as a
whole.

4. Theoretical training

4.1 Theoretical training should address all the areas listed in paragraph 2.1 above. The
time spent on each topic and the level of detail that it is necessary to include will depend on
the qualifications and experience of the trainees, their existing competence in each subject,
and the number of training audits to be carried out.

4.2 The training may be modular in structure, in which case the period over which the
theoretical training is delivered must not exceed twelve months.

4.3 A minimum of ten days of theoretical training shall be provided. Where appropriate,
some elements may be delivered by means such as distance learning and e-learning.
However, at least fifty percent of the total theoretical training days shall be classroom-based
in order to allow for discussion and debate and to allow candidates to benefit from the
experience of the trainer.

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 No.10

5. Examination
No.10
(cont’d) 5.1 Confirmation that the learning objectives have been met shall be demonstrated by
written examination at the end of the theoretical training, or at the end of each module if the
training is not delivered in a single training course.

5.2 If the trainee fails the written examination, or any part thereof, a single resit will be
permitted. A candidate who fails the resit will be required to undergo the corresponding
theoretical training again before being allowed to make another attempt at the examination.

5.3 A candidate who passes a written examination shall receive a certificate, statement or
other record indicating which of the competences specified in paragraph 2.1 have been
addressed, and the dates on which the corresponding training took place.

6. Practical training

6.1 A person authorised to carry out ISM and ISPS audits must have completed at least
four training audits under supervision and in accordance with the following criteria:

1. At least one of the audits must be an ISPS verification audit.

2. At least three of the audits must be ISM initial or renewal verification audits.

3. At least one of the audits must be an ISM company audit.

4. At least one of the audits must be an ISM shipboard audit.

5. All training audits must be carried out under the supervision of suitably
qualified and experienced auditors.

6. All training audits must be completed within twenty-four months of the end of
the theoretical training.

7. A combined ISM and ISPS audit shall count as single ISM or ISPS audit for
the purpose of arriving at the total number of audits carried out under
supervision.

6.2 For the purpose of calculating the total number of training days, the duration of each
shipboard and office ISM audit and each ISPS audit is to include preparation and reporting
time but not travel time.

6.3 The training audits described in paragraph 6.1 constitute the minimum requirement,
and each society should establish procedures for ensuring and demonstrating that the
competence required by paragraph 2.2 has been achieved. The final number of training
audits should be sufficient not only to demonstrate competence, but also to ensure that the
prospective auditor has had sufficient practice to provide the confidence necessary to work
alone.

6.4 Every effort should be made to give trainee auditors the opportunity to participate in
audits under the supervision of more than one supervisor in order to provide exposure to
different auditing styles and approaches.

6.5 In addition to the training audits described above, candidates must have completed a
shipboard security plan (SSP) approval under supervision. This may be carried out as part of

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 No.10

the theoretical classroom training. Amended SSPs may be used if the complete plan was
No.10 sent for re-approval.
(cont’d)
6.6 Where a society chooses to restrict an auditor’s authorisation to ISM audits only, it is
not necessary for the candidate to undergo the theoretical and practical training relevant to
the ISPS Code and the related audit and certification activities. The total number of training
days may be reduced accordingly.

7. Training (general)

7.1 Except in those cases in which theoretical and/or practical training are reduced based
on the candidate’s previous qualifications and experience, or when the candidate’s
authorisation is to be restricted to ISM only, the total number of training days must not be less
than twenty.

7.2 This total may consist of any combination of theoretical and practical training, subject
to the minima specified in 4.3 and 6.1 above.

7.3 Before participating in any SSP approvals or ISPS Code verifications, a candidate
must have undergone a background security check completed by, or on behalf of, the
Society.

7.4 Every auditor who participates in SSP approvals or ISPS Code verifications shall be
issued with a durable and tamper-proof identity card indicating his or her authorisation as a
Maritime Security Auditor.

8. Authorisation

8.1 A candidate who has passed the written examination required by paragraph 5.1 and
who has successfully completed the practical training described in paragraph 6 should
receive a Certificate of Competence as a Marine Management Systems Auditor stating that
training has been carried out in accordance with this Procedural Requirement.

8.2 Where a society chooses to restrict an auditor’s authorisation to ISM audits only, this
must be clearly indicated on the certificate, and procedures must exist to ensure that no work
is undertaken for which authorisation has not been given.

8.3 All ISPS auditors must be authorised as ISM auditors.

9. Maintenance of authorisation

9.1 A qualified auditor who has not performed at least two audits (ISM or ISPS, ship or
office, addressing all elements of the corresponding code and all aspects of the shipboard
safety or security management) in any twenty-four-month period shall be required to undergo
revalidation training of one ISM audit and one ISPS audit under the supervision of a suitably
qualified and experienced auditor.

9.2 A qualified auditor who has not performed any audits in any five-year period shall be
required to undergo revalidation training to include a one-day refresher course and two ISM
audits and one ISPS audit under the supervision of a suitably qualified and experienced
auditor. For auditors who are authorised for ISM only, the supervised ISPS audit need not be
included. The one-day refresher course should include familiarisation with the latest version
of the audit and certification procedures, changes in regulatory requirements, new or updated

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 No.10

reporting systems, the most recent guidance on the interpretation and application of the
No.10 Codes, etc.
(cont’d)

10. Update training

10.1 Each society must ensure that its auditors are kept informed of all regulatory and
procedural developments related to the ISM and ISPS Codes and that they receive guidance
on matters of regulatory and procedural interpretation as these evolve.

11. Records

11.1 Records shall be created and retained for each auditor indicating:

1. Qualifications and experience gained prior to training as a Marine

Management Systems Auditor

2. Theoretical training received

3. Examination results

4. Practical training received

5. Authorisations granted

6. Update training received

7. Re-qualification in the event of lapsed authorisations

Page 7 of 9 IACS Proc Req. 2009/Rev.2 2014

 No.10

Appendix 1
No.10
(cont’d) Detailed Learning Objectives

Those responsible for verifying compliance with the ISM and ISPS Codes must be able to
demonstrate knowledge and understanding of:

1. The principles and practice of management systems auditing

• The terminology used in management systems and their verification.

• General management systems principles and concepts.

• The design, implementation and administration of a documented management

system.

• Continual improvement in a management system.

• Audit objectives.

• The roles, responsibilities and activities of the auditor.

• The preparation and planning of an audit.

• The execution of the audit.

• Audit reporting and follow-up.

• The management of an audit team.

• The content of the procedures and work instructions that govern the ISM and ISPS
audit and certification process.

2. The requirements of the ISM and ISPS Codes and their interpretation and
application

• The background to, and history of, the development of the ISM and ISPS Codes.

• The objectives of the ISM and ISPS Codes.

• The application of the ISM and ISPS Codes.

• The risk management and human element considerations that underpin the codes.

• The ISM Code as a management systems model.

• Certification requirements (certificate types and their validity, interim

arrangements, withdrawal, special scenarios, etc).

• The specific requirements of the ISM and ISPS Codes and their interpretation.

• The companies’ responsibilities in relation to complying with the requirements of

the ISM and ISPS Codes.

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 No.10

3. Mandatory rules and regulations and applicable codes, guidelines and

No.10 standards recommended by the IMO, administrations, classification societies
(cont’d) and maritime industry organisations

• The roles and functions of administrations, port state authorities, the IMO, the ILO,
the classification societies, IACS and other industry bodies.

• Purpose and scope and general content of SOLAS 74, MARPOL 73/78, STCW 78
and other conventions and the associated guidelines, certificates and records.

• Applicable codes, guidelines and standards issued by the classification societies

and other industry organisations.

4. Shipboard operations and shipboard security including emergency

preparedness and response

• Roles, responsibilities and interrelationships of the participants in maritime

operations (owner, manager, agent, manning agent, etc).

• Shore-based and shipboard organisation and management structure of the

Company.

• Roles, responsibilities and interrelationships of shore-based and shipboard staff.

• Shipboard operations (navigation, cargo and ballasting operations, engine room

operations, routine and breakdown maintenance, passenger management,
security measures, management of sewage and garbage), with particular
reference to specific ship types.

• Security threats and patterns, weapons, dangerous substances and devices,

security equipment and systems and their operational limitations, characteristics
and behaviour of persons likely to pose a security threat.

• Operational and security risk assessment techniques.

• Identification of potential emergency situations and preparations for emergency

responses with particular reference to specific ship types.

End of
Document

Page 9 of 9 IACS Proc Req. 2009/Rev.2 2014

 No.10A

No.
No. IACS Model Course For Training ISM Code
10A
(cont)
Auditors
(1995)
(Rev.1
1996) Deleted (Mar 2009) following publication of PR10 (Rev.5).
(Rev.2
1999)
(Rev.3
2000)
Rev.4
Feb
2009)

End of
Document

Page 1 of 1 IACS Proc Req. 1995/Rev.4 2009

 No.10B

No. Procedure for the Selection, Training,

10B Qualification and Authorisation of Maritime
(Dec
(cont)
2016) Labour Inspectors

Note:

1. This procedural requirement applies from 1 January 2017.

Page 1 of 8 IACS Proc Req. 2016

 No.10B

LIST OF CONTENTS
No.
1. General
10B
(cont) 2. Competence requirements

3. Selection criteria

4. Theoretical training

5. Examination

6. Practical training

7. Training (general)

8. Authorisation

9. Maintenance of authorisation

10. Update training

11. Records

Appendix 1. Detailed learning objectives

Page 2 of 8 IACS Proc Req. 2016

 No.10B

1. General
No.
1.1 This Procedural Requirement describes the IACS requirements for the selection,
10B training, qualification and authorisation of maritime labour inspectors responsible for verifying
(cont) compliance with the Maritime Labour Convention, 2006 (MLC, 2006). These requirements
have been developed in accordance with the provisions outlined below.

1.2 Paragraph 3 of Standard A5.1.4 of the MLC, 2006 “Inspection and enforcement”
requires that “Adequate provision shall be made to ensure that the inspectors have the
training, competence, terms of reference, powers, status and independence necessary or
desirable so as to enable them to carry out the verification and ensure the compliance
referred to in paragraph 1 of this Standard.”

1.3 Paragraph 1 and subparagraph 1(b) of Standard A5.1.2 of the MLC, 2006
“Authorization of recognized organizations” requires that “the competent authority shall review
the competency and independence of the organization concerned and determine whether the
organization has demonstrated, to the extent necessary for carrying out the activities covered
by the authorization conferred on it, that the organization has the ability to maintain and
update the expertise of its personnel;”

1.4 Paragraph 4 of Guideline B5.1.2 of the MLC, 2006 “Authorization of recognized

organizations” requires that “Each Member should require the recognized organizations to
develop a system for qualification of staff employed by them as inspectors to ensure the
timely updating of their knowledge and expertise.”

2. Competence requirements

2.1 Those responsible for verifying compliance with the requirements of the MLC, 2006
must be able to demonstrate:

1. Knowledge and understanding of the principles and practice of management systems

auditing.

2. Knowledge and understanding of the requirements of MLC, 2006.

3. Awareness of applicable national laws and regulations and relevant international

instruments.

See Appendix 1 for a more detailed list of learning objectives.

2.2 In addition, they must demonstrate that they have the ability to apply such knowledge
and understanding and that they are capable of carrying out effective inspections of the
seafarers’ working and living conditions on board against the MLC, 2006.

2.3 The competences described above may be acquired as a result of any combination of
the following:

1. Previous relevant qualifications and experience.

2. Theoretical training.

3. Practical training.

Page 3 of 8 IACS Proc Req. 2016

 No.10B

3. Selection Criteria
No.
3.1 In order to be accepted for training as a maritime labour inspector, the candidate must
10B be, as a minimum:
(cont)
3.1.1 marine management systems auditor qualified in accordance with PR 10; or

3.1.2 survey staff qualified in accordance with PR 7. In addition, the candidate must have at
least five years of experience in areas relevant to the technical or operational aspects of
shipboard operational management. Such experience may be gained in the following ways:

• ship classification or statutory surveys; or

• sea-going service as a certificated watch-keeping officer; or

• employment in a technical role (for example: technical manager, superintendent,

operations manager) in a ship management company; or

• any combination of these three.

3.2 Exceptionally, alternative qualifications and experience may be considered provided

that they can be shown to be at least equivalent to those specified in paragraph 3.1 above
and are an acceptable basis for maritime labour inspector.

4. Theoretical training

4.1 Theoretical training should address all the areas listed in paragraph 2.1 above. The
time spent on each topic and the level of detail that it is necessary to include will depend on
the qualifications and experience of the trainees, their existing competence in each subject,
and the number of training inspections to be carried out.

4.2 The training may be modular in structure, in which case the period over which the
theoretical training is delivered must not exceed twelve months.

4.3 A minimum of five days of theoretical training shall be provided. Where appropriate,
some elements may be delivered by means such as distance learning and e-learning. One
day of distance or e-learning is considered equivalent to one day of classroom training.
However, at least three days shall be classroom-based in order to allow for discussion and
debate and to allow candidates to benefit from the experience of the trainer.

4.4 In addition, in case of candidate not qualified as a marine management systems

auditor, the candidate must have attended at least one day of classroom-based training in the
principles and practice of management system auditing.

5. Examination

5.1 Confirmation that the learning objectives have been met shall be demonstrated by
written examination1 at the end of the theoretical training, or at the end of each module if the
training is not delivered in a single training course.

1 This can be done in paper or electronic format.

Page 4 of 8 IACS Proc Req. 2016

 No.10B

5.2 If the trainee fails the written examination, or any part thereof, a single resit will be
No. permitted. A candidate who fails the resit will be required to undergo the corresponding
theoretical training again before being allowed to make another attempt at the examination.
10B
(cont) 5.3 A candidate who passes a written examination shall receive a certificate, statement or
other record indicating which of the competences specified in paragraph 2.1 have been
addressed, and the dates on which the corresponding training took place.

6. Practical training

6.1 A person authorised to carry out maritime labour inspection must have completed under
supervision and in accordance with the following criteria at least:

1. one inspection within the scope of maritime labour initial, intermediate or renewal
inspection for a qualified marine management systems auditor; or

2. two inspections within the scope of maritime labour initial, intermediate or renewal
inspection for a survey staff not qualified as a marine management systems auditor.

6.2 All training inspections stated in 6.1 above must be carried out under the supervision of
qualified inspectors and inspections must be completed within twenty-four months of the end
of the theoretical training.

6.3 The duration of each maritime labour inspection is to include preparation and reporting
time but not travel time.

6.4 The training inspections described in paragraph 6.1 constitute the minimum
requirement, and each society should establish procedures for ensuring and demonstrating
that the competence required by paragraph 2.2 has been achieved. The final number of
training inspections should be sufficient not only to demonstrate competence, but also to
ensure that the prospective inspector has had sufficient practice to provide the confidence
necessary to work alone.

6.5 In addition to the training inspections described above, candidates must have
completed a Declaration of Maritime Labour Compliance (DMLC) Part II review under
supervision. This may be carried out as part of the theoretical classroom training. Amended
DMLC Part II may be used if the complete DMLC Part II was sent for re-review.

7. Training (general)

7.1 The total training must not be less than the minima specified in 4.3, 4.4 and 6.1 above
except in those cases in which theoretical and/or practical training are reduced based on the
candidate’s previous qualifications and experience.

8. Authorisation

8.1 A record shall be maintained, indicating authorisation granted to candidates who have
passed the written examination required by paragraph 5.1 and who have successfully
completed the practical training described in paragraph 6.

Page 5 of 8 IACS Proc Req. 2016

 No.10B

9. Maintenance of authorisation
No.
9.1 A qualified inspector who has not performed at least one maritime labour inspection,
10B addressing all aspects of the MLC, 2006 in any twenty-four-month period shall be required to
(cont) undergo revalidation training of one maritime labour inspection under the supervision of a
qualified inspector. ISM/ISPS audits can be substituted for the maintenance of this
authorisation.

9.2 A qualified inspector who has not performed any maritime labour inspection in any five-
year period shall be required to undergo revalidation training to include a one-day refresher
course and one maritime labour inspection under the supervision of a qualified inspector. The
refresher course should include familiarisation with the latest version of the inspection and
certification procedures, changes in national regulatory requirements, new or updated
reporting systems, the most recent guidance on the interpretation and application of the MLC,
2006. This course may be delivered by alternative learning methods (distance learning, video
conference, webinars, etc.).

10. Update training

10.1 Each society must ensure that its inspectors are kept informed of all regulatory and
procedural developments related to MLC, 2006 and that they receive guidance on matters of
regulatory and procedural interpretation as these evolve.

11. Records

11.1 Records shall be created and retained for each inspector indicating:

1. Qualifications and experience gained prior to training as a maritime labour inspector

2. Theoretical training received

3. Examination results

4. Practical training received

5. Authorisations granted

6. Update training received

7. Re-authorisation in the event of lapsed authorisations

Page 6 of 8 IACS Proc Req. 2016

 No.10B

Appendix 1
No.
Detailed learning objectives
10B
(cont) Those responsible for verifying compliance with the MLC, 2006 must be able to demonstrate
knowledge and understanding of:

1. The principles and practice of management systems auditing

• The terminology used in management systems and their verification.

• General management systems principles and concepts.

• The design, implementation and administration of a documented management system.

• Continual improvement in a management system.

• Audit objectives.

• The roles, responsibilities and activities of the auditor.

• The preparation and planning of an audit.

• The execution of the audit.

• Audit reporting and follow-up.

• The management of an audit team.

NOTE: Marine management systems auditors, including ISO qualified auditors, are deemed
to have met above requirements.

2. The requirements of the Maritime Labour Convention, 2006

• The background to the MLC, 2006 and the maritime context.

• Articles of the MLC, 2006.

• Title 1 – Minimum requirements for seafarers to work on a ship.

• Title 2 – Conditions of employment.

• Title 3 – Accommodation, recreational facilities, food and catering.

• Title 4 – Health protection, medical care, welfare and social security protection.

• Flag State inspection and certification under Title 5.

• Complaints under Title 5.

• Port State Control under Title 5.

• Applicable national regulatory requirements for implementing the MLC, 2006.

Page 7 of 8 IACS Proc Req. 2016

 No.10B

• The content of the procedures and work instructions of the Recognized Organization
No. that govern the maritime labour inspection and certification process.

10B
(cont)
End of
Document

Page 8 of 8 IACS Proc Req. 2016

 No.11

No.11
No. IACS Procedure for Assigning Date of Build
(Rev.0
(cont)
July 2009) The Class Certificate and the Society’s Register of Ships shall indicate the Date of Build as
(Rev.1 defined below:
Nov 2010)
For New Construction

The year, month and date at which the new construction survey process is completed shall
be specified as the “Date of Build”.

Where there is substantial delay between completion of construction survey process and the
ship commencing active service, the date of commissioning may be also specified.

After Modifications

After modifications are completed, the “Date of Build” shall remain assigned to the ship.

Where a complete replacement or addition of a major portion of the ship (see Footnote) is
involved, the following shall apply:

a. the “Date of Build” associated with each major portion of the ship shall be indicated
where it has been agreed that the newer structure shall be on a different survey cycle;

b. survey requirements shall be based on the “Date of Build” associated with each
major portion of the ship;

c. survey due dates may be aligned at the discretion of each Society.

Footnote:

For example, a major portion of the ship may include a complete forward or after section, a complete main cargo
section (which may include a complete hold / tank of a cargo ship), a complete block of deck structure of a
passenger ship or a structural modification of a single hull to a double hull ship.

Note:

1. This Procedural Requirement applies from 1 July 2009.

2. The changes introduced in Revision 1 of this PR are to be uniformly implemented from

1 January 2012.

End of
Document

Page 1 of 1 IACS Proc Req. 2009/Rev.1 2010

 No.12

No.12 Procedure for Statutory Certification at Change

No.12
(Rev.0
(cont)
July 2009) of Class without Change of Flag
(Rev.1
Nov. 2012) 1 General
(Rev.2
June 2016) 1.1 This Procedural Requirement lays down common procedures and minimum
requirements for statutory surveys and certification which Societies subject to verification of
compliance with QSCS shall follow at change of class, when there is no change of Flag
involved.

1.2 However, this Procedural Requirement does not prevent the gaining Society from
expanding the scope of statutory surveys at its own discretion or in accordance with the
requirements or instructions of the relevant flag State Administration.

1.3 For general guidance, the gaining Society may refer to IACS Recommendation 98
“Duties of Surveyors under Statutory Conventions and Codes”. For specific guidance in these
cases, the gaining Society shall refer to its agreement with, or instruction from, the flag State
Administration.

2 Application and Definitions

2.1 This procedure assumes the flag State Administration has authorized the gaining
Society to issue statutory certificates on its behalf.

2.2 This document does not apply in case of transfer of ISM and ISPS Code certification
between Societies acting as R.O., which is governed in IACS PR18, and MLC 2006
certification, which is governed by IACS PR36.

2.3 Statutory Conditions to be read throughout this Procedural Requirement should be

according to the definition of Recommendation 98

2.4 ‘Conditions of Class’ to be read through this Procedural Requirement according to the
definition of “Recommendations/Conditions of Class’ included in PR35.

2.5 ‘Plan Appraisal” means the process of plan and document review and/or approval in
accordance with the authorization by the flag State Administration.

2.6 For definitions of ‘permanent, interim and conditional certificates, refer to IACS
Recommendation 98, for other terminologies not defined in this Procedure, reference is to be
made to the definitions in IACS PR1A.

_______________________________________

Notes:

1. This Procedural Requirement applies from 1July 2009.

2. Revision 1 of this Procedural Requirement applies from 1 July 2013.

3. Revision 2 of this Procedural Requirement applies from 1 January 2017.

Page 1 of 4 IACS Proc Req. 2009/Rev.2 2016

 No.12

3 Obligations and reporting

No.12
(cont) 3.1 Societies shall follow the principles as contained in Section A- Procedural
Requirements of IACS PR1D or PR1A, as applicable, in order to comply with the applicable
requirements of paragraph [Link], [Link] and [Link] of RO Code (IMO Resolution MSC.
349(92)).

In cases where one of the Societies is not subject to verification of compliance with QSCS
and does not fulfil its obligations or provide adequate cooperation as required in RO Code,
the remaining Society who holds a QSCS certificate should make an effort in good faith to
fulfil its own obligations as deemed necessary and possible based on its professional
judgement, the relevant requirements of RO Code, and special instruction requested from the
flag State Administration.

3.2 Other than surveys to be held to the extent as required below in this Procedural
Requirement, as the special precautions taken for transfer of statutory certification, it is
noteworthy that:

3.2.1 For vessels subject to PR1A, the gaining Society is not to issue any new certificates,
or other documents enabling the vessel to trade until all overdue surveys of class and all
overdue conditions of class, previously issued against the vessel as specified by the losing
Society, have been completed and rectified by:

a) the gaining Society, for vessels less than 15 years of age(Note 1);
b) the losing Society, for vessels 15 years of age and over.

3.2.2 For vessels subject to PR1D, the principles contained in 3.2.1 above shall be followed.
In case where 3.2.1 b) as noted above is unable to be implemented, the gaining Society shall
seek to undertake the relevant obligations, or request special instruction from the flag State
Administration.

4 Plans and information

4.1 At its own discretion or upon the specific requirements or instructions of the flag State
Administration, the gaining Society shall request, from the owner, the appraisal or submission
of plans, documents or alternative technical information to support the issuance of statutory
certificates or other documents. However, having made an effort in good faith to obtain the
information, if it proves not practicable to acquire certain plans as required,
equivalent/alternative technical data must be provided prior to issuing any certificates.

4.2 In cases where the vessel has been previously classed by the gaining Society or a
Society subject to verification of compliance with QSCS, the submission of plans may be
specially considered subject to confirmation of no alteration/modification to the vessel.

4.3 In addition to 4.2 as above, historical statutory documentation as listed in IACS

Recommendation 117 shall, within the limitations set by the Flag state concerned and by
national legal constraints, be duly transferred between Societies if requested by the gaining
Society. In case of Alternative Design and Arrangements involved, the documentation of
approval of Alternative Design and Arrangements pertaining to statutory aspects should be
requested to be submitted by the Owner or provided by the losing Society. Transfer of
additional material supporting the issuance of statutory certification shall be considered by the
losing Society, upon request by the gaining Society.

(Note 1)
To be calculated from the date of delivery to the date of the request to change class is
received by the gaining Society.

Page 2 of 4 IACS Proc Req. 2009/Rev.2 2016

 No.12

No.12 5 Scope of surveys

(cont)
5.1 For vessels subject to IACS PR1D, regardless of the type of statutory certificate or its
remaining validity period, the gaining Society shall carry out a full Renewal Survey prior to
issuing any certificate to replace the one previously issued by the losing Society.

5.2 For vessels subject to IACS PR1A, the gaining Society may take into account the type
of the previously issued statutory certificate and its remaining validity period to determine the
scope of surveys to be held as noted below:

5.2.1 If the vessel’s existing certificate is expired or is valid through an extension at the date
of change of class, the gaining Society shall carry out a full Renewal Survey prior to issuing
any certificate.

5.2.2 If the vessel has a permanent/interim certificate issued by the losing Society at the
date of change of class, the following procedures are applicable:

a) Prior to the issuance of a Passenger Ship Safety Certificate the gaining Society shall
carry out a full Renewal Survey.

b) Prior to the issuance of a Cargo Ship Safety Radio Certificate, the gaining Society
shall carry out a full Renewal Survey (in case of non-HSSC certification) or a full
Periodical Survey (in cases of HSSC certification). In cases where the Cargo Ship
Safety Radio survey carried out due to change of class is not to be credited as
periodical or renewal survey and the service supplier used by the losing Society is
acceptable to the gaining Society, the survey may be limited to a general verification
by the attending surveyor based on the last service report.

c) For other statutory certificates, the gaining Society shall carry out a Mandatory Annual
Survey.

5.2.3 If the vessel has a conditional certificate or a full term certificate, which validity is
limited by Statutory conditions existing with assigned due date, issued by the losing Society
at the date of change of class, in addition to the scope of surveys to be held as indicated in
5.2.2 above, the deficiencies/defects with the details of any relevant requirements or provisos,
noted on or attached with certificate should be re-examined by the gaining Society.

5.2.4 During a Mandatory Annual Surveys and/or the Periodical Survey for Safety Radio as
noted above, if the Surveyor finds any detainable deficiencies/defects or a significant number
of minor deficiencies/defects which indicate the condition of the vessel or its equipment does
not correspond substantially with the particulars of the certificate issued by the losing Society,
then a full Renewal Survey shall be carried out prior to the issuance of any certificate.

5.3 In case of change of class due to the losing Society’s authorization for statutory
surveys being withdrawn or terminated by the flag State Administration, the gaining Society
may request special instruction from the flag State Administration for the scope of surveys to
be held, which are to be not less than the requirements in 5.1 and 5.2 as noted above.

6 Type and validity period of certificates

6.1 For type and validity period of certificate to be issued, the gaining Society may refer to
IACS Recommendation 98, taking into account the validity period of the existing certificate,
the existing deficiencies/defects (if any), and new deficiencies/defects if found. If a permanent
certificate is issued by the gaining Society on completion of survey not credited as renewal

Page 3 of 4 IACS Proc Req. 2009/Rev.2 2016

 No.12

survey, its validity period is not to exceed the validity period of the existing permanent
No.12 certificate issued by the losing Society which it replaces.
(cont)
Societies may issue interim certificates pending issuance of the permanent certificate by their
head office if that is their practice.

6.2 In cases where the outstanding Statutory conditions previously issued against the
vessel by the losing Society exist at the date of change of class and therefore a new
certificate is to be issued by the gaining Society upon completion of relevant surveys as noted
above, the validity of the certificate is subject to the outstanding Statutory Conditions related
to existing deficiencies/defects being completed by the due date as specified by the losing
Society The new certificate should be issued with the appropriate expiry date according to the
certificate previously issued by the losing Society.

End of
Document

Page 4 of 4 IACS Proc Req. 2009/Rev.2 2016

 No.13

No.13
No. CANCELLED DECEMBER 1998
(cont)

End of
Document

Page 1 of 1 IACS Procedural Requirements 1998

 No. 14

No.14
No. Procedure for Reporting the List of Bulk
(1997)
(cont)
(Rev.1 Carriers Complying with UR’s S19, S22 and S23
March
1998) Deleted July 2009.
(Rev.2
April 1999)
(Rev.3 Feb
2001)
(Rev.4 July
2004)

End of
Document

Page 1 of 1 IACS Proc Req. 1997/Rev.4 2004

 No.15

No.15
No. Procedure for reporting lists of ships and
(1997)
(cont)
(Rev.1 companies issued with certification in
Dec 1988)
(Rev.2
accordance with the ISM Code
Nov 2000)
(Rev.2 Deleted Mar 2009
Add.1
Jan 2001)
(Rev.3
Feb 2002)
(Rev.4
Dec 2002)
(Rev.5
Dec 2007)
(Corr.1 Feb
2009)

End of
Document

Page 1 of 1 IACS Proc Req. 1997/Corr.1 2009

 No.16

No.16 Procedure for providing lists of classed ships

No.16
(cont)
(Rev.0
July 2009) to Equasis
(Corr.1
May 2015) 1 Definition
(Corr.2
Feb 2016) "EQUASIS" means the public-access information system on quality and safety-related
information about the world's merchant fleet, [Link].

“Technical Specifications” means the Technical Specifications for Data Exchange between
members of the International Association of Classification Societies and Equasis, as may be
revised from time to time.

2 Data supply to Equasis

A Classification society is to supply data files to Equasis listing ships in class and changes in
class status. The data files and the frequency of sending them are to be in accordance with
the Technical Specifications.

3 Data verification

Data verification is covered in the Technical Specifications.

The data that Equasis receives comes directly from Classification Societies without any
involvement of IACS. Any errors in the data should be notified directly to the Classification
Societies concerned, not through the IACS Secretariat.

Any questions or complaints by the Classification Societies on the data should be sent
directly to Equasis MU, as relevant.

Attached:

Technical Specifications for Data Exchange between members of the International

Association of Classification Societies and Equasis.

Note:

1. This Procedural Requirement applies from 1 July 2009.

2. Acceptance of a classification society to be a data supplier using the attached Technical

Specification remains the prerogative of the Equasis Editorial Board and Supervisory
Committee.

End of
Document

Page 1 of 1 IACS Proc Req. 2009/Corr.2 2016

 Data exchange between Equasis and IACS-Technical Specification

Data exchange between Members of the

International Association of Classification
Societies & Equasis
Technical specifications

tech_IACS_file_format_version_1.10
Version 1.10
Feb 2016

Page 1 of 32 Version 1.10

 Data exchange between Equasis and IACS-Technical Specification

Revisions

Version Authors Description Date

0.0.1 Hervé Initial document 10/07/2003
GUICHARD
0.0.2 Hervé Integration of the remarks made by E. BOULET 11/07/2003
GUICHARD
0.0.3 Hervé Modification of the procedures for management of 16/07/2003
GUICHARD inconsistencies
0.0.4 Hervé New rule for the “Date to be delivered” 21/07/2003
GUICHARD information. Inscription of the Reason Codes in
the protocol and thus, suppression of the cross-
reference panels. Addition of the reason in the
error file. Reason Code only required for an
insertion.
0.0.5 Eric BOULET Editorial modifications. Planning of supplies, 21/07/2003
Modelling, Handling of exceptions, Drafting of
business rules. SMC & DoC management.
Decoding tables management.
0.0.6 Eric BOULET Editorial proofreading 05/08/2003
0.1.0 George Equasis approval 26/09/2003
BARCLAY
0.1.1 G. BARCLAY Translation & modifications 19/11/2003
&
A.
BERGONZO
0.1.5 Hervé Modification in accordance with the principle of 19/03/2004
GUICHARD separated supplies from the different IACS
Members
0.1.6 A. Bergonzo Editorial proofreading and modifications 24/03/2004
0.1.7 A. Bergonzo 2nd set of modifications 20/04/2004
0.1.8 Hervé Additional explanations
GUICHARD
0.2 A. Bergonzo Changes and preamble addition 14/06/2004
0.3 Hervé Modification in accordance with the meeting held 18/02/2005
GUICHARD with IACS Members (Feb 05)
0.4 Hervé Intégration of comments. 21/03/2005
GUICHARD Collect of information on SMC audits without
issue.
Correction of business rules for acknowledgments
of DoC ship types.
0.5 Hervé Distinction between data sets 18/04/2005
GUICHARD Specifications for file sent to IACS
0.6 Eric BOULET Technical annex ch.4 08/05/2005
0.7 Equasis/DSI Amendments 2.1.5 & ch.4 20/05/2005
1 Equasis/DSI Amendments, version for validation 08/06/2005
1.1 Alistair Amendments for further clarification 21/11/2005
Stubbs
1.2 Eric BOULET Update technical annex ch.4 28/11/2005
1.3 Comments from Tony Choplin (BV) – working 30/03/2007
document.
1.4 Philippe Restructured document after meeting BV-Equasis 10/07/2007
DUCHESNE 03/07/2007

Page 2 of 32 Version 1.10

 Data exchange between Equasis and IACS-Technical Specification

Version Authors Description Date

1.5 Philippe Comments E. Boulet, D. Jones 23/08/2007
DUCHESNE
1.6 Philippe Comments Tony Choplin, Eric Boulet 17/10/2007
DUCHESNE technical annex replaced by examples
1.7 Tony Minor updates + XML sample in line with the 15/11/2007
CHOPLIN samples of the spec.
1.8 Tony Choplin wording 4/1/2008
1.8a Tony Choplin Wording 6/2/2008
1.9 IACS Description of IACS member details updated May 2015
1.10 IACS Description of IACS member details updated in Feb 2016
relation to DNV GL

Approval

Approving Reviewer Version Signature Date

Party Approved

IACS

Equasis
Management
Unit

Equasis
Technical
Unit

Page 3 of 32 Version 1.10

 Data exchange between Equasis and IACS-Technical Specification

Contents
Revisions

Approval

Contents

1. Introduction
1.1. Recipients
1.2. Objective
1.3. Acronyms and abbreviations
1.4. Layout of the document

2. General specifications
2.1. Scope of supply from IACS Members to EQUASIS
.Information concerning the classification:
.Information concerning the DoC:
2.2. Scope of supply from EQUASIS to IACS Secretariat
2.3. Responsibilities

3. Detailed specifications
3.1. Communication procedures
3.1.1. Standard scenario
3.1.2. Communication interfaces
3.1.3. Electronic mails format
3.2. Data files
3.2.1. Data file provided by IACS Members
3.2.2. Code file
3.2.3. Error file
3.2.4. Data file provided by Equasis
3.3. Description of the datafile provided by IACS members
3.3.1. Common information
3.3.2. Root of the datafile
3.3.3. Information concerning the classification of ships
.Ship data description
.Certificate (Survey) Data description (certificate tag)
.Status Data description
3.3.4. Information concerning Safety Management Certificates
.Certificate Data description
.Status Data description
3.3.5. Information concerning the Documents of Compliance
.Company description
.Certificate Data description
.Status Data description
3.4. Description of the code file
3.4.1. IACS Members Codification
3.4.2. Flag codification
.Data description
.Decoding values
3.4.3. Classification status codification
.Data description
.Decoding values
3.4.4. Codification of reasons for a change of classification status

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.Data description
.Decoding values
3.4.5. SMC and DoC status codification
.Data description
.Decoding values
3.4.6. Codification of reasons of change of SMC and DoC status
.Data description
.Decoding values
3.4.7. Ship type Codification
.Data description
.Decoding values (as per defined in the ISM code)
3.4.8. IACS ship types
3.5. Description of the code file error file
.Principle
.Description of the error file
.Example

4. Annex: examples
4.1. XML datafile examples
4.2. XML schema example

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1. Introduction
1.1 Recipients

This document is intended for the Equasis Management Unit, Equasis Technical Unit and
members of the International Association of Classification Societies (IACS).

1.2 Objective

This document contains the specification and methodology for the data exchange between
Equasis and each IACS member:

IACS member

American Bureau of Shipping

Bureau Veritas

China Classification Society

Croatian Register of Shipping
DNV GL
Indian Register of Shipping
Korean Register of Shipping
Lloyd’s Register
Nippon Kaiji Kyokai
Polish Register of Shipping

RINA Services

Russian Maritime Register of

Shipping

The list of emails authorized to send the files has to be kept by Equasis and if an IACS
member want to change the address that send the files it has to inform Equasis prior to
change.

This document is to be formally approved by the IACS Secretariat, the Equasis Management
Unit and Equasis Technical Unit.

1.3 Acronyms and abbreviations

DoC : Document of Compliance.

ISM : International Safety Management.

IACS : International Association of Classification Societies.

LR-F : Lloyd’s Register-Fairplay.

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IMO : International Maritime Organization.

SMC : Safety Management Certificate.

SMS : Safety Management System

SOLAS : Safety of Life at Sea.

1.4 Layout of the document

Chapter 2 defines the general specifications.

Chapter 3 defines the detailed specifications. It describes the format of the data files.

Chapter 4 contains examples.

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2. General specification
2.1 Scope of supply from IACS Members to EQUASIS

The information provided by IACS members concerns:

- Classification,

- Safety Management Certificate (SMC), as required by the ISM Code,

- Document of Compliance (DOC).

Frequency:

Each IACS Member sends information at its convenience, but the file exchanges for each
category of certificate have to occur at least monthly. A more frequent update schedule would
be advantageous, weekly for example.

Equasis sends information to IACS weekly.

.Information concerning the classification:

Equasis requires classification information for sea-going1 ships of 100GT and over, with IMO
numbers2, except:

- vessels solely engaged in fishing,

- ships without mechanical means of propulsion,

- pleasure yachts,

- ships engaged on special service,

- hopper barges,

- floating docks and structures classified in a similar manner,

- ships of war and troop ships,

- wooden ships in general.

Ships are subject to “classification cycles” of duration of 5 years. Each classification is limited
by renewal surveys.

1
Sea-going ships are understood to mean the ships engaged in international voyage or
domestic voyage but not in inland waters.
2
The scope of reporting is in line with IMO Res. A.600(15) “IMO ship identification
number scheme”, with the inclusion of hydrofoils and hovercraft.

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Equasis is to be provided with the following information:

- Dates of renewal surveys of classification cycles, which appear in the time frame of
the last 730 days (2 years) or if the 2 year cycle is included between the 2 dates.

With the exception of classification cycles of ships which last status is “withdrawn”, if
this status is before the time frame (see example 3 below).

- Statuses which occurred in the last 730 days (2 years). For each status, the date is
to be provided.

The following diagrams summarise the scope of information to be provided (“Reference date”
is the date when data is extracted). The corresponding data to be sent for those examples
are described at the end of this document.

1 Sample 1 : Ship imo no 1234561

The first sample is a ship with a renewal during the 2 years rolling period and some status
also (suspension and reinstatment).

In this case, the latest cycle is reported and all status during the 2 years rolling period are
reported.

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2 Sample 2 : Ship imo no 1234562

The ship is classed during the period but no event during the 2 year rolling period (no
renewal, no status).

In this case, the ship is reported with the previous and next renewal dates without any status.

3 Sample 3 : ship imo no 1234563

The ship has been withdrawn before the 2 year rolling period but the renewal was scheduled
after the 2 year period.

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In this case, the ship is not sent since she is withdrawn for more than 2 year.

4 Sample 4 : ship imo no 1234564

The ship has been withdrawn during the 2 year cycle.

In this case the previous and next renewal dates are reported with the status withdrawn.

Those sample are for the classification but the same principles can be applied to the SMC
and DOC.

• Information concerning the SMC:

Equasis requires information on the SMC issued by IACS members, for ships of 500GT and
over, with IMO numbers.

Equasis is to be provided with the following information:

- Date of the latest renewal audit and date of expiry of the certificate which appear in
the time frame of the last 730 days (2 years) or if the 2 year cycle is included
between the 2 dates,

- Statuses which occurred in the last 730 days (2 years). For each status, the date is
to be provided.

• Information concerning the DoC:

Equasis requires information on the DoC issued by IACS members.

Equasis is to be provided with the following information:

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- Dates of the latest renewal audit and date of expiry of the certificate which appear in
the time frame of the last 730 days (2 years) or if the 2 year cycle is included
between the 2 dates,

- Statuses which occurred in the last 730 days (2 years). For each status, the date is
to be provided.

2.2 Scope of supply from EQUASIS to IACS Secretariat

Equasis provides the IACS secretariat with a data file which contains an up to date report of
all ships classed by their members.

Content:

For all ships which are classed by an IACS classification society:

- IMO number,

- ship name (as recorded in the Equasis database and provided by LR-F)

- name of the existing class society,

- date of the last renewal survey,

- date of the next renewal survey,

- latest status,

- and the attached reason for the status.

Frequency:

The file is sent on a weekly basis.

2.3 Responsibilities

IACS Members are responsible for delivering data in conformity with this specification
document.

Each IACS member registers a point of contact name and its e-mail address (see list in §1.2).
Data files sent from unregistered e-mail addresses are rejected by Equasis.

Equasis is responsible for verification and conformity of the data to the specifications.

- If the data file provided by an IACS member is not of a compliant format and
structure and codification (e.g. does not comply with the XML schema file, see §3.3),
it is not loaded into Equasis.

- If more that 30% of the data does not comply with the business rules (see §3.3), the
whole data file is rejected and no data is loaded into Equasis.

Equasis does not perform any consistency check in the data provided, and uploads the data
supplied in the system without alteration.

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The quality of the Equasis information system data relies upon the quality of the data
transmitted by the IACS members and the quality of the service will be degraded by
infrequent supply of data.

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3. Detailed specifications
3.1 Communication procedures

3.1.1 Standard scenario

In normal situations, the following scenario applies:

data exchange

Send Information

Pre-processing
Class Member check

Support Equasis

Erasing of
current data

Loading of the
supply

Return errors

1. The IACS member sends a data file to the Equasis Technical Unit.

2. The Equasis Technical Unit sends an acknowledgment of receipt by email.

3. The Equasis Technical Unit performs a pre-processing check of the following :

• the electronic mail address of the provider (as listed in §1.2),

• the file format (using the “XML schema” file, see §3.3)

If the result of this pre-processing check is not positive, the datafile is rejected (with the
rules defined in 2.3).

4. The Equasis Technical Unit replaces the data from the database with the datafile.

5. The Equasis Technical Unit sends a report to the provider. This report contains a
description of the errors found during the upload process.

6. It is then the responsibility of the data provider to correct the errors and re-send the
amended file reloading.

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3.1.2 Communication interfaces

The format of the exchanged files is XML.

The files are exchanged through standard electronic mail (SMTP protocol).

3.1.3 Electronic mails format

IACS member send their data file to the Equasis Technical Unit's e-mail address :

equasis@[Link]

The object of the e-mail is “Equasis update from <name of class> <date>”.

Where : <name of class> is the name of the IACS member ; <date> is the date “reference
date”. Format to be used is yyyymmdd.

After having treated the data file, the Equasis Technical Unit sends and e-mail back to the
IACS member.

In case of successful treatment, the object of the e-mail is “Equasis ACK for <name of class>
<date>”.

In case of unsuccessful treatment, the object of the e-mail is “Equasis report for <name of
class> <date>”. The e-mail contains an “error file” which lists the errors encountered during
the treatment.

3.2 Data files

3.2.1 Data file provided by IACS Members

• The data files sent by IACS members to Equasis are named “[Link]”.
Where yymmdd represents the date the file was extracted and CC is the IACS
member code (see § 3.4.1).

• The data file is embedded in a compressed archive file which name is

“[Link]”. The file format is ZIP.

3.2.2 Code file

All the decoding tables used in the exchange are gathered in a unique code file. The code file
name is “[Link]”.

This file is not due in the periodical supply.

The decoding tables are initialised under the responsibility of IACS secretariat and according
to the data format described below. All changes under the responsibility of IACS secretariat
must be accompanied by advices to all parties and keep compatibility at least for a period of
two rolling years.

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3.2.3 Error file

The file which is sent back to the IACS member in case of errors is named :
“[Link]”. Where OriginalFileName is the name of the data file sent to
Equasis.

The error file is embedded in a compressed archive file which name is

“[Link]”. The file format is ZIP.

3.2.4 Data file provided by Equasis

The data file sent by Equasis to the IACS secretariat is named “[Link]”. Where
yymmdd is the date of data extraction.

3.3 Description of the datafile provided by IACS members

This chapter describes:

- the data to be include in the data file, and

- the business rules that the data have to comply to.

The Data file format is described in a “XML Schema” file (XSD file). This XSD file is used to
control the data file format. It is provided as an annex to this document.

3.3.1 Common information

For all chapter 3.3:

• Item [idIMO] : A ship is identified by its unique “IMO” number (which is coded with 7
digits). This information is always mandatory. The checksum must be checked. The
ship must be known in the Equasis database. Information about unknown ships from
Equasis are reported as errors.

• Item [provider] : This item identifies the classification society. Each classification
society is identified by its code (see § 3.4.1.). This information is always mandatory.

• Item [idCompany] : A company is identified by its unique “IMO” number (which is

coded with 7 digits). The Company must be known in the Equasis database. This
information is always mandatory.

• Item [dReference] : The date of the extraction of data (as indicated in the header of
the file).

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3.3.2 Root of the datafile

In each file provided by IACS Members, a root is expected to be filled in as follows:

Occ Length/
Item Type Description
. format
Release Number of the data protocol.
release 1 Char 1-3 The current number to be used for this
present protocol is “1.8”
Code (according to chapter 3.4.1) of
Provider 1 Char 2 the classification society provider of the
file
Date of Reference : the date at which
dREFERENCE 1 Date yyyymmdd
the data was extracted.
Indicates if Yes or No the file includes
classSupplied 1 Char [Y] or [N]
information on Class certificates
Indicates if Yes or No the file includes
smcSupplied 1 Char [Y] or [N]
information on SMC certificates
Indicates if yes or No the file includes
docSuplied 1 Char [Y] or [N]
information on DoC

The same root is returned in the error file.

3.3.3 Information concerning the classification of ships

The information concerning the classification of a ship is divided into several fields which are
defined as follows:

.Ship data description

Length/
Item Occ. Type Description
format
idIMO 1 Int 7 IMO Number of the ship

.Certificate (Survey) Data description (certificate tag)

This survey information is linked to the ship element.

The survey information is inside the certificate tag with attribute cTypeCertificate equals to
CLASS

These fields are provided for each classification cycle:

Length/
Item Occ. Type Description
format
cTypeCertificate1Value:CLASS
Date of the previous renewal surveys
dSurvey 1 Date yyyymmdd
(beginning of the classification cycle)
Due of the next renewal survey (end of
dNextSurvey 0-1 Date yyyymmdd
the classification cycle)

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Business rules:

• The “dSurvey” date is always before or the same as the date of reference. This
information is mandatory.
• The “dNextSurvey” date is always after the “dSurvey” date.

.Status Data description

This Status element is linked to the certificate element.

These fields are provided for each status description.

Length/
Item Occ. Type Description
format
cStatus 1 Char 1 to 3 Code of the status given to the ship
dStatus 1 Date yyyymmdd Date of status delivery
Code of the reason for the change of
cReason 0-1 Char 1 to 2
status

Business rules:

• The “cStatus” of a ship is supplied as a code according to chapter 3.4.3.

• The date “dStatus” is always before the date of reference.

• In the case where several cStatus are provided for with the same date the order of
the line in the XML file will determine the order of the operation.
But this should be very rare and avoided as much as possible

• The “cReason” is provided as a code according to chapter 3.4.4. This data is

mandatory only when the “cStatus” field is equal to “suspended” or “withdrawn”.

• Suspension that is less than 7 days shall not to be reported.

• Suspension of ship “other” (IACS type ZZ) shall not to be reported

3.3.4 Information concerning Safety Management Certificates

The information concerning a SMC is divided into several fields which are defined as follows.

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.Certificate Data description

This Certificate element is linked to the ship element

These fields are provided for each certificate.

Length/
Item Occ. Type Description
format
Code of the flag on whose behalf SMC
cFlag 1 Char 3
is issued.
This pointer shows in which framework
cConvOrVol 1 Char [V] or [C] the SMC certificate is delivered :
voluntary (V) or statutory (C).
Date of completion of the SMC
dSurvey 1 Date yyyymmdd
previous renewal survey
dNextSurvey 0-1 Date yyyymmdd Date of SMC expiry.
IMO Company Number of the company
idCompany 0-1 Int 7
indicated on the SMC

Business rules:

• A classification society may audit several companies and ships.

• The “cFlag” is issued by a code according to chapter 3.4.2.

• The “cConvOrVol” pointer indicates the framework in which the delivery of the SMC
intervenes. This delivery may be the outcome of a voluntary action , in this case the
pointer takes the “V” value. The delivery may be the outcome of a regulation
obligation, in this case the pointer takes the “C” value.

• The “dSurvey” date is always before or the same as the date of reference.

• The “dNextSurvey” date is always after the “dSurvey”date.

.Status Data description

This Status element is linked to the certificate element.

These fields are provided for each status description.

Length/
Item Occ. Type Description
format
Code of the SMC status given to the
cStatus 1 Char 1 to 3
ship
dStatus 1 Date yyyymmdd Date of status delivery
Code of the reason for the change of
cReason 0-1 Char 1 to 2
status

• The “cStatus” of a SMC is supplied as a code according to chapter 3.4.5.

• The date “dStatus” is always before the date of reference. The date is mandatory for
each status.

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• In the case where several cStatus are provided for with the same date the order of
the line in the XML file will determine the order of the operation.
But this should be very rare and avoided as much as possible

• The “cReason” is given as a code according to chapter 3.4.6. This information is

optional.

3.3.5 Information concerning the Documents of Compliance

.Company description

Length/
Item Occ. Type Description
format
IMO Company Number of the company
ID_COMPANY 1 Int 7
indicated on the DoC

The information concerning a DoC is divided into several fields which are defined as follows.

.Certificate Data description

This certificate element is linked to the company element.

These fields are provided for each certificate.

Length/
Item Occ. Type Description
format
Code of the flag on whose behalf the
cFlag 1 Char 3
DoC was issued.
Code(s) of the ship types for which the
shipType 1-* Char 2-4
DoC is delivered to the Company.
dSurvey 1 Date yyyymmdd Date of completion of the survey
dNextSurvey 0-1 Date yyyymmdd Date of DoC expiry

Business rules:

• A DoC is issued to a given company for one or several ship type(s) and one flag.

• A classification society audits several companies and ships.

• The “cFlag” is issued by a code according to chapter 3.4.2.

• The "shipType” field is populated by a list of ship types for which the company is
approved for that flag. The list of ships types is given on the DoC. Ship types are
defined with a code according to chapter 3.4.7. This is always the complete list of
approved ship types, regardless whether this is covered on a single DOC certificate
or a combination of certificates, such as a full term and an interim.

• The “dSurvey” date is always before or the same as the date of reference.

• The “dNextSurvey” date is always after the “dSurvey” date.

Where a classification societies carries out an audit to add (or remove) a ship type from the
DOC for a particular company and flag, this shall be recorded as a status change. In this

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scenario it is assumed that the overall dates of the DOC renewal audit do not change in
accordance with standard IACS procedure.

.Status Data description

This Status element is linked to the company element.

These fields are provided for each status description.

Length/
Item Occ. Type Description
format
Code of the DoC status given to the
cStatus 1 Char 1 to 3
ship
dStatus 1 Date yyyymmdd Date the status was delivered
Code of the reason for the change of
cReason 0-1 Char 1 to 2
status

• The “cStatus” of a DoC is supplied as a code according to chapter 3.4.5.

• The date “dStatus” is always before the date of reference. The date is mandatory for
each status.

• In the case where several cStatus are provided for with the same date the order of
the line in the XML file will determine the order of the operation.
But this should be very rare and avoided as much as possible.

• The “cReason” for the change of the DoC status is given as a code according to
chapter 3.4.6. This data is optional.

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3.4 Description of the code file

In all the decoding tables, one label is associated with each code.

The decoding tables needed for the exchange are the following:

•IACS members
General
•Flag
•Status
Classification
•Reason for a change of status
•Status
SMC and DoC
•Reason for a change of status
•ShipType
DoC only

3.4.1 IACS Members Codification

Each classification society is described by a 2 letter code:

Code IACS member

AB American Bureau of Shipping
BV Bureau Veritas
CC China Classification Society
CR Croatian Register of Shipping
VL DNV GL
IR Indian Register of Shipping
KR Korean Register of Shipping
LR Lloyd’s Register
NK Nippon Kaiji Kyokai
PR Polish Register of Shipping
RI RINA Services
RS Russian Maritime Register of Shipping

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3.4.2 Flag codification

.Data description

The information is divided into several fields which are defined in the following table:

Length/
Item Occ. Type Description
format
Code (unique identifier) used in the
CODE_FLAG 1 Char 3 IACS information system

LABEL_FLAG 1 Char 1-256 String used to define the flag code

.Decoding values

As provided by IACS.

3.4.3 Classification status codification

.Data description

The information is divided into several fields which are defined in the following table:

Length/
Item Occ. Type Description
format
CODE_CLASS_ Code (unique identifier) used in the
STATUS 1 Char 3 IACS information system
LABEL_CLASS_ Term used to define the code of the
STATUS 1 Char 1-99 status of the class certificate

.Decoding values

del in class
sus supended
rei reinstated
wit withdrawn
rea reassigned

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3.4.4 Codification of reasons for a change of classification status

.Data description

The information is divided into several fields which are defined in the following table:

Length/
Item Occ. Type Description
format
CODE_CLASS_ Code (unique identifier) used in the
1 Char 1-3
REASON IACS information system

String used to define the code for the

LABEL_CLASS
1 Char 1-256 reason of the change of status of the
_REASON
class certificate.

.Decoding values

a Survey overdue
b Non-compliance with conditions of class/recommendations
c Casualty
d by society for other reasons
0 Transfer of class to another IACS member
1 Transfer of class to a non-IACS society
2 Sold for recycling (scrap)
3 Owner’s request for other reasons

3.4.5 SMC and DoC status codification

.Data description

The information is divided into several fields which are defined in the following table:

Length/
Item Occ. Type Description
format
CODE_SMCDOC Code (unique identifier) used in the
1 Char 3
_STATUS IACS information system
LABEL_SMCDO String used to define the code of the
1 Char 1-99
C_STATUS status of the SMC

.Decoding values

del delivered
wit withdrawn
rea reassigned

Note : value “sus”, “rei”, “ast”, “rst” are not available (compared to previous versions of the
document)

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3.4.6 Codification of reasons of change of SMC and DoC status

.Data description

The information is divided into several fields which are defined in the following table:

Occ Length/
Item Type Description
. format
CODE_SMCDOC_ Code (unique identifier) used in the
1 Char 1-3
REASON IACS information system

LABEL_SMCDOC_ Term used to define the code for the

1 Char 1-256
REASON reason of the change of status.

.Decoding values

a periodical verification audit not requested

b corrective action not completed within agreed schedule
c unresolved major non-conformity
d amendments to the ISM code are not taken into account
e by society for other reasons
0 transfer of certification of management systems to another IACS member
1 transfer of certification of management system to a non-IACS body
2 sold for recycling (scrap)
3 company’s request for other reasons

3.4.7 Ship type Codification

.Data description

The information is divided into several fields which are defined in the following table:

Length/
Item Occ. Type Description
format
Code (unique identifier) used in the
CODE_SHIP 1 Char 2-4
IACS information system
String used to define the Ship Type
LABEL_SHIP 1 Char 1-256
code

.Decoding values (as per defined in the ISM code)

PS Passenger Ships
PSHC Passenger HSC
OT Oil Tankers
CT Chemical Tankers
GC Gas Carriers
BC Bulk Carriers
CHSC Cargo HSC
OCS Other Cargo Ships
MODU MODU’s

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3.4.8 IACS ship types

OT Oil Tanker Flag

CT Chemical Tanker
GT Gas Tanker
LC Other Bulk Liquid Carrier
BC Bulk Carrier (all combinations OB, OBO, OO)
GC General Cargo Vessel (including Ro-Ro Cargo, Container, Reefer, HSC Cargo)
PS Passenger Vessel (including Passenger / General Cargo, Passenger / Ro-Ro,
Passenger HSC)
ZZ Other Vessel Type

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3.5 Description of the code file error file

.Principle

When there are errors in the original file, the Equasis Technical Unit sends an e-mail back
with the erroneous data to the sender. This file contains the name of the original file with the
extension “.[Link]”.

.Description of the error file

The file is in the standard XML format and data is shown in the same manner than in the
original one. The root of this file is the same than the header of the original file.

The erroneous file is made with all the folders that the Equasis automated process cannot
manage to integrate or to treat entirely. The rules used to check the data quality are the ones
indicated in the business rules of the original data.

.Example

Original file Content of the erroneous file returned

Example of an erroneous data in a main Folder
Folder Folder
Error

Sub-Folders

Example of an erroneous data in a Sub-Folder

Folder Folder

Error

Sub-Folders Sub-Folder

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4. Annex:examples
4.1 XML datafile examples

XML code of the examples from §2.1:

Date of reference : 1/1/2007

<classExport
xmlns:xsi=[Link]
xsi:noNamespaceSchemaLocation="[Link]"
provider="BV"
release="1.8"
dReference="20070101"
classSupplied="Y"
smcSupplied="N"
docSupplied="N">

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<ship idIMO=”1234561”>
<certificate
cTypeCertificate=”CLASS”
dSurvey=”20060101”
dNextSurvey=”20110101”>
<status cStatus=”sus” dStatus=”20051103” cReason=”d”/>
<status cStatus=”rei” dStatus=”20060101”/>
</certificate>
</ship>

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<ship idIMO=”1234562”>
<certificate
cTypeCertificate=”CLASS”
dSurvey=”20030101”
dNextSurvey=”20080101”/>
</ship>

NOTHING: (including if the (next) renewal survey is under the 2 year rolling period).

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=> if the ship is withdrawn for more that 2 years ; she is not sent.

<ship idIMO=”1234564”>
<certificate
cTypeCertificate=”CLASS”
dSurvey=”20030101”
dNextSurvey=”20080101”>
<status cStatus=”wit” dStatus=”20051122” cReason=”0”/>
</certificate>
</ship>

</classExport>

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4.2 XML schema example

End of
Document

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 No.17

No.17 Reporting on deficiencies possibly affecting the

No.17
(Rev.0
(cont)
July 2009) implementation of the ISM Code on board
(Rev.1
Sept 2016)
during surveys
INTRODUCTION

The purpose of this Procedural Requirement is to ensure that the Organisation responsible
for the SMS audit of the ship is notified when deficiencies that may affect the proper
implementation of the safety management system are identified by a surveyor.

1. SCOPE AND APPLICATION

1.1 This document describes the procedure for reporting on deficiencies possibly affecting
the implementation of the ISM Code on board during class and statutory surveys and the
subsequent action to be taken.

1.2 This procedure applies to all cases of Classification Societies’ involvement in classing
the ship and/or being responsible for the SMS audit of the ship.

2. DEFINITIONS

2.1 “International Safety Management (ISM) Code” means the International Management
Code for the Safe Operation of Ships and for Pollution Prevention.

2.2 “Document of Compliance” (DOC) means a document issued to a Company that

complies with the requirements of the ISM Code.

2.3 “Safety Management Certificate” (SMC) means a document issued to a ship which
signifies that the company and its shipboard management operate in accordance with the
approved safety management system.

2.4 “Safety Management System” (SMS) means a structured and documented system
enabling Company personnel to implement effectively the company’s safety and
environmental protection policy.

2.5 “Deficiency” means a defect in, or a failure in the operation of the ship, a part of the
ship’s structure or its machinery, equipment, fittings, or a failure in the documentation,
possibly arising from the lack of implementation of the ISM Code on board.

2.6 “Report” means the documentation completed by the surveyor containing as a minimum
the information shown in Annex 1. The report may be in any format decided by the
Classification Society.

__________________
Note:

1. This Procedural Requirement applies from 1 July 2009.

2. Rev.1 of this Procedural Requirement applies from 1 Jan 2017.

Page 1 of 5 IACS Proc Req. 2009/Rev.1 2016

 No.17

3. WHEN TO COMPLETE THE REPORT

No.17
(cont) 3.1 When deficiencies possibly affecting the implementation of the ISM Code on board are
identified by the surveyor during a periodical (Annual/Intermediate/Special) Class Survey or
occasional Class Survey, Statutory Surveys, additional surveys relevant to Port State Control,
Flag State Inspections or any other occasion, a Report is to be completed by the surveyor.

3.2 The Classification Society shall internally document implementation of PR17,

regardless if deficiencies have been found (for example “Deficiencies reported under PR17:
Yes/No”).

4. WHAT TO REPORT

4.1 The following shall be reported by the surveyor:

i) deficiencies relating to technical conditions which may lead to the limitation,

suspension or withdrawal of a Class or Statutory Certificate;

ii) deficiencies caused by deviation from operational requirements;

iii) deficiencies relating to deviation from requirements for documentation and reporting;

iv) other deficiencies which may seriously affect the safety of ship, personnel or the
environment.

See Annex 2 for examples.

4.2 The following shall not be reported by the surveyor:

i) technical deficiencies, which are considered normal wear and tear for the ship type
and age;

ii) deficiencies which have already been identified by the Company or the crew,
reported as appropriate, and are being dealt with adequately by the Company
including the personnel working on board.

4.3 The report need not be issued when:

i) at surveys/attendance resulting from Port State or Flag State detentions there is

evidence available that the organisation responsible for the SMS audit of the ship
has been notified and is also required to carry out an additional ISM audit;

ii) an auditor from the organisation, responsible for the SMS audit of the ship is present
on board performing an audit and a surveyor has communicated the deficiencies
directly to the auditor. This shall be documented.

4.4 The surveyor must inform the master or Company representative that this information
may be communicated to the Organisation responsible for the SMS audit of the ship as
specified in the Continuous Synopsis Record.

Page 2 of 5 IACS Proc Req. 2009/Rev.1 2016

 No.17

5. REPORTING AND FOLLOW UP

No.17
(cont) 5.1 The report shall be submitted to the responsible department within the surveyor’s
Classification Society for review. The responsible department should finally judge whether the
reported deficiencies are possibly affecting the implementation of the ISM Code on board.

5.2 When the responsible department within the surveyor’s Classification Society judges
that the reported deficiencies are not affecting the implementation of the ISM Code on board,
the report is to be filed.

5.3 When the responsible department within the surveyor’s Classification Society judges
that the reported deficiencies are affecting the implementation of the ISM Code on board, the
report shall be sent to either:

a. the Classification Society acting as a Recognized Organisation that is responsible for

the SMS audit of the ship as specified in the Continuous Synopsis Record. The
contact details can be found on the IACS website:

[Link], located under:

• PR17 Contact Details, or

b. the Flag Administration, if the SMS was audited by the Flag Administration or an
organisation other than a Classification Society acting as a Recognized Organisation
in 5.3a.

5.4 The Classification Society acting as a Recognized Organisation that has audited the
ship for the issuance of the SMC shall review the report, and decide on what action, if any,
should be taken.

Page 3 of 5 IACS Proc Req. 2009/Rev.1 2016

 No.17

No.17 Annex 1 - Minimum contents of the Report on

(cont)
deficiencies possibly affecting the
implementation of the ISM Code on board
The report shall have a title.

1. Identification of ship:

- IMO number
- Ship’s name
- Flag

2. Identification of Survey/Attendance

3. Identification of SMC and DOC issuer:

- Organisation responsible for the SMS audit of the ship as specified in the
Continuous Synopsis Record
- Issuer of the DOC

4. Category of deficiency:

- Technical
- Operational
- Documentation
- Other

5. Details of deficiency

Page 4 of 5 IACS Proc Req. 2009/Rev.1 2016

 No.17

No.17 Annex 2 - Guidance for what to report

(cont)
Category of deficiency Examples
Technical deficiencies • Combination of deficiencies, that together indicates that the
maintenance system is not effectively implemented.
• Poor condition of hull, main deck, closing appliances, railings,
ladders.
• Defective/missing fire fighting and life saving appliances, oil
pollution prevention equipment.
• Leaks and oil in E/R spaces, pump-rooms etc.
• Deficiencies relating to technical conditions which may lead to the
limitation, suspension or withdrawal of a Class or Statutory
Certificate.

Operational deficiencies • Accidents and hazardous occurrences not reported to the

Company.
• Crew not able to satisfactorily conduct practical demonstrations of
shipboard operations, such as starting the fire pump, emergency
generator, lifeboat engine, etc.
• Crew not able to communicate effectively in the execution of their
duties.
• Inability of crew to perform satisfactorily mandatory drills such as
fire drills, LSA drills, pollution prevention drills, etc.

Documentation • Expired classification or statutory certificates or certificates not

deficiencies endorsed as required.
• Overdue surveys, overdue audits or overdue conditions of class.
• Ship’s copy of Document of Compliance (DOC) not valid or not
relevant to ship type.
• Original Safety Management Certificate (SMC) has incorrect data
or endorsements missing.
• Emergency response plans and relevant SOPEP manual not
available (contact points ashore should be current and
corresponding with Company name/address on DOC and SMC).
• Entries for relevant drills etc. in Log Book not completed in
accordance with mandatory requirements.
• Incorrect or missing entries in the Oil Record Book.
• Fire Plan not up to date.

Other deficiencies • Ship’s complement not complying with the Minimum Safe
Manning Certificate.
• Master, officers and ratings not certified as required by the STCW
Convention.
• Serious deficiencies in respect to housekeeping and maintenance
of galley, crew accommodation, and provisions stores.
• Port State or Flag State detentions if no evidence available, that
the organisation responsible for the SMS audit of the ship as
specified in the Continuous Synopsis Record has been notified.

End of
Document

Page 5 of 5 IACS Proc Req. 2009/Rev.1 2016

 No.18

No.18 Transfer of Safety and Security Management

No.18
(cont)
(Rev.0 July
2009) Systems Certification
(Rev.1
Sept 2012) Introduction

This Procedural Requirement governs the transfer of ISM and ISPS Code certification from
one Society (the losing Society) to another Society (the gaining Society), and is applicable
irrespective whether the Certification is mandatory or voluntary.

Application

This PR shall apply to all cases of transfer of ISM and ISPS Code certification between
Classification Societies who implement PR9/PR24, except as noted in section 2.0 below.

Societies shall follow this Procedural Requirement when a request from a Company is
received for the transfer of ISM and / or ISPS Code Certification from one Society to another
Society.

Annex 1 Process Flow Chart for transfer of certification

Annex 2 Link to Contact Points

Annex 3 Transfer of Certification (Form TC)

Notes:

1. This Procedural Requirement applies from 1 July 2009.

2. The Rev.1 of this Procedural Requirement applies from 1 February 2013.

Page 1 of 6 IACS Proc Req. 2012

 No.18

No.18 1.0 Definitions

(cont)
1.1 “Gaining Society (GS)” means a Society that receives a request for a transfer of ISM
Code certification for a Company or ship; or, the transfer of ISPS Code certification for
a ship from another Society.

1.2 “Losing Society (LS)” means a Society from which ISM Code certification or ISPS Code
certification is being transferred.

2.0 General

2.1 This procedure shall not apply in cases involving a change of management company.

3.0 Gaining Society’s Obligations and Reporting

3.1 On receiving a request from a Company to take over its ISM and / or ISPS Code
certification from another Society, the GS must inform the Company, in writing, that an
application for such certification can only be accepted by the GS after it has received
confirmation (with supporting documentation) that:

(i) The existing certificate has not been withdrawn or otherwise invalidated by the
LS or the Flag;

(ii) All verifications initiated by the LS have been satisfactorily completed by the LS,
unless otherwise agreed between the gaining and losing Societies; and

(iii) Any major non-conformities have been closed out or down-graded by the LS.

3.2 Where a written request for transfer of certification has been received from the
Company, the GS shall notify the LS of the Company’s request by using Step 1 of
Form TC.

3.3 If evidence of the certification status listed in Step 2 of Form TC is not received from
the LS within three (3) working days from notification, the GS may utilize the evidence
and certification information provided by the Company. In such cases, a statement
reminding the Company that the conditions of 3.1 are still applicable shall be given
when the GS requests this information from the Company.

3.4 An audit is required for the issue of a new certificate. If the certificate has been issued
by the flag, the auditor may endorse the certificate on behalf of the administration if
authorised to do so.

3.5 The audit by the GS shall address all elements of the ISM (ISPS) Code, to the extent
that the RO (RSO) is so authorized by the Administration, any flag Administration
requirements and any matters arising out of the last audit carried out by the LS. Where
the transfer of certification occurs within the annual, intermediate or renewal due date
window, the corresponding audit may serve as the audit required in 3.4.

3.6 If the audit is successful and a new certificate is issued by the GS, the GS must inform
the LS, within one (1) month of the date of issue, by completing Step 3 of Form TC.

3.7 When the audit is not successful and, as a result, the transfer of certification is not
accepted, the GS shall inform the LS, within two (2) working days of the date of the

Page 2 of 6 IACS Proc Req. 2012

 No.18

No.18 audit, by completing Step 3 of Form TC and attaching the audit report in which the
(cont) reason for the rejection should be fully explained.

4.0 Losing Society’s Obligations and Reporting

4.1 The LS shall co-operate by providing the information specified in Step 2 of Form TC
within three (3) working days of the receipt of the completed Step 1. The
documentation to be attached to the form by the LS includes:

(i) The last external audit report, including any non-conformities and failures
identified;

(ii) In the case of ISM non-conformities this should include the corrective action
plan and the time period(s) proposed for implementation;

(iii) In the case of ISPS failures, evidence that corrective action has been proposed
and the failure has been properly addressed; and

(iv) Any other information that may be relevant to the decision to accept or reject
the transfer of certification.

4.2 Upon receipt of information that a new certificate has been issued by the GS, the LS
shall issue a "Notification of Invalidation of Certification" in accordance with PR 9 or PR
24 as applicable, ensuring that the GS is included in its circulation.

4.3 Upon receipt of information that the audit is not successful because of an unresolved
major non-conformity and / or failure raised by the GS, the LS shall review the findings
and take action as appropriate.

5.0 Other Requirements

Any administrative differences arising in relation to the implementation of this PR that cannot
be settled privately between the gaining and losing Societies are to be solved under the IACS
Procedures, Volume 3, Annex 4 “IACS Procedure for handling a complaint” “Complaints
against QSCS Certificate Holders”.

Page 3 of 6 IACS Proc Req. 2012

 No.18

No.18 Annex 1: Process Flow Chart for transfer of certification

(cont)

Company Gaining Society Losing Society

Submit request for

Review current
transfer of
certification details
Certification

Be informed of
Is review
reasons for refusal of No
satisfactory?
transfer of certification

Yes

Complete Step 1 of Complete Step 2 of

Relevant Form Relevant Form and
Provide Information

Review Form
and attachments

Be informed of Be informed of
Is review
reasons for refusal of No No reasons for refusal of
satisfactory?
transfer of certification transfer of certification

Yes

Proceed with
Audit

Be informed of result
Be informed of reason Is Audit
No No by Step 3 of Form
why unsuccesful satisfactory?

Yes

Issue “Notification of
Be issued with a new Complete Step 3 of
invalidation of
Certificate Relevant Form
certification”

Page 4 of 6 IACS Proc Req. 2012

 No.18

No.18 Annex 2: Link to Contact Points

(cont)
The contact details can now be found on the IACS website [Link], located under
Procedural requirements:

- IACS PR-18 Contact Details (for ISM & ISPS matters)

Page 5 of 6 IACS Proc Req. 2012

 No.18

No.18 Annex 3: Transfer of Certification (Form TC)

(cont)
SPECIFY TRANSFER OF CERTIFICATION:

DOC … SMC … ISSC …

COMMON PARTICULARS:

Losing Society / Fax / e-mail

Gaining Society / Fax / e-mail

Company Name: Name of Ship:

Company Address: IMO Number:

Company No:

PROCEDURE:
STEP 1 to be completed by the GAINING SOCIETY and sent to LOSING SOCIETY
Relevant DOC
SMC ISSC
Information 1 2 3 4 5 6
Flag
Ship Type(s)
(PS, PHS, CHC,
BC, OT, CT,
GC, MODU,
OCS)
Responsible Person
Position
Date completed and sent

STEP 2 to be completed by the LOSING SOCIETY and sent to GAINING SOCIETY

Attached documentation:
Audit report …
Copy of certificate …
Details of agreed corrective action plan and time frame …
Any other attachment, including outstanding verification to be …
completed by losing society (specify)
Responsible Person
Position
Date completed and sent

STEP 3 to be completed by the GAINING SOCIETY and sent to LOSING SOCIETY

Verification successful? … Yes … No (attach audit report)
Responsible Person
Position
Date completed and sent

End of
Document

Page 6 of 6 IACS Proc Req. 2012

 No.19

No.19
No.19 Procedural Requirement for Thickness
(Rev.0
(cont)
July 2009) Measurements
(Rev.1
July 2017) 1. Thickness Measurements required in the context of hull structural classification surveys,
if not carried out by the Society itself shall be witnessed by a surveyor. The attendance of the
surveyor shall be recorded.

2. This requires the surveyor to be on board, while the gaugings are taken, to the extent
necessary to control the process (see Footnote).

2.1 Survey meeting

Prior to commencement of the Intermediate or Special survey, as required by UR Z7, UR

Z7.1, UR Z7.2, UR Z10s or UR Z15, a meeting is to be held between the attending
surveyor(s), the master of the ship or mobile offshore unit or an appropriately qualified
representative appointed by the master or Company, the owner’s representative(s) in
attendance and the thickness measurement firm’s representative(s) so as to ensure the safe
and efficient execution of the surveys and thickness measurements to be carried out
onboard.

Communication with the thickness measurement operator(s) and owner’s representative(s) is

to be agreed during the meeting, with respect to the following:

- reporting of thickness measurements on regular basis to the attending surveyor

- prompt notification to the surveyor in case of following findings:

- excessive and/or extensive corrosion or pitting/grooving of any significance
- structural defects like buckling, fractures and deformed structures
- detached and/or holed structure
- corrosion of welds.

When thickness measurements are taken in association with Intermediate or Special Survey,
a documented record indicating where and when the meeting took place and who attended
(the name of the surveyor(s), the master of the ship or mobile offshore unit or an
appropriately qualified representative appointed by the master or Company, the owner’s
representative(s) and the representative(s) of the thickness measurement firm(s)) is to be
maintained.

Footnote:
It is confirmed that this also applies to thickness measurements taken during voyages.

Notes:
1. This Procedural Requirement applies from 1 July 2009.
2. Refer to IACS Recommendation No.77 “Guidelines for the Surveyor on how to Control
the Thickness Measurement Process”.
3. The changes introduced in Rev.1 of this Procedural Requirement are to be uniformly
implemented from 1 January 2018.

Page 1 of 2 IACS Proc Req. 2009/Rev.1 2017

 No.19

2.2 Monitoring of the thickness measurement process onboard

No.19
(cont) The surveyor is to decide final extent and location of thickness measurements after overall
survey of representative spaces onboard.

In case the owner prefers to commence the thickness measurements prior to the overall
survey then the surveyor is to advise that the planned extent and locations of thickness
measurements are subject to confirmation during the overall survey.
Based on findings, the surveyor may require that additional thickness measurements have to
be taken.

The surveyor is to direct the gauging operation by selecting locations such that readings
taken represent, on average, the condition of the structure for that area.

Thickness measurements taken mainly to evaluate the extent of corrosion, which may affect
the hull girder strength, are to be carried out in a systematic manner of all longitudinal
structural members that are required to be gauged by the relevant UR(s).

Where thickness measurements indicate substantial corrosion or wastage in excess of

allowable diminution, the surveyor is to direct locations for additional thickness
measurements in order to delineate areas of substantial corrosion and to identify structural
members for repairs/renewals.

Thickness measurements of structures in areas where close-up surveys are required shall be
carried out simultaneously with close-up surveys.

2.3 Review and verification

Upon completion of the thickness measurements, the surveyor is to confirm that no further
gaugings are needed, or specify additional gaugings.

If, where special consideration is allowed by the UR(s), the extent of thickness measurements
is reduced, the surveyor’s special consideration is to be reported.

In case thickness measurements are partly carried out, the extent of remaining thickness
measurements is to be reported for the use of the next surveyor.

End of
Document

Page 2 of 2 IACS Proc Req. 2009/Rev.1 2017

 No.20

No. Procedural Requirement for certain ESP

20 Surveys
(Rev.0
July
2009) The objective of this PR is to improve the quality of surveys. This PR applies to surveys of
(Rev.1 hull structures and piping systems in way of cargo holds and/or cargo tanks, cofferdams,
Apr cargo pump rooms, pipe tunnels, void spaces, within the cargo length area and all ballast
2010) tanks. In the case of Bulk Carriers, selected fuel oil tanks within the cargo length area might
(Rev.2 be part of the areas to be surveyed according to the applicable provisions of the UR Z10.2 or
Apr UR Z10.5.
2016) Taking into consideration, the size of vessels and scope of surveys for vessels noted below, it
is more effective to have more than one surveyor examine the required spaces, holds or
tanks and to provide mutual support and consultation during the surveys in recommending
repairs and actions required for conditions of Class / Recommendations.

1. On ships 20,000 tonnes DWT and above, subject to ESP, starting with special survey
No.3, at special and intermediate hull classification surveys, the survey of hull
structure and piping systems to which this PR applies is to be carried out by at least
two exclusive surveyors. On bulk carriers 100,000 dwt and above of single side skin
construction at the intermediate hull classification survey between 10 and 15 years of
age, the survey of hull structure and piping systems to which this PR applies is to be
performed by at least two exclusive surveyors.

2. This requires that at least two exclusive surveyors attend on board at the same time to
perform the required survey1). Where compatible with relevant laws and regulations,
on dual class vessels, the requirement for two surveyors may be fulfilled by having
one surveyor attend from each Society.

3. Though each attending surveyor is not required to perform all aspects of the required
survey, they are required to consult with each other and to do joint overall and close-
up surveys to the extent necessary to determine the condition of the vessel areas to
which this PR applies. The extent of these surveys should be sufficient for the
surveyors to agree on actions required to complete the survey with respect to
renewals, repairs, and other recommendations or conditions of class. Each surveyor is
required to co-sign the survey report or indicate their concurrence in an equivalent
manner.

4. The following surveys may be witnessed by a single Surveyor:

• Thickness measurements in accordance with Procedural Requirement 19;

• Tank testing in accordance with the applicable UR Z10;

• Repairs carried out in association with Intermediate and Special Hull

Classification Survey, the extent of which have been agreed upon by the required
two surveyors during the course of the surveys.

Notes:
1. It is confirmed that this also applies to voyage surveys.
2. For definition of exclusive surveyors, refer to the Procedural Requirement No.5.
3. This Procedural Requirement applies from 1 July 2009.
4. Rev.1 of this Procedural Requirement applies from 1 July 2010.
5. Rev.2 of this Procedural Requirement applies from 1 January 2017.

Page 1 of 2 IACS Proc Req. 2009/Rev.2 2016

 No.20

5. Surveyors used to fulfill this requirement are to be qualified in the survey processes
involved.

6. The onboard attendance of the surveyors is to be documented according to the

Societies’ procedures.

End of
Document

Page 2 of 2 IACS Proc Req. 2009/Rev.2 2016

 No.21

No.21
No. Procedural Requirement for Statutory Surveys
(Rev.0
(cont)
July 2009) by Exclusive Surveyors
(Rev.1
Apr 2010) 1. On ships subject to mandatory IMO instruments, such as, but not limited to, the
(Rev.2 SOLAS, MARPOL and/or Load Line Conventions, all statutory surveys are to be carried out
Mar 2018) by exclusive surveyors as defined in PR 5.

2. This includes follow-up surveys relating to rectification of statutory deficiencies.

Approved service suppliers (see UR Z17) may be used to assist the exclusive surveyor.
Purely administrative work having no bearing on safety or pollution prevention may be carried
out by non-exclusive surveyors where allowed by the relevant flag Administration.

3. For the purpose of this Procedural Requirement, use of properly qualified, exclusive
surveyors employed by other Classification Societies is limited to exceptional and duly
justified cases and is subject to the discretion of the flag Administration.

Notes:

1. This Procedural Requirement applies from 1 July 2009.

2. For definition of exclusive surveyors, refer to the Procedural Requirement No.5.

3. Rev.1 of this Procedural Requirement applies from 1 July 2010.

4. Rev.2 of this Procedural Requirement applies from 1 January 2019.

End of
Document

Page 1 of 1 IACS Proc Req. 2009/Rev.2 2018

 No.22

No.
No. Procedural Requirement concerning IACS
22
(cont)
Societies’ involvement in monitoring CAS work
(Nov
2001) Deleted July 2009.
(Rev.1
Dec
2004)

End of
Document

Page 1 of 1 IACS Proc Req. 2001/Rev.1 2004

 No.23

No.23 Procedure for Reporting Cancellation of

No.23
(Rev.0
(cont)
July 2009) Approval of a Thickness Measurement Firm
(Rev.1
Aug 2013,
1. Introduction
complete
revision)
1.1 Firms engaged in thickness measurements on ships are subject to approval by the
(Corr.1
Classification Society in accordance with IACS Unified Requirement Z17.
Dec 2013)
1.2 The purpose of this Procedural Requirement (PR) is to provide a procedure by which
IACS Members, and non-IACS Member classification societies contributing through the TC
Forum and/or participating in an IACS Working Group which elect to comply with this PR,
advise each other when approval of a TM Firm has been cancelled for cause. In this PR,
IACS Members and participating non-IACS Member classification societies are referred to
collectively as “participating Societies”.

1.3 The IACS website provides links to the database of approved TM Firms maintained on
each participating Society’s, public website. Each participating Society is responsible to
inform IACS on alterations of the link in order to update the IACS website.

2. Notification of cancellation of approval for cause

2.1 When the approval of a TM Firm has been cancelled by a participating Society for any
of the following reasons:

a) service improperly carried out or the results improperly reported;

b) appropriate corrective action not taken for deficiencies found in the service operation
system within the time agreed by the Society;

c) the Society not being informed of alterations to the service operation system related to
compliance with requirements for approval;

d) wilful acts or omissions by the TM Firm related to compliance with requirements for
maintaining approval.

the Society is to send an email to the other participating Societies within 5 working days of
such cancellation.

Notes:

1. This Procedural Requirement applies from 1 July 2009.

2. Revision 1 applies from 1 November 2013.

Page 1 of 2 IACS Proc Req. 2009/Rev.1 2013/Corr.1 2013

 No.23

2.2 The e-mail is to be in the form set out below.

No.23
(cont) Notice of Cancellation of Thickness Measurement (TM) Firm Approval

Dear Madam/Sir,

This is to inform you that the approval of the following TM Firm has been
cancelled on the date shown below:

[TM Firm complete name as shown on Society’s public website]

[TM Firm complete address: Street Address or Post Office Box; City,
Province or State (where applicable), Country, Postal Code
(if available)]

due to [insert text of reason from 2.1, above].

Approval cancelled by [Society] on [DD/MM/YYYY].

2.3 The email is to be sent to the participating Societies’ points of contact in charge of
approval of TM Firms posted on the IACS website under “PR23 Contact Details” and the
IACS Permanent Secretary at email address efs@[Link].

2.3.1 Participating Societies are to advise the IACS Permanent Secretary of changes in their
points of contact as they occur and the Permanent Secretary is to update the PR 23 contact
details on the IACS website accordingly.

2.4 In cases where a participating Society has received an application for approval, renewal
or endorsement of a certificate from a TM Firm for which other participating Society(ies) have
reported cancellation of approval for cause, the reporting participating Society(ies) is(are) to
provide to the first Society additional information relevant to the reason for cancellation upon
request.

End of
Document

Page 2 of 2 IACS Proc Req. 2009/Rev.1 2013/Corr.1 2013

 No.24

No.24
No.24 Procedural Requirements for ISPS Code
(cont)
(Rev.0
July 2009) Certification
(Rev.1
Dec
2010)

Note:

1. This Procedural Requirement applies from 1 July 2009.

2. Rev.1 of this Procedural Requirement applies from 1 July 2011.

Page 1 of 14 IACS Proc Req. 2009/Rev.1 2010

 No.24

No.24 Introduction
(cont)
This document provides the Classification Societies with the methods and criteria for carrying
out Ship Security Plan (SSP) approvals and for issuing International Ship Security Certificates
(ISSCs) to ships following verification by audit that their security systems and any associated
security equipment comply with the requirements of the ISPS Code and the provisions of the
corresponding approved SSPs.

The Classification Societies may conduct approvals of SSPs or amendments thereto and
verification of SSPs necessary for issuing an ISSC on behalf of Administrations. Certificates
will comply with the format required by the flag Administrations.

1. Scope and Application

1.1 This document establishes the procedures for:

(i) review and approval of SSPs
(ii) verification of compliance with the requirements of the ISPS Code
(iii) issue of Interim, Initial, and Renewal ISSCs
(iv) intermediate verification
(v) additional verification
(vi) withdrawal of certification

1.2 This procedure is to be applied by Classification Societies when acting as RSOs on

behalf of Administrations in the conduct of SSP approvals, audits and the issue of certificates
in accordance with the ISPS Code.

1.3 The scopes of the verifications carried out in accordance with this procedure shall be
restricted to the Requirements of SOLAS Chapter IX-2 and the ISPS Code Part A taking into
account ISPS Code part B/8.1 to 13.8.

1.4 For minimum requirements relating to non-routine ISPS Code certification scenarios,
please refer to Annex 1.

2. Definitions

2.1 “Auditor” means a person trained, qualified and authorized in accordance with PR 10
to carry out SSP approval and audits.

2.2 “Convention” means the International Convention for the Safety of Life at Sea, 1974
as amended.

2.3 “ISPS Code” means the International Ship and Port Facility Security Code, (consisting
of Part A and Part B), as adopted by the IMO.

2.4 “Ship Security Assessment” (SSA) means an exercise carried out to identify possible
threats to key ship board operations and the likelihood of their occurrence and an evaluation
of existing security measures and weaknesses in the infrastructure, policies and procedures.

2.5 “Ship Security Plan” (SSP) means a plan developed to ensure the application of
measures on board the ship designed to protect persons on board, the cargo, cargo transport
units, ship’s stores or the ship from the risks of a security incident.

2.6 “Security System” is the system in place on board the ship which implements the
procedures, documentation and required records which are examined to verify compliance
with the requirements of the ISPS Code.

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 No.24

No.24 2.7 “Security Equipment” is equipment used in the implementation of the security
measures specified in the SSP.
(cont)
2.8 “Company Security Officer” (CSO) means the person designated by the company for
ensuring that a ship security assessment is carried out; that a ship security plan is developed,
submitted for approval and thereafter implemented and maintained, and for liaison with the
Port Facility Security Officer (PFSO) and the Ship Security Officer (SSO).

2.9 “Ship Security Officer” (SSO) means the person on board the ship, accountable to the
master, designated by the Company as responsible for the security of the ship, including
implementation and maintenance of the ship security plan and for the liaison with the CSO
and the Port Facility Security Officer (PFSO).

2.10 “Security Incident” means any act or circumstance that theatens the security of a ship,
a mobile offshore drilling unit, a high speed craft, a port facility, a ship/port interface or any
ship to ship activity.

2.11 “Security Level” means the qualification of the degree of risk that a security incident
will be attempted or will occur.

2.12 “Security Level 1” means the level for which minimum appropriate protective security
measures shall be maintained at all times.

2.13 “Security Level 2” means the level for which appropriate additional protective security
measures shall be maintained for a period of time as a result of heightened risk of a security
incident.

2.14 “Security Level 3” means the level for which further specific protective security
measures shall be maintained for a period of time when a security incident is probable or
imminent, (although it may not be possible to identify the specific target).

2.15 “Regulation” means a regulation of the Convention.

2.16 “Chapter” means a chapter of the Convention.

2.17 “Section” means a section of the ISPS Code Part A.

2.18 “Paragraph” means a paragraph of the ISPS Code Part B.

2.19 “Ship” when used in this Code, includes self propelled mobile offshore drilling units
and high speed craft as defined in chapters XI-2/1.

2.20 “Failure” means the non-fulfilment of a specified requirement that does not
compromise the ship’s ability to operate at security levels 1, 2 and 3. It may also be referred
to as a Non-conformity.

2.21 “Major Failure” means the non-fulfilment of a specified requirement that compromises
the ship's ability to operate at security levels 1, 2 or 3. It may also be referred to as a Major
Non-conformity.

2.22 “Observation” means a statement of fact made during an audit and substantiated by
objective evidence. It may also be a statement made by the auditor referring to the SSP
which, if not corrected, may lead to a Failure in the future.

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 No.24

No.24 2.23 “Verification” is confirmation through the evaluation of objective evidence that
specified requirements have been fulfiled. (See also 2.26)
(cont)
2.24 “Recognised Security Organisation” (RSO) means an organisation authorised by a
Contracting Government in accordance with SOLAS Chapter X1-2/1.16. When "Classification
Society" is used in this Procedural Requirement, it is always intended as "Classification
Society acting as RSO".

2.25 “Ship Security Alert System” (SSAS) means a system installed on board, either
interfaced with another radio installation or self-contained (abbreviated to SSAS-SC in this
PR), that complies with the functional requirements of SOLAS XI-2/6.2-6.4 and the
performance criterion of IMO MSC.147(77).

2.26 “Audit” means a process of systematic and independent verification by obtaining

objective evidence to determine whether the ship security related activities comply with the
ISPS-Code and the planned arrangements of the SSP and whether these arrangements are
implemented effectively to achieve the objectives of the ISPS-Code.

2.27 Any capitalized terms used in this Procedure which are not defined above have the
meanings given them in the Convention.

3. Criteria for Verification

3.1 Criteria for verification of compliance with the requirements of the ISPS Code shall be
in accordance with the applicable sections of the SOLAS XI-2 and the ISPS Code Part A.

3.2 A Classification Society performing verification of compliance with the requirements of

the ISPS Code shall meet the requirements of MSC/Circ. 1074 Appendix 1, paragraphs 3 to
5.

3.3 If a Classification Society has been involved in either the conduct of the SSA or the
development of the SSP or any amendments for a specific ship, that Classification Society
shall not, due to potential conflict of interest, approve the SSP or conduct verifications for the
certification of the ship.

3.4 A Classification Society that approves a SSP or issues an ISSC shall have
implemented a documented system for the qualification and continuous updating of the
knowledge and competence of auditors who perform such approvals or verifications in
compliance with PR 10.

3.5 Only auditors who are qualified as required by PR 10 shall carry out approvals and
verifications.

3.6 A Classification Society that approves a SSP or issues an ISSC shall have
implemented a documented system for the performance of the processes involved in
accordance with this Procedural Requirement. This system shall, inter alia, include
procedures and instructions for the following:
(i) the establishment of contract agreements with Companies in respect of their ships
(ii) the scheduling and performance of SSP approvals and verifications
(iii) the reporting of the results of SSP approvals and verifications
(iv) the issue of interim and full term ISSC certificates

3.7 The entire SSP approval and implementation audit process shall verify:
(i) that the SSP and any amendments are appropriate to the three security levels
defined by the ISPS Code

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 No.24

No.24 (ii) that the SSP is complaint with the ISPS Code
(iii) that the SSP is being effectively implemented on board
(cont)
4. Obligations of the Company

4.1 Where the verification of an SSP is to be carried out by a Classification Society that
did not carry out the SSP approval, the Company shall provide, if requested by the
Classification Society, a copy of the SSA report and the SSP prior to the audit on board.

4.2 The Company shall carry out internal audits and reviews of security activities at least
once every 12 months on board each ship.

4.3 The Company and the ship are to maintain records of external security verifications for
a minimum period of five (5) years.

4.4 Any amendments made to the security system, the security equipment or the SSP and
that are related to the requirements of ISPS Code A/9.4.1 to A/9.4.18, must be submitted to
the Classification Society for review and approval.

4.5 At the initial installation of the SSAS, the Company shall arrange for an approved
Radio Technician to test and issue a report on the equipment’s compliance with the
requirements of SOLAS XI-2/6, paragraphs 2 to 4. A SSAS-SC may be tested and reported
on by the SSO.

4.6 Following the initial installation of the SSAS, the Company is responsible for:
• testing and maintaining the SSAS to satisfy operational requirements according to the
approved SSP; and
• maintaining on board the SSAS records specified in ISPS Code A/10.1.10.

5. Ship Security Plan Approval

5.1 The Company is to prepare and submit to the Classification Society a SSP for each
ship. This SSP is to be reviewed and approved on behalf of the Administration.

5.2 Unless otherwise specified by the Administration, all changes to an approved SSP
related to the requirements of ISPS-Code A/9.4.1 to A/9.4.18 should be reviewed and
approved before implementation by the RSO that approved the SSP. The SSP and the
amendments are to be accompanied by the SSA from which they were developed.

5.3 The SSP shall be developed in accordance with the requirements of ISPS Code Part
A taking into account ISPS Code B/8.1 to 13.8, and shall be written in the working language,
or working languages, of the ship. If the language, or languages, used is not English, French
or Spanish, a translation into one of these languages shall be included. The Classification
Society undertaking the approval shall only consider the version of the SSP written in English,
French or Spanish.

5.4 When reviewing and approving a SSP, the auditor shall verify that the Company has
taken into account relevant security-related guidance and best management practices,
including the latest IMO Circulars concerning piracy, hijacking and armed robbery.

5.5 When the Classification Society approves the SSP and any amendments it should
retain, as a minimum, a copy of the:
(i) Letter of Approval
(ii) SSP title page
(iii) SSP index

Page 5 of 14 IACS Proc Req. 2009/Rev.1 2010

 No.24

No.24 (iv) Revision history of the SSP

(cont)
The title page shall be stamped as approved. All other pages of the SSP should be marked to
indicate review. The approved SSP shall be held on the ship.

5.6 The Classification Society that approves an amendment to an SSP shall determine
whether any additional verification is required relating to its implementation.

5.7 Where a Company has its SSP in electronic format, the Classification Society may
issue a Letter of Approval and retain a printed copy of the pages noted in 5.5 (ii) to (iv) which
shall be marked to indicate approval.

5.8 During the certification period, no Classification Society shall approve amendments to
a SSP approved by another RSO or an Administration.

5.9 Evidence should be sought that the Company Security Officer (CSO) has received
training in accordance with ISPS Code A/13.1. If evidence is not provided by the Company or
if there is objective evidence that the CSO has not received such training, the auditor should
inform the Company and the relevant Classification Society. When applicable, the information
should then be passed to the Classification Society (or Societies) that issues the ISSCs to the
Company’s ships for consideration at the shipboard audit.

6. Audit of Ships

6.1 Audits for the issue or renewal of ISSCs shall consist of the following steps:
(i) verification that an approved SSP is on-board
(ii) verification through a representative sample that the security system is being
implemented effectively
(iii) verification that all security equipment specified in the SSP complies with
applicable requirements
(iv) verification that all security equipment specified in the SSP, including the ship
security alert system (SSAS), is operational.

6.2 Initial, Intermediate and Renewal audits shall be performed only under normal
operating conditions and when the ship is fully manned in accordance with the Safe Manning
Certificate.

6.3 The auditor shall verify the effective implementation of the approved SSP and its
documented procedures based on objective evidence obtained by interviews, inspections,
review of documents and examination of records.

6.4 Following the initial installation of the SSAS, the Classification Society may approve
the related provisions in the SSP and verify, by audit and the witnessing of a complete
security alert test, the effective implementation of those provisions. Confirmation that the
SSAS complies with the requirements of paragraphs 2 to 4 of SOLAS XI-2 will be found in the
Radio Technician’s report (or the SSO’s report, in the case of a SSAS-SC).

6.5 At each subsequent scheduled audit the auditor shall examine the records of the
testing of the SSAS, identify the SSAS activation points and verify the effective
implementation of the procedures, instructions and guidance relating to the SSAS as
specified in A/9.4.18.

6.6 Intermediate and renewal audits shall include a review of Failures reported following
previous audits. The auditor shall select a sample of the reported Failures and verify that the
company is investigating, analyzing and resolving them effectively and in a timely manner.

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 No.24

No.24 6.7 The auditor has the authority to ask for information from any other RSO or, if relevant
the Administration, in order to check the accuracy of the information provided by the
(cont)
Company.

6.8 Where the audit of a ship is to be carried out by a Classification Society that did not
carry out the SSP approval, the Classification Society may review the SSP either at, or prior
to, the audit on board.

7 Failures and Corrective Action Follow-up

7.1 Audit findings shall be reviewed by the auditor(s) in order to determine whether they
should be reported as Major Failures, Failures or Observations.

7.2 At the end of the Audit, the auditor(s) shall hold a meeting with the senior
management of the ship and those responsible for the functions concerned. The purpose is to
present Major Failures, Failures and Observations to the ship’s management in such a
manner that they are clearly understood.

7.3 Failures shall be raised against the corresponding requirement of the ISPS Code, the
relevant sections or paragraphs of the SSP and any specific Flag State requirements.

7.4 An ISSC is not to be issued or renewed if a Major Failure exists. Immediate action is
required to restore compliance. The auditor shall verify the implementation of these measures
before the ship sails and a schedule for the implementation of preventative action shall be
agreed between the Company and the auditor to prevent recurrence. At least one additional
audit shall be carried out within the period agreed for the implementation of the corrective
action.

7.5 An ISSC shall not be issued or renewed until all identified Failures have been resolved
and compliance has been restored. In addition, depending on the nature and seriousness of
the Failure identified, a schedule for the implementation of preventative action may need to
be agreed between the Company and the auditor to prevent recurrence. Additional audits
may be carried out as necessary.

7.6 An ISSC shall not to be endorsed if a Major Failure exists. Immediate action is
required to restore compliance, thereby permitting the Major Failure to be down-graded. The
auditor shall verify the implementation of these measures before the ship sails and a
schedule for the implementation of preventative action shall be agreed between the Company
and the auditor to prevent recurrence. At least one additional audit shall be carried out within
the period agreed for the corrective action.

7.7 An ISSC may be endorsed following identification of a Failure, provided that a

schedule has been agreed between the Company and the auditor for the completion of
corrective action to restore compliance and to prevent recurrence. Additional audits may be
carried out as necessary.

8. Issuance and Endorsement of the International Ship Security Certificate (ISSC)

8.1 The ISSC shall be issued after an Initial or Renewal audit in accordance with 6.1.

8.2 The “type of ship” to be entered on the ISSC shall be selected from those defined in
SOLAS chapter IX Regulation 2.

8.3 The ISSC shall be endorsed at the Intermediate audit and at any additional audit
required by the Administration.

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 No.24

No.24 8.4 On completion of the audit, to facilitate the review of the auditor’s report prior to the
issue of the full-term certificate, an ISSC with validity not exceeding five (5) months may be
(cont)
issued by the auditor.

8.5 If, at the time when its ISSC expires, a ship is not in a port in which it is possible to
carry out a renewal audit, 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 a port in which the audit may take place. No certificate shall be
extended more than three months. Documentary evidence of the granting of the extension by
the Administration must be reviewed by the Classification Society before the extension is
endorsed.

8.6 At the request of the Company, the expiry date of ISSC may be aligned with the expiry
date on the Safety Management Certificate (SMC) provided that this does not exceed the five
(5) year period specified in ISPS Code A/19.3.

9. Opening and Closing Meetings

9.1 Shipboard verification audits shall start with an opening meeting, the purpose of which
is to:
(i) introduce the auditor to the ships management
(ii) explain the scope and purpose of the audit
(iii) provide a short summary of the methods and procedures to be used
(iv) establish the official communication line between the auditor and the shipboard
management
(v) confirm that the necessary resources, documentation and facilities are available
(vi) confirm the time and date of the closing meeting and any interim meetings

9.2 On completion of each audit, the auditor shall hold a closing meeting with the
shipboard management, as appropriate, to present the findings so that they are fully
understood.

10. Reporting Plan Approvals and Shipboard Audits

10.1 A report is to be produced after every SSP approval and audit.

10.2 In the case of a SSP approval, the Letter of Approval shall include the following
wording: “In the development of the Ship Security Plan, in accordance with ISPS Code A/9.4,
the provisions of ISPS Code B/8.1 to 13.8 have been duly taken into account and applied as
appropriate for the ship”.

10.3 The Letter of Approval shall be given to the company and retained on board the ship,
together with a copy of the audit report.

10.4 In the case of an audit, the report must include the following:
(i) the date and time of completion of the audit.
(ii) the status of the implementation of the SSP.
(iii) confirmation of the operational status of all security equipment and systems on
board.
(iv) reports of any Failures found during the audit.

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 No.24

No.24 11. Responsibilities Pertaining to Audits

(cont)
11.1 Responsibilities of the Classification Society.

11.1.1 The Classification Society is responsible for performing the audit and certification
process in accordance with this Procedure and relevant Administration requirements.

11.2 Responsibilities of the Auditor.

11.2.1 The auditor is responsible for:

(i) carrying out the audit effectively and efficiently
(ii) complying with the applicable procedural and regulatory requirements
(iii) noting in the report any obstacles to the effective conduct of the audit
(iv) organizing any special technical assistance required to verify compliance
(v) reporting the audit results clearly, concisely and without undue delay

11.2.2 Auditors shall treat all the information to which they have access during the course of
SSP approvals and shipboard verification audits in the strictest confidence.

12. Withdrawal of Certification

12.1 An interim ISSC shall not be issued to a ship from which a full-term ISSC has been
withdrawn.

12.2 When an ISSC has been withdrawn, a new certificate may be issued only after the
successful completion of an initial audit.

12.3 The new certificate shall have the same expiry date as the certificate that was
withdrawn.

13. Actions Following Port State Control Detentions

13.1 When a ship is detained and deficiencies relating to the ISPS Code are given as
reasons for the detention, the RSO that issued the ISSC shall carry out an additional audit.

13.2 Any Failures shall be dealt with in accordance with the relevant requirements of
paragraph 7 above.

13.3 If the auditor disagrees with the conclusions of the Duly Authorised Officer, the
reasons for the disagreement shall be documented in the audit report. The Duly Authorised
Officer, the Company and the Administration must be made aware of the auditor’s comments
in this respect.

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 No.24

Annex 1 ISPS Code Certification Scenarios - Minimum Requirements

No. Scenario Condition Type of Ship Security Plan Scope of Audit and Certification
Audit
1 Change of If conducted by Verification 1. Verify correct name on all certificates 1. Amend ISSC with new name.
ship’s a surveyor on board and in the title page, index page and
name revision page of SSP.

2. Change name on SSP Approval Letter 2. Send copy of amended certificate to

(PAL). issuing office.

3. Send copy of amended PAL to issuing 3. Issuing office issues replacement ISSC
office if appropriate. with same expiry date as the original
certificate if appropriate.

Note: A surveyor is not authorized to issue Note: One RSO cannot amend or endorse the
a PAL. ISSC of another.

If conducted by Verification 1. Review and approve amendments to 1. Issue replacement ISSC with same expiry
an auditor on board the SSP as required by PR24 6.4. date as previous one if appropriate.

2. Issue replacement PAL if appropriate.

A PAL should only be issued, if
changes to the SSP apply, which go
beyond the change of vessel's name.

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 No.24

No. Scenario Condition Type of Ship Security Plan Scope of Audit and Certification
Audit
2 Change of When SSP Additional 1. Carry out SSP approval. 1. Verify compliance with the requirements
ship’s flag has not yet Audit of the SSP.
been
approved and 2. Issue a PAL on behalf of the new 2. Issue a replacement certificate with the
when Administration. same expiry date as the original
authorized to certificate.
approve
SSPs

When SSP Interim 1. Check that the SSP is on board. 1. Interim verification as required by ISPS
has not yet Audit Code A/19.4.2.
been
approved and 2. Check that SSP addresses ISPS Code 2. Issue Interim ISSC.
when not A/9.4.1 to 9.4.18.
authorized to
approve 3. Check that a copy of the SSP has been
SSPs submitted to the Administration or its
RSO for approval.

When SSP Additional 1. Verify compliance with the requirements

has already Audit of the SSP.
been
approved 2. Issue a replacement certificate with the
same expiry date as the original
certificate.

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 No.24

No. Scenario Condition Type of Ship Security Plan Scope of Audit and Certification
Audit
3 Ship more ISSC is not Interim 1. Carry out a SSP approval (if required) 1. Interim verification as required by ISPS
than 6 valid Verification and issue a PAL. Code A/19.4.2.
months out
of service 2. If not authorized by the flag 2. Issue Interim ISSC.
Administration to carry out SSP
approval on its behalf, check that the
SSP is on board, that ISPS Code
A/9.4.1 to A/9.4.18 has been
addressed and that a copy has been
submitted to the flag Administration for
approval.

4 Change Additional 1. Approve SSP and issue PAL on behalf 1. Issue replacement ISSC with same expiry
from non- Audit of the flag administration. date as non-convention ISSC.
convention
to
convention

5 Change of 1. Request Company to confirm that SSP 1. Issue replacement ISSC with same expiry
Company contains no amendments. Issue date as previous ISSC.
name and replacement PAL.
address
2. If SSP does contain amendments,
company to submit SSP for approval.
Issue replacement PAL.

Note 1: The above instructions apply in the absence of any flag administration requirements to the contrary.
Note 2: The instructions relating to re-activation following lay-up do not apply to ships for which seasonal lay-ups are a normal part of their
operational routine.

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 No.24

Annex 2

Application of the ISPS Code to FPSOs and FSUs

See MSC-MEPC.2/Circ.9 of 25 May 2010 “GUIDANCE FOR THE APPLICATION OF

SAFETY, SECURITY AND ENVIRONMENTAL PROTECTION PROVISIONS TO FPSOs
AND FSUs”.

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 No.24

Annex 3

Notification of Invalidation of ISPS Certification (ISSC)

Ship’s Name: IMO No.

Company Name and Address: Certificate No.

Issued by:

The audit was conducted on behalf of the government of:

Type of audit; Intermediate Additional Renewal

(Tick as appropriate)

REASON FOR INVALIDATION OF CERTIFICATION (specify):

Name: Position: Society:

Date:

Distribution:

Copy to Company

Copy to Administration

Copy to Port State Authority (if appropriate)

Copy to Classification Society

End of
Document

Page 14 of 14 IACS Proc Req. 2009/Rev.1 2010

 No.25

No.
No. Procedure for Training and Qualification of
25
(cont)
Maritime Security Auditors
(May
2003) Deleted (Mar 2009) incorporated into PR10 (Rev.5 Mar 2009).
(Rev.1
Dec 2003)
(Rev.2
Feb 2004)
Rev.3
Apr 2005)
Rev.4
Apr 2006)

End of
Document

Page 1 of 1 IACS Proc Req. 2003/Rev.4 2006

 No.26

No.26
No. Procedure for reporting the number of ships
(May
(cont)
2003) issued with certification in accordance with the
(Rev.1
Apr 2004)
ISPS Code
(Rev.2
Dec 2007) Deleted Mar 2009

End of
Document

Page 1 of 1 IACS Proc Req. 2003/Rev.2 2007

 No.27

No.27
No. Transfer of ISPS Code Certification (TOSCA)
(Sept
(cont)
2004) Deleted (Jan 2008) and incorporated into PR18 (Rev.2 Jan 2008).
(Rev.1
Apr 2005)

End of
Document

Page 1 of 1 IACS Proc Req. 2004/Rev.1 2005

 No.28

No.28
No.28 Procedure for Statutory Certification at Change
(Rev.0
July 2009) of Flag without Change of Class
(cont)

(Rev.1
June 2016) 1. General
(Rev.2
Jan 2018) 1.1 The purpose of this Procedural Requirement is to lay down common procedures and
minimum statutory survey requirements for Societies in case of Change of Flag.

1.2 However, this Procedural Requirement does not prevent the Societies from expanding
the scope of statutory surveys at their own discretion or upon specific instructions of the
relevant flag State Administration.

1.3 Surveys carried out for Change of Flag at a date which is outside of appropriate time
windows for the periodical surveys of the corresponding certificate issued by, or on behalf of,
the losing flag Administration are to be understood as additional surveys which are carried
out solely for the purpose of Change of Flag. These surveys do not replace the surveys
required to be carried out within the appropriate time windows.

1.4 If a vessel was constructed originally without a known flag State, the Society shall verify
the vessel complies with national requirements of the gaining flag State Administration prior
to issue the relevant certification.

2. Application

2.1 This document is applicable if the new registering flag State Administration has
authorized the Society for survey and/or certification on its behalf and if the ship is subject to
the requirements of the applicable international Conventions and mandatory Codes. Survey
procedures are in accordance with the applicable international Conventions and mandatory
Codes.

2.2 This document does not specifically deal with audit/verification and/or certification
procedures in accordance with the ISM Code, the ISPS Code and MLC 2006. Relevant
procedures for ISM are more specifically laid down in item 14.4 of the ISM Code and PR 9,
for ISPS in section A.19.4.2 of the ISPS Code and PR 24 and for MLC 2006 in Standard
A5.1.3.7 of MLC 2006 and PR 36. For ISM, ISPS and MLC 2006 these more specific
requirements refer in connection with Change of Flag.

2.3 For flag States being Party of the SOLAS and LL1988 Protocols, the ‘Survey Guidelines
under the Harmonized System of Survey and Certification’ / IMO Resolution A.1104(29), as
amended, are to be observed.

For flag States not signatory to the SOLAS and/or LL1988 Protocols, the requirements for
SOLAS 1974, Regulation I/14 and/or for LL 1966, Article 14 are to be observed.

Note:

1. This Procedural Requirement applies from 1 July 2009.

2. Revision 1 of this Procedural Requirement applies from 1 January 2017.

3. Revision 2 of this Procedural Requirement applies from 1 January 2019.

Page 1 of 3 IACS Proc Req. 2009/Rev.2 2018

 No.28

3. Scope of Surveys
No.28
(cont) 3.1 In addition to the surveys indicated in 3.2, it will be insured that the new flag, port of
registry and ship’s name are indicated, as applicable, on statutory documents (Stability
booklet, SOPEP, etc.) and life boats, life rafts, life buoys, etc..

3.2 If the Change of Flag is to be undertaken outside the windows of the due dates for
surveys of new certificates which are going to be issued by, or on behalf of, the gaining Flag
Administration, then the scope of surveys for the main statutory certificates are to be:

3.2.1 SOLAS Safety Construction: Annual Survey

3.2.2 SOLAS Safety Radio: Renewal Survey/Periodical Survey

3.2.3 SOLAS Safety Equipment:* Annual Survey

3.2.4 SOLAS Passenger Ship Safety Cert.: 3.2.1 + Lifesaving and Fire-fighting
means and 3.2.2

3.2.5 Load Line: Annual Survey

3.2.6 MARPOL Annex I: Annual Survey

3.2.7 MARPOL Annex II: Annual Survey

3.2.8 MARPOL Annex IV: Renewal Survey

3.2.9 MARPOL Annex VI: Annual Survey

3.2.10 Fitness Cert. Gas/Chemicals: Annual Survey

* When changing from HSSC to Non-HSSC, the following applies:

a. If Change of Flag occurs within 2 years of the initial/last renewal, an Annual

Survey is required.
b. If Change of Flag occurs after 2 years of the initial/last renewal, a renewal
survey is required.

Note: Specific requirements of the Flag State Administration related to the above
statutory certificates are also to be considered.

3.3 For other statutory certificates not listed above the scope of survey is to be at least the
scope of the relevant annual survey.

3.4 If due dates for surveys of new certificates, which are going to be issued by, or on
behalf of, the gaining Flag Administration, are within the applicable time windows for
surveys, then the appropriate renewal/intermediate/periodical/annual surveys shall be carried
out. Due consideration to the circumstances shall be given in order to avoid unreasonable
burdens as could be inter alia a necessary dry-docking of the ship for renewal survey of the
SOLAS Cargo Ship Safety Construction Certificate or similar.

3.5 Surveys conducted within a three months’ time period prior to the date of Change of
Flag may be credited towards Change of Flag with the exception of SOLAS Safety Radio
survey.

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 No.28

3.6 If the Society was not authorized by the previous flag State Administration for survey
No.28 and/or certification or if the losing flag State Administration was not a Party to the relevant
(cont) Convention, then appropriate initial/renewal surveys are to be carried out for SOLAS Safety
Radio, Safety Equipment, Passenger Ship Safety Certificate, Load Line, MARPOL Annex I,
Annex II, Annex IV & Annex VI and Fitness Cert. Gas/Chemicals.

4. Obligations and reporting

4.1 The Society has the obligation to address the information related to Change of Flag as
specified by the gaining flag State Administration in terms of authorization. In case of
Alternative Design and Arrangements or exemptions are involved, the information or
documentation for approval of the Alternative Design and Arrangements or an exemption
pertaining to statutory aspects should be addressed to the gaining flag State Administration
for any further instructions.

End of
Document

Page 3 of 3 IACS Proc Req. 2009/Rev.2 2018

 No.29

No.29 Definition of date of “contract for

(Rev.0
(cont’d)
July 2009) construction”
1. The date of “contract for construction” of a vessel is the date on which the
contract to build the vessel is signed between the prospective owner and the
shipbuilder. This date and the construction numbers (i.e. hull numbers) of all the
vessels included in the contract are to be declared to the classification society by the
party applying for the assignment of class to a newbuilding.

2. The date of “contract for construction” of a series of vessels, including

specified optional vessels for which the option is ultimately exercised, is the date
on which the contract to build the series is signed between the prospective owner
and the shipbuilder.

For the purpose of this Procedural Requirement, vessels built under a single contract
for construction are considered a “series of vessels” if they are built to the same
approved plans for classification purposes. However, vessels within a series may
have design alterations from the original design provided:

(1) such alterations do not affect matters related to classification, or

(2) If the alterations are subject to classification requirements, these alterations are
to comply with the classification requirements in effect on the date on which the
alterations are contracted between the prospective owner and the shipbuilder or,
in the absence of the alteration contract, comply with the classification
requirements in effect on the date on which the alterations are submitted to the
Society for approval.

The optional vessels will be considered part of the same series of vessels if the option
is exercised not later than 1 year after the contract to build the series was signed.

3. If a contract for construction is later amended to include additional vessels or

additional options, the date of “contract for construction” for such vessels is the
date on which the amendment to the contract, is signed between the prospective
owner and the shipbuilder. The amendment to the contract is to be considered as
a “new contract” to which 1 and 2 above apply.

4. If a contract for construction is amended to change the ship type, the date of “contract
for construction” of this modified vessel, or vessels, is the date on which revised
contract or new contract is signed between the Owner, or Owners, and the
shipbuilder.

Note:

This Procedural Requirement applies from 1 July 2009.

End of
Document

Page 1 of 1 IACS Proc Req. 2009

 No.30

No.30
No. Procedure for Internal and External Reviews,
(June 2004)
(cont)
(Rev.1 Adoption and Entry into Force of the IACS
Oct 2004)
(Rev.2
Common Rules on Tankers and Bulk Carriers
June 2005)
(Rev.3 Deleted in June 2006, superceded by PR32.
Aug 2005)

End of
Document

Page 1 of 1 IACS Proc Req. 2004/Rev.3 2005

 No.31

No.31
No. Additional measures to ensure mandatory
(Rev.0
182009) application of IACS Unified Interpretations
July
(Rev.1
(cont)
July 2014)
Considering the mandatory nature of adopted IACS Unified Interpretations, Classification
Societies are to adopt measures requiring compliance with the IACS Unified Interpretations
applicable to a vessel, its machinery and equipment, in accordance with the implementation
dates and provisions stated in the UI, when acting as a recognized organization, authorized
by a flag State Administration to act on its behalf, unless provided with written instruction to
apply a different interpretation by the flag Administration.

These measures, which are to be available to clients, include, but are not limited to, inclusion
of:

1) the Unified Interpretations in the Society’s classification Rules, or

2) an appropriate provision in the Society’s contracts for statutory certification services,

or

3) a requirement in the Society’s classification Rules mandating compliance with IACS

Unified Interpretations.

Note: This PR does not require the application of IACS UIs to ships retroactively, except for
those UIs which explicitly require retroactive application.

_______________

Notes:

1. This Procedural Requirement applies from 1 July 2009.

2. Revision 1 of this Procedural Requirement applies from 1 August 2014.

End of
Document

Page 1 of 1 IACS Proc Req. 2009/Rev.1 2014

 No. 32

No.
No. Procedure for handling technical questions
32
32 regarding the IACS CSRs
(Rev.0
(cont)
July 1. The obligations of this Procedural Requirement apply to Classification Societies (CS)
2009) which have embedded the IACS Common Structural Rules for Double Hull Oil Tankers and/or
(Corr.1 Bulk Carriers into their classification Rules and which are subject to verification of compliance
Sept with QSCS.
2009)
(Rev.1 2. Each CS is responsible for internal procedures that provide the required framework for
Sept consistent implementation of the IACS CSR.
2011)
3. Each CS is to have a single point of contact to deal with the IACS CSR Maintenance
PTs.

4. When a CS receives questions, comments or requests regarding the IACS CSR, the
CS is to first access the IACS CSR Knowledge Centre (KC)1 to find out whether the same or
similar issue and its solution have already been documented.

4.1 If a solution is found in the CSR KC2, the CS is to reply to the initiator with the existing
solution.

4.2 In case the issue is simple or non-controversial, the CS may reply to the initiator at the
CS’s own responsibility.

4.2.1 CSs should advise the Permanent Secretariat of the following items for entry into the
CSR KC:

• Replies to the initiator made by a CS, if they are useful or substantial for uniform
application of the IACS CSRs.

• Claims received from the industry regarding inconsistent replies.

4.3 For the following items, the “Procedures for the CSR Maintenance” detailed in
Sections C6 Volume 4 of the IACS Procedures are to be followed and the CSR KC3 is to be
used:

• Issues involving new interpretation of the Rules

• Questions sent to more than one Society

• Consideration of equivalency

• Question requiring a Rule Change.

1
CS without access to the CSR KC should check the information on CSR on the IACS website.
2
Or on the IACS website for CS without access to the CSR KC.
3
CS without access to the CSR KC can raise the following matters with the IACS Permanent
Secretariat for entry into the CSR KC.
End of
Document

Page 1 of 1 IACS Proc Req. July 2009/Rev.1 2011

 No.33

No.33
No. Owner's Hull Inspection and Maintenance
(Rev.0
18
July Schemes
2009)
(cont)
Owner's hull inspection and maintenance schemes are to be encouraged as a means
for maintaining compliance with classification and statutory requirements between
surveys. However, these schemes are not to be accepted as an alternative to, or a
substitute for, the performance of required classification and/or statutory surveys of
the hull by the Surveyors of the Society, or of another duly authorized Society.*

*The Surveyors may be assisted, where appropriate, by service suppliers as defined

in UR Z17.

This Procedural Requirement applies from 1 July 2009.

End of
Document

Page 1 of 1 IACS Proc Req. 2009

 No.34

No.34 Procedural Requirement on Application of the

(Rev.0
(cont’d)
July 2009) IMO Performance Standard for Protective
(Corr.1
Aug 2009)
Coatings (PSPC), Resolution MSC.215(82),
under IACS Common Structural Rules for Bulk
Carriers and Oil Tankers

Deleted 1 July 2012.

End of
Document

Page 1 of 1 IACS Proc Req. 2009/Corr.1 2009

 No.35

No.35 Procedure for Imposing and Clearing

No.35
(Rev.0
(cont’d)
July 2009) Recommendations/Conditions of Class
1. Purpose

The purpose of this Procedural Requirement is to set unified procedures for imposing,
clearing and controlling Recommendations/Conditions of Class which Classification Societies
are to follow.

2. Definition

“Recommendations” and “Conditions of Class” are to be read throughout this Procedural

Requirement as being different terms used by Classification Societies for the same thing, i.e.
requirements to the effect that specific measures, repairs, surveys are to be carried out within
a specific time limit in order to retain Classification.

3. Procedures for Members to follow for imposing, clearing and controlling

Recommendations/Conditions of Class

3.1 Recommendations/Conditions of Class shall be imposed for the following:

a. Repairs and/or renewals related to damages that affect Classification

(e.g. grounding, structural damages, machinery damages, wastage over the
allowable limits, etc.)

b. Supplementary survey requirements

c. Temporary repairs

3.2 For repairs not completed at the time of survey, a Recommendation/Condition of

Class is to be imposed. In order to provide adequate information to the surveyor attending for
survey of the repairs, the Recommendation/Condition of Class is to be sufficiently detailed
with identification of items to be repaired. For identification of extensive repairs, reference
may be given to the survey report.

3.3 Recommendations/Conditions of Class may require imposing limitations related to

navigation and operation that are deemed necessary for continued operation under
Classification (e.g. loss of anchor and/or chain, etc).

3.4 Recommendations/Conditions of Class shall be given in writing with a time limit for
completion to the owner’s representatives/Ship’s Master, and are to be clearly stated on the
Certificate of Class or an attachment to the Certificate of Class and/or class survey status or
report.

3.5 Owners will be notified of these dates and that the vessel’s class will be subject to a
suspension procedure if the item is not dealt with, or postponed, by the due date. (Ref. PR1C,
A2)

Note: This Procedural Requirement applies from 1 July 2009.

Page 1 of 2 IACS Proc Req. 2009

 No.35

3.6 Clearance of Recommendations/Conditions of Class shall be supported by a survey

No.35 report giving details of all associated repairs and/or renewals, or of the supplemental surveys
(cont’d) carried out. Repairs carried out shall be reported with identification of:

• Compartment and location

• Structural member
• Repair method
• Repair extent
• NDT/Tests

3.7 Partially dealt with Recommendations/Conditions of Class shall be supported by a

survey report giving details of repairs and/or renewals, or of that part of the supplemental
surveys carried out and those parts remaining outstanding.

End of
Document

Page 2 of 2 IACS Proc Req. 2009

 No.36

No.
No. Transfer of Maritime Labour Convention, 2006
36
36 Certification
(cont)
(Mar
2013) Application

This Procedural Requirement contains procedures and requirements pertaining to the

transfer of Maritime Labour Convention, 2006 (MLC) certification when a request is received
from a shipowner for such transfer from one Classification Society (the losing Society) to
another Classification Society (the gaining Society), and is applicable irrespective whether the
certification is mandatory or voluntary.

The obligations of this Procedural Requirement apply to Classification Societies which are
subject to verification of compliance with QSCS.

This PR is applicable to all cases of transfer of MLC certification between Classification

Societies, except as noted in section 2.0 below.

Annex 1 Process Flow Chart for transfer of certification

Annex 2 Link to Contact Points

Annex 3 Transfer of Certification (Form TC MLC)

Annex 4 Notification of Invalidation of Maritime Labour Certificate

Note:

1. This Procedural Requirement applies to requests for transfers of MLC certification received
from 20 August 2013.

Page 1 of 7 IACS Proc Req. 2013

 No.36

No.
36 1.0 Definitions
(cont)
1.1 “Gaining Society (GS)” means a Society that receives a request for a transfer of MLC
certification for a ship.

1.2 “Losing Society (LS)” means a Society from which MLC certification is being
transferred.

2.0 General

2.1 This procedure shall not apply in the following cases:

2.1.1 Where there is a change of shipowner.

2.1.2 Where the certificate that is to be the subject of the transfer is an Interim certificate.

3.0 Gaining Society’s Obligations and Reporting

3.1 On receiving a request from a shipowner to take over its MLC certification from
another Society, the GS must inform the shipowner, in writing, that an application for such
certification can only be accepted by the GS after it has received confirmation (with
supporting documentation) that:

(i) The existing certificate has not been withdrawn or otherwise invalidated by the LS or
the Flag;

(ii) All inspections initiated by the LS have been satisfactorily completed by the LS, unless
otherwise agreed between the gaining and losing Societies; and

(iii) Any serious deficiencies have been closed out or downgraded by the LS.

3.2 Where a written request for transfer of certification has been received from the
shipowner, the GS shall notify the LS of the shipowner’s request by using Step 1 of Form TC
MLC.

3.3 If evidence of the certification status listed in Step 2 of Form TC MLC is not received
from the LS within three (3) working days from notification, the GS may utilize the evidence
and certification information provided by the shipowner. In such cases, the shipowner shall be
reminded that the conditions of 3.1 are still applicable when the GS requests this information
from the shipowner.

3.4 If the DMLC Part II was reviewed and certified previously by the LS, the GS shall re-
review the DMLC Part II before the onboard inspection, mentioned in item 3.5 below. If the
DMLC Part II was reviewed by the flag Administration, the GS will act in accordance with flag
Administration’s instructions relative to approval of the DMLC Part II.

3.5 An inspection is required for the issue of a new certificate.

3.6 The inspection by the GS shall address all required elements of the MLC, to the extent
that the Society is authorized by the Administration, any flag Administration requirements and
any matters arising out of the last inspection carried out by the LS. Where the transfer of

Page 2 of 7 IACS Proc Req. 2013

 No.36

certification occurs within the intermediate or renewal due date window, the corresponding
No. inspection may serve as the inspection required in 3.5.
36 3.7 If the inspection is successful and a new certificate is issued by the GS, the GS must
(cont) inform the LS, within one (1) month of the date of issue, by completing Step 3 of the Form TC
MLC.

3.8 When the inspection is not successful and, as a result, the transfer of certification is
not accepted, the GS shall inform the LS, within two (2) working days of the date of the
inspection, by completing Step 3 of the Form TC MLC and attaching the inspection report in
which the reason for the rejection should be fully explained.

4.0 Losing Society’s Obligations and Reporting

4.1 The LS shall co-operate by providing the information specified in Step 2 of the Form
TC MLC within three (3) working days of the receipt of the completed Step 1. The
documentation to be attached to the form by the LS includes:

(i) The last Maritime Labour Certificate issued;

(ii) The last inspection report, including any deficiencies identified, the corrective action
plan and the time period(s) proposed for implementation;

(iii) Any other information that may be relevant to the decision to accept or reject the
transfer of certification.

4.2 Upon receipt of information that a new certificate has been issued by the GS, the LS
shall issue a "Notification of Invalidation of Certification" in accordance with the Annex 4, as
applicable, ensuring that the GS is notified.

4.3 Upon receipt of information that the inspection is not successful because of an
unresolved serious deficiency raised by the GS, the LS shall review the deficiency and take
action as appropriate.

5.0 Other Requirements

Any administrative differences arising in relation to the implementation of this PR that cannot
be settled bilaterally between the gaining and losing Societies are to be brought to the
attention of the Permanent Secretariat for final resolution under the IACS Procedures Volume
3 Annex 4 “IACS Procedure for handling a complaint”.

Page 3 of 7 IACS Proc Req. 2013

 No.36

Annex 1: Process Flow Chart for transfer of certification

No.
36
(cont)
shipowner Gaining Society Losing Society

Submit request for

Review current
transfer of
certification details
Certification

Be informed of
Is review
reasons for refusal of No
satisfactory?
transfer of certification

Yes

Complete Step 1 of Complete Step 2 of

Relevant Form Relevant Form and
Provide Information

Review Form
and attachments

Be informed of Be informed of
Is review
reasons for refusal of No No reasons for refusal of
satisfactory?
transfer of certification transfer of certification

Yes

Proceed with DMLC

Part II review and
onboard inspection

Review and Inspection Be informed of result

Be informed of reason
No i satisfactory?
/I ti No by Step 3 of Form
why unsuccessful

Yes

Issue “Notification of
Be issued with a new Complete Step 3 of
invalidation of
Certificate Relevant Form
certification”

Page 4 of 7 IACS Proc Req. 2013

 No.36

Annex 2: Link to Contact Points

No.
The contact details can be found on the IACS website [Link], located under
36 Procedural requirements:
(cont)
• IACS PR-36 Contact Details (for MLC matters)

Page 5 of 7 IACS Proc Req. 2013

 No.36

Annex 3: Transfer of MLC Certification (Form TC MLC)

No.
36
(cont) COMMON PARTICULARS:

Losing Society e-mail _____________________________________________________

Gaining Society e-mail _____________________________________________________

Shipowner Name: _______________ Name of Ship: _________________

Shipowner Address: _______________ Ship IMO Number: _________________

PROCEDURE:

Step 1 To be completed by the GAINING SOCIETY and sent to

the LOSING SOCIETY

Flag
Ship type

(PS, PHS, CHC, BC, OT, CT,

GC, MODU, OCS)
Responsible Person
Position
Date completed and sent

Step 2 To be completed by the LOSING SOCIETY and sent to

the GAINING SOCIETY

Attached documentation
Last inspection report 
Copy of Maritime Labour Certificate 
Details of agreed corrective action plan and time frame 
Any other information including any outstanding inspection to be completed 
by losing society (specify)
Responsible Person
Position
Date completed and sent

Step 3 To be completed by the GAINING SOCIETY and sent to

the LOSING SOCIETY

Inspection successful?  Yes  No (attach inspection report)

Responsible Person
Position
Date completed and sent

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 No.36

Annex 4: Notification of Invalidation of Maritime Labour Certificate

No.
36 Ship’s Name: IMO No.
(cont)
Shipowner’s Name and Address: Certificate No.

Issued on behalf of:

REASON FOR INVALIDATION OF CERTIFICATE (specify):

Name: Position: Society:

Date: Signature:

Distribution:

Copy to Shipowner
Copy to Administration
Copy to Port State Authority (if appropriate)
Copy to Gaining society (in the case of a transfer of certification)

End of
Document

Page 7 of 7 IACS Proc Req. 2013

 No.37

No.
No. Procedural Requirement for Confined Space
37
37 Safe Entry
(Apr 2013)
(cont)
(Rev.1 Contents
May 2014)
(Rev.2 1 Objective
Dec 2018)
2 Definitions

2.1 Confined Space

2.2 Confined Space Entry (CSE)
2.3 Competent Person
2.4 Responsible Person
2.5 Attendant
2.6 Marine Chemist
2.7 Adjacent Space
2.8 Toxic Product
2.9 Surveyor
2.10 Permit to Enter/Permit to Work

3 Requirements

3.1 Training
3.2 Confined Space Entry Procedures
3.3 Equipment for Surveyors Entering a Confined Space

Note:

1. This Procedural Requirement applies from 30 June 2013

2. Revision 1 of this Procedural Requirement applies from 1 January 2015

3. Revision 2 of this Procedural Requirement applies from 1 July 2019

Page 1 of 5 IACS Proc Req. 2013/Rev.2 2018

 No.37

1 Objective
No.
This procedural requirement contains the minimum requirements that Societies shall
37 prescribe to help keep surveyors safe when conducting confined space entry.
(cont) Societies are free to take measures beyond those required in this document, but shall as a
minimum prescribe the requirements contained in this document and that they meet any
relevant occupational safety and health legislative requirements in place at locations where
work is conducted.

IACS recommendation 72 can be referred to for further guidance on confined space safe
entry practice.

2 Definitions

2.1 Confined Space

Confined Space means a space that has any of the following characteristics:

- Limited openings for entry and exit

- Unfavourable natural ventilation
- Not intended for continuous worker occupancy

It may include, but is not limited to: boilers, pressure vessels, cargo spaces (cargo holds, or
cargo tanks), cargo space stairways, ballast tanks, double bottoms, double hull spaces, fuel
oil tanks, lube oil tanks, sewage-tanks, pump-rooms, compressor rooms, cofferdams, void
spaces, duct keels, inter-barrier spaces, engine crankcases, excavations and pits.

2.2 Confined Space Entry (CSE)

Confined Space Entry is the process of entering, working in and exiting a confined space.

2.3 Competent Person

Competent person means a person with sufficient theoretical knowledge and practical
experience to make an informed assessment of the likelihood of oxygen deficient/enriched or
a dangerous atmosphere being present or subsequently arising in the space. Competent
person must be trained and qualified in the hazards of Confined Spaces and in use of
atmospheric monitoring devices. The Competent Person role may be performed by a Marine
Chemist.

2.4 Responsible Person

Responsible Person means a person authorised to permit entry to a confined space and
having sufficient knowledge of the procedure to be followed and other activities that are being
undertaken that could impact on the safety of those in a confined space.

2.5 Attendant

Attendant is a person who is suitably trained and responsible for maintaining a watch over
those entering the confined space, for maintaining communications with those inside the
space and for initiating the emergency procedures in the event of an incident occurring.

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 No.37

2.6 Marine Chemist

No.
A Marine Chemist is a person holding a valid and suitably recognised qualification as a
37 marine chemist or equivalent.
(cont)
2.7 Adjacent Space

An adjacent space is any space bordering the confined space in any directions, including all
points of contact, corners, diagonals, decks, tank tops and bulkheads.

2.8 Toxic Product

A Toxic Product means any chemical liquid, gas or solid material, which can give toxic vapour
and which is assigned with suffix "T" in column "k" of table given in Chapter 17 of IBC Code,
or assigned with suffix "T" or “F+T” in column "f" of table given in Chapter 19 of IGC Code, or
classified as a Toxic Substance (Class/Division 6.1) within the part 2 of IMDG Code, or any
other product which has a toxic symbol in the data sheet or is hazard classified as a toxic.

2.9 Surveyor

For the purpose of this Procedural Requirement a Surveyor is any person employed by the
classification society conducting activities within a confined space on behalf of this
classification society.

2.10 Permit to Enter/Permit to Work

A Permit to Enter or Permit to Work is a documented authorisation that has been signed and
dated, including time of issue by the Responsible Person, which states that the space has
been tested by a Competent Person and that the space is safe for entry; what precautions,
equipment etc. are required and what works is to be done.

3 Requirements

The requirements are categorised in three groups.

3.1 Training

3.1.1 All surveyors who are expected to enter and work in confined spaces shall be trained
in Occupational Safety and Health requirements for such activities. This training shall include:

[Link] Recognising a confined space

[Link] Role of the Competent Person, Responsible Person, Attendant and Marine
Chemist

[Link] How to recognise the hazards and manage the risks associated with Confined
Space Entries

[Link] Permit to Work (PTW) systems/control procedures at the workplace

[Link] Requirements for atmosphere testing and the interpretation of their results

[Link] Use of personal multi gas meters

[Link] Access, exit and safe working requirements

Page 3 of 5 IACS Proc Req. 2013/Rev.2 2018

 No.37

[Link] Emergency arrangements

No.
3.1.2 Competency in the areas covered by the training identified in 3.1.1 shall be
37 periodically assessed, either as part of activity monitoring or some other suitable means. The
(cont) maximum period between these assessments of competency is 3 years. Appropriate
refresher training shall be provided as determined necessary from the competency
assessment. The delivery mechanism for this refresher training is for the individual societies
to determine.

3.2 Confined Space Entry Procedures

Societies shall have documented procedures that cover the following points:

3.2.1 Include in their procedures the minimum requirements for Surveyors entry into a
confined space, as follows:

[Link] Safe entry procedures (such as entry permit, “safe for workers” certificate, “safe for
hot work” certificate, etc.) are in place, current and are being followed

[Link] The Responsible and Competent Persons are identified

[Link] The access and exit arrangements to and within the confined space are considered
safe. Where available, multiple entry and exit ways shall be opened

[Link] Communications arrangements are adequate

[Link] The confined space is adequately clean to allow safe working

[Link] The confined space lighting is adequate for entry/exit and to allow safe working in
a confined space

[Link] The atmosphere has been demonstrated as being safe (safe limits are:
atmospheric oxygen the range of 20.6% to 22% by volume, combustible gases less
than 5% of lower explosive limit, toxics within acceptable limits)

[Link] Adequate ventilation arrangements are in place and functioning

[Link] Isolation of the confined space, as applicable, from other tanks, cargo spaces,
pipes, etc. and of machinery in the space, is confirmed

[Link] Extreme temperature effects are adequately considered

[Link] Electrical equipment in the confined space is suitable and in acceptable condition

[Link] A dedicated Attendant is provided by the vessel’s management or the

management of the facility where the surveyor’s activities are carried out for the
complete duration of the time spent working in the confined space and the
Attendant has suitable means of initiating emergency response

[Link] Adequate emergency response arrangements are in place

3.2.2 No surveyor shall be the first to enter a confined space, and they shall be
accompanied at all times where the size of the space permits.

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 No.37

3.2.3 Surveyors shall not enter the confined space if they are required to wear breathing
No. apparatus.

37 3.2.4 Surveyor shall not enter the confined space if the surrounding noise can adversely
(cont) impact effective communication.

3.2.5 Surveyor shall not enter the confined space if a toxic product is contained in an
adjacent space, until the following is carried out:

[Link] A risk assessment is completed by the vessel’s Management Company and the risk is
mitigated.

[Link] All identified controls are confirmed in place prior to tank entry.

3.2.6 No surveyor shall be part of a rescue team.

3.2.7 Surveyors shall immediately leave a confined space, by the nearest safe exit, if any
alarms sound, or any physical impairment or distress is experienced by the surveyor.

3.2.8 If any of minimum requirements addressed in 3.2.1 through 3.2.7 are not complied
with or in any other situation where the surveyor has a valid concern over the safety of the
confined space, he/she shall refuse to enter the confined space.

3.2.9 The points addressed in 3.2.1 through 3.2.8 above shall be considered as part of
survey planning and reviewed as changes occur during any Confined Space Entry.

3.3 Equipment for Surveyors Entering a Confined Space

3.3.1 The following minimum set of Personal Protective Equipment shall be made
available by the society to surveyors for conducting a Confined Space Entry:

[Link] Protective clothing

[Link] Safety shoes/boots

[Link] Hard hat

[Link] Work gloves

[Link] Protective glasses and/or goggles

[Link] Ear defenders and/or ear plugs

[Link] An individual multi gas meter, in good working order, serviced and calibrated as
per the manufacturer’s instructions

[Link] A flashlight, appropriate to the nature of the confined space to be entered, and in
good working order

3.3.2 The surveyor must always use the necessary personal protective equipment
according to the specific conditions and the survey being carried out.

End of
Document

Page 5 of 5 IACS Proc Req. 2013/Rev.2 2018

 No.38

No.
No. Procedure for calculation and verification of the
38
38 Energy Efficiency Design Index (EEDI)
(May
(cont)
2013)
(Rev.1 Introduction
Mar
2016) This procedure applies to all cases of Class Societies’ involvement in conducting the survey
and certification of EEDI in accordance with regulations 5, 6, 7, 8 and 9 of MARPOL Annex VI
as a Verifier defined in the IMO “2014 Guidelines on Survey and Certification of the Energy
Efficiency Design Index (EEDI)” as amended in MEPC.1/Circ.855.

1 Definitions

“Industry Guidelines” means the “2015 Industry Guidelines for calculation and verification of
the Energy Efficiency Design Index (EEDI)” as submitted to MEPC 68 that may be revised in
order to remain in line with the relevant IMO Guidelines.

“Verifying Society” is a Society which conducts the survey and verification of EEDI of a ship.

“Witnessing Society” is a Society which has witnessed the towing tank test of a ship of the
same type as the ship whose EEDI is verified by the Verifying Society. “Ship of the same
type” is defined in IMO “2014 Guidelines on Survey and Certification of the Energy Efficiency
Design Index (EEDI)”.

“Witnessing protocol” is a document showing evidence of the witnessing and acceptance of

the towing tank test by the Witnessing Society, with indication such as date, signature and
possible remarks of the attending surveyor.

2 Scope of the Procedure

The scope of this procedure is defined in Part I of the Industry Guidelines.

Note:

1. This Procedural Requirement applies from 1 July 2013.

2. Rev.1 of this Procedural Requirement applies from 1 July 2016.

Page 1 of 3 IACS Proc Req. 2013/Rev.1 2016

 No.38

No. 3 Calculation of EEDI

38 The procedure to compute the EEDI is documented in Part II of the Industry Guidelines. For
(cont) the purpose of this Procedural Requirement, calculation of the EEDI is to be performed in
accordance with IMO “2014 Guidelines on the method of calculation of the attained Energy
Efficiency Design Index (EEDI) for new ships” and Part II of the Industry Guidelines, as
amended.

4 Verification of EEDI

The procedure to verify the EEDI is documented in Part III of the Industry Guidelines,
together with Appendixes 1, 3, 4 and 5. For the purpose of this Procedural Requirement,
verification of the EEDI is to be performed in accordance with IMO “2014 Guidelines on
Survey and Certification of the Energy Efficiency Design Index (EEDI)” and Part III of the
Industry Guidelines, as amended.
A sample of document to be submitted to the Verifier including additional information for
verification is provided in Appendix 2 of the Industry Guidelines.

5 Acceptance of towing tank tests witnessed by another Society

Further to the agreement of the submitter of the EEDI Technical File and the Shipowner, a
Verifying Society may accept towing tank tests reports witnessed by another Society if the
towing tank tested ship is of the same type as the ship of which the EEDI is verified.

Copies of the following documents are to be provided to the Verifying Society, with due
consideration given to the protection of the Intellectual Property Rights (IPR) as indicated
under paragraph 14 of the Industry Guidelines:

- Calculation of the reference speed of the verified ship explicitly making reference to the
speed power curves of the tank tested ship model

- Witnessing protocol of the tank tested ship endorsed by the surveyor of the Witnessing
Society

- Towing tank test report of the tank tested ship

On specific request of the Verifying Society, the following additional information is to be

submitted:

- Ship lines and model particulars, loading and operating conditions of the tank tested
ship as described in [Link] of IMO “2014 Guidelines on Survey and Certification of the
Energy Efficiency Design Index (EEDI)” as amended, showing that the verified ship and
the tank tested ship are of the same type

If some of the relevant information is held by the original Witnessing Society, the submitter
should authorize the Witnessing Society to make the information available to the Verifying
Society.

6 New ship (as per MARPOL Annex VI Regulation 2) designed before the entry into
force of the MARPOL Annex VI amendments introducing the EEDI

It is expected that the towing tank tests of a new ship performed before the entry into force of
MARPOL Annex VI amendments introducing the EEDI have not been witnessed by a Verifier.
In this case, towing tank test results provided by a tank test organization with quality control

Page 2 of 3 IACS Proc Req. 2013/Rev.1 2016

 No.38

certified according to a recognized scheme or with experience acceptable to the Verifying

No. Society may be accepted by the Verifying Society.

38
(cont) Attached:

2015 Industry Guidelines for calculation and verification of the Energy Efficiency Design Index
(EEDI)

End of
Document

Page 3 of 3 IACS Proc Req. 2013/Rev.1 2016

 2015 Industry Guidelines for calculation and verification of EEDI

2015 INDUSTRY GUIDELINES FOR CALCULATION AND VERIFICATION OF THE ENERGY

EFFICIENCY DESIGN INDEX (EEDI)

TABLE OF CONTENTS

Part I – Scope of the Industry Guidelines

1 Scope of the Guidelines……………………………………………………………….… 2
Part II – Explanatory notes on calculation of EEDI
2 Introduction…………………………………………………………………………….…. 4
3 EEDI formula………………………………………………………………………….….. 4
4 Fuel consumption and fuel conversion factor………………………….……………... 5
5 Capacity, power and speed……………………………………………………………... 6
6 Shaft generator and shaft motor…………………………………………………….….. 7
7 Weather factor fw……………………………………………………………………….. 13
8 Correction factor for ship specific design elements fj……………………………….. 13
9 Capacity factor fi………………………………………………………………………... 13
10 Cubic capacity correction factor fc and cargo gears factor fl……………………….. 14
11 Innovative energy efficient technologies……………………………………………... 14
12 Example of calculation…………………………………………………………………. 14
Part III – Verification of EEDI
13 Verification process…………………………………………………………………….. 17
14 Documents to be submitted…………………………………………………………… 17
15 Preliminary verification at the design stage………………………………………….. 19
16 Final verification at sea trial………………………………………………………….… 23
17 Verification of the EEDI in case of major conversion…………………….…………. 25
1 Appendix 1. Review and witness points……………………………………………… 27
2 Appendix 2. Sample of document to be submitted to the verifier…………………. 30
3 Appendix 3. Verifying the calibration of model test equipment………………........ 46
4 Appendix 4. Review and witnessing of model test procedures……………………. 52
5 Appendix 5. Sample report "preliminary verification of EEDI"……………………... 59
6 Appendix 6. Sample calculations of EEDI………………………………………....... 60

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Part I - Scope of the Industry Guidelines

1 Scope of the Guidelines

1.1 Objective

The objective of these Industry Guidelines for calculation and verification of the Energy
Efficiency Design Index (EEDI), hereafter designated as “the Industry Guidelines”, is to
provide details and examples of calculation of attained EEDI and to support the method and
role of the verifier in charge of conducting the survey and certification of EEDI in compliance
with the following IMO Resolutions:

● 2014 Guidelines on the method of calculation of EEDI for new ships, Res.
MEPC.245(66) adopted on 4 April 2014, as amended, referred to as the "IMO
Calculation Guidelines" in the present document
● 2014 Guidelines on survey and certification of EEDI, Res. MEPC.254(67) adopted
on 17 October 2014, as amended, referred to as the "IMO Verification Guidelines" in
the present document
● 2013 interim Guidelines for determining minimum propulsion power to maintain the
manoeuvrability of ships in adverse conditions, Res. MEPC.232(65) as amended
● 2013 Guidance on treatment of innovative energy efficiency technologies for
calculation and verification of the attained EEDI, MEPC.1/Circ.815

In the event that the IMO Guidelines are amended, then pending amendment of these
Industry Guidelines, calculation and verification of EEDI are to be implemented in compliance
with the amended IMO Guidelines.

1.2 Application

These Guidelines apply to new ships as defined in regulation 2.23 of MARPOL Annex VI of
400 gross tonnage and above of the types defined in regulations 2.25 to 2.31, 2.33 to 2.35,
2.38 and 2.39, as follows:

● Bulk carrier
● Gas carrier
● LNG carrier (contracted on or after 1 September 2015)
● Cruise passenger ship having non-conventional propulsion (contracted on or after 1
September 2015)
● Tanker
● Container ship
● General cargo ship
● Ro-ro cargo ship (vehicle carrier) (contracted on or after 1 September 2015)
● Ro-ro cargo ship (contracted on or after 1 September 2015)
● Ro-ro passenger ship (contracted on or after 1 September 2015)
● Refrigerated cargo carrier
● Combination carrier

The calculation and verification of EEDI shall be performed for each:

1. new ship before ship delivery
2. new ship in service which has undergone a major conversion
3. new or existing ship which has undergone a major conversion that is so extensive
that the ship is regarded by the Administration as a newly constructed ship

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The Industry Guidelines shall not apply to ships which have non-conventional propulsion,
such as diesel-electric propulsion, turbine propulsion or hybrid propulsion systems, with the
exception of cruise passenger ships with diesel-electric propulsion and LNG carriers having
diesel-electric or steam turbine propulsion systems.

The Industry Guidelines shall not apply to cargo ships having ice-breaking capability as
defined in regulation 2.42 of MARPOL Annex VI As a consequence, the Industry Guidelines
apply to cargo vessels with ice class up to and including Finnish-Swedish ice class 1A Super
or equivalent unless they qualify as a ship with ice-breaking capability in which case they are
exempt. The intermediate Polar Classes, namely PC4 and PC5, need to demonstrate ice-
breaking capability through ice trials to qualify. In the initial stages, ice-breaking capability can
be demonstrated based on ice tank tests.

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Part II - Explanatory notes on calculation of EEDI

2 Introduction

The attained Energy Efficiency Design Index (EEDI) is a measure of a ship's energy
efficiency determined as follows:

The CO2 emission is computed from the fuel consumption taking into account the carbon
content of the fuel. The fuel consumption is based on the power used for propulsion and
auxiliary power measured at defined design conditions.

The transport work is estimated by multiplying the ship capacity as defined under 2.3 of the
IMO Calculation Guidelines by the ship’s reference speed at the corresponding draft. The
reference speed is determined at 75% of the rated installed power in general and 83% of the
rated installed propulsion power for LNG carriers having diesel electric or steam turbine
propulsion systems.

3 EEDI formula

The EEDI is provided by the following formula:

With the following notes:

The global fi factor may also be written:

)

where each individual fi factor is explained under section 9 of this document.

If part of the normal maximum sea load is provided by shaft generators, the term
may be replaced by:

with the condition .

Where the total propulsion power is limited by verified technical means as indicated under
section 6, the term is to be
replaced by 75 percent of the limited total propulsion power multiplied by the average
weighted value of ([Link]) and ([Link]).

Due to the uncertainties in the estimation of the different parameters, the accuracy of the
calculation of the attained EEDI cannot be better than 1%.

Therefore, the values of attained and required EEDI have to be reported with no more than
three significant figures (for instance, 2.23 or 10.3) and the checking of Regulation 20,
chapter 4 of MARPOL Annex VI is to be verified in accordance with this accuracy.

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4 Fuel consumption and Fuel Conversion Factor

4.1 General

The conversion factor CF and the specific fuel consumption, SFC, are determined from the
results recorded in the parent engine NOx Technical File as defined in paragraph 1.3.15 of
the NOx Technical Code 2008.

The fuel grade used during the test of the engine in the test bed measurement of SFC
determines the value of the CF conversion factor according to the table under 2.1of the IMO
Calculation Guidelines.

SFC is the corrected specific fuel consumption, measured in g/kWh, of the engines. The
subscripts ME(i) and AE(i) refer to the main and auxiliary engine(s), respectively. SFCAE is the
power-weighted average among SFCAE(i) of the respective engines i.

For main engines certified to the E2 or E3 test cycles of the NOx Technical Code 2008, the
engine Specific Fuel Consumption (SFCME(i)) is that recorded in the test report included in a
NOx Technical File for the parent engine(s) at 75% of MCR power.

For engines certified to the D2 or C1 test cycles of the NOx Technical Code 2008, the engine
Specific Fuel Consumption (SFCAE(i)) is that recorded in the test report included in a NOx
Technical File for the parent engine(s) at 50% of MCR power or torque rating.

The SFC is to be corrected to the value corresponding to the ISO standard reference
conditions using the standard lower calorific value of the fuel oil (42,700kJ/kg), referring to
ISO 15550:2002 and ISO 3046-1:2002.

For LNG driven engines for which SFC is measured in kJ/kWh, the SFC value is to be
converted to g/kWh using the standard lower calorific value of the LNG (48,000 kJ/kg),
referring to the 2006 IPCC Guidelines.

For those engines which do not have a test report included in a NOx Technical File because
its power is below 130 kW, the SFC specified by the manufacturer is to be used.

At the design stage, in case of unavailability of test reports in the NOx Technical File, the
SFC value given by the manufacturer with the addition of the guarantee tolerance is to be
used.

4.2 Dual-fuel engines

Gas fuel may be used as primary fuel for one or more of the main and auxiliary engine(s) in
accordance with paragraph 4.2.3 of the IMO Verification Guidelines.

For these dual-fuel engines, the CF factor and the Specific Fuel Consumption for gas (LNG)
and for pilot fuel should be combined at the relevant EEDI load point as described in 2.5.1
and Appendix 4 of the IMO Calculation Guidelines.

4.3 LNG carriers with steam turbine propulsion

The Specific Fuel Consumption of the steam turbine should be determined during the running
tests of the main boilers and steam turbines on board under load during the sea trials. For
preliminary estimate of EEDI, manufacturer’s certificate is to be used.

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5 Capacity, power and speed

5.1 Capacity

The capacity of the ship is computed as a function of the gross tonnage for cruise passenger
ships and of the deadweight for other types of ships as indicated under 2.3 of the IMO
Calculation Guidelines.

For the computation of the deadweight according to 2.4 of the IMO Calculation Guidelines,
the lightweight of the ship and the displacement at the summer load draught are to be based
on the results of the inclining test or lightweight check provided in the final stability booklet. At
the design stage, the deadweight may be taken in the provisional documentation.

5.2 Power

The installed power for EEDI determination is taking into account the propulsion power and in
general a fixed part of the auxiliary power, measured at the output of the crankshaft of main
or auxiliary engine.

The power PME is defined as 75% MCR of all main engines in general.

For LNG carriers having diesel electric propulsion system, the power PME is 83% of the rated
output of the electrical propulsion motor(s) divided by the electrical chain efficiency from the
output of the auxiliary engines to the output of the propulsion motor(s).

For LNG carriers having steam turbine propulsion system, the power PME is 83% of the rated
installed power of steam turbines.

The total propulsion power is conventionally taken as follows:

In this formula:

● The value of PME(i) may be limited by verified technical means (see 6 below)

● The total propulsion power may be limited by verified technical means. In particular
an electronic engine control system may limit the total propulsion power, whatever
the number of engines in function (see 6 below)

The auxiliary power can be nominally defined as a specified proportion of main engine power
aiming to cover normal maximum sea load for propulsion and accommodation1. The nominal
values are 2.5% of main engine power plus 250 kW for installed main engine power equal to
or above 10 MW. 5% of main engine power will be accounted if less than 10 MW main engine
power is installed. Alternatively, as explained below, the value for auxiliary power can be
taken from the electric power table (EPT) of the ship.

1 by paragraphs [Link] to [Link] of the IMO Calculation Guidelines.

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In addition, if shaft motors are installed, then in principle 75% of the shaft motor power is
accounted for in the EEDI calculation. Detailed explanation about this is given in section 6.

For a ship where the PAE value calculated by paragraphs [Link] to [Link] of the IMO
Calculation Guidelines is significantly different from the total power used at normal seagoing
operations, e.g. for cruise passenger ships, and as an option if the difference leads to a
variation of the computed value of the EEDI exceeding 1%, the PAE value could be estimated
by the electric power (excluding propulsion) in conditions when the ship is engaged in a
voyage at reference speed (Vref ) as given in the electric power table (EPT), divided by the
average efficiency of the generator(s) weighted by power.

5.3 Speed Vref

The speed Vref is the ship speed, measured in knots, verified during sea trials and corrected
to be given in the following ideal conditions:
● in deep water of 15°C
● assuming the weather is calm with no wind, no current and no waves
● in the loading condition corresponding to the Capacity
● at the total propulsion power defined in 5.2 taking into account shaft generators and
shaft motors

6 Shaft generator and shaft motor

6.1 Introduction and background

As for 2.5.2 and 2.5.3 of IMO Calculation Guidelines, content of this section applies to ships
other than LNG carriers having diesel-electric propulsion system. For LNG carriers with
diesel-electric propulsion, the factor 0.75 between the propulsion power and the rated power
is to be replaced by 0.83.

Ships need electrical power for the operation of engine auxiliary systems, other systems,
crew accommodation and for any cargo purposes. This electrical power can be generated by
diesel-generator sets (gen-sets), shaft generators, waste heat recovery systems driving a
generator and possibly by new innovative technologies, e.g. solar panels.

Diesel-generator sets and shaft generators are the most common systems. While diesel-
generator sets use a diesel engine powering a generator, a shaft generator is driven by the
main engine. It is considered that due to the better efficiency of the main engine and
efficiency of the shaft generator less CO2 is emitted compared to gen-set operation.

The EEDI formula expresses the propulsion power of a vessel as 75% of the main engine
power PME. It is also termed shaft power PS, which corresponds to the ship’s speed Vref in the
EEDI formula.

PAE - the auxiliary power - is also included in the EEDI formula. However, this power demand
is largely dependent on loading and trading patterns and it must also incorporate safety
aspects, for example, the provision of a spare generator set. As noted in section 5, the
auxiliary power can generally be taken into account as a fixed proportion of the main engine
power (i.e. nominally 2.5% plus 250kW) 2.

2 c.f.: precise instruction in IMO Calculation Guidelines.

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The use of shaft generators is a well proven and often applied technology, particularly for
high electrical power demands related to the payload e.g. reefer containers. Usually a ship
design implements a main engine to reach the envisaged speed with some provision of sea
margin. For the use of a shaft generator past practice and understanding was to install a
bigger main engine to reach the same speed compared to the design without a shaft
generator and to then have the excess power available from the main engine at any time for
generation of electrical power. As a rule of thumb, one more cylinder was added to the main
engine to cover this additional power demand.

The difficulty with this issue for calculation of the EEDI is that the excess power could be
used to move the ship faster in the case where the shaft generator is not in use which would
produce a distortion between ship designs which are otherwise the same.

The IMO Calculation Guidelines take these circumstances into account and offer options for
the use of shaft generators. These options are described in detail, below.

Further, electric shaft motors operate similarly to shaft generators; sometimes a shaft
generator can act as a shaft motor. The possible influence of shaft motors has also been
taken into account in the IMO Calculation Guidelines and is also illustrated, below.

6.2 Main engine power without shaft generators

The main engines are solely used for the ship’s propulsion. For the purpose of the EEDI, the
main engine power is 75 % of the rated installed power MCRME for each main engine:
PME (i )  0.75  MCRME ( i )

6.3 Main engine power with shaft generators

Shaft generators produce electric power using power from the prime mover (main engine).
Therefore the power used for the shaft generator is not available for the propulsion. Hence
MCRME is the sum of the power needed for propulsion and the power needed for the shaft
generator. Thus at least a part of the shaft generator’s power should be deductible from the
main engine power (PME).

The power driving the shaft generator is not only deducted in the calculation. As this power is
not available for propulsion this yields a reduced reference speed. The speed is to be
determined from the power curve obtained at the sea trial as explained in the schematic
figure provided in paragraph 2.5 of the IMO Calculation Guidelines.

It has been defined that 75% of the main engine power is entered in the EEDI calculation. To
induce no confusion in the calculation framework, it has therefore also been defined to take
into account 75% of the shaft power take off.

For the calculation of the effect of shaft generators, two options are available.

6.3.1 Option 1

For this option, PPTO(i) is defined as 75% of the rated electrical output power MCRPTO of each
shaft generator. The maximum allowable deduction is limited by the auxiliary power PAE as
described in Paragraph 2.6 in the IMO Calculation Guidelines.

Then the main engine power PME is:

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PPTO i   0.75  MCRPTO i 


 PME (i )  0.75   MCRME (i )  PPTO (i )  with 0.75   PPTO i   PAE

This means, that only the maximum amount of shaft generator power that is equal to PAE is
deductible from the main engine power. In doing so, 75% of the shaft generator power must
be greater than the auxiliary power calculated in accordance to Para. 2.5.6 of the IMO
Calculation Guidelines.

Higher shaft generators output than PAE will not be accounted for under option 1.

6.3.2 Option 2

The main engine power PME to be considered for the calculation of the EEDI is defined as
75% of the power to which the propulsion system is limited. This can be achieved by any
verified technical means, e.g. by electronic engine controls.

PME (i )  0.75  PShaft,limi t

This option is to cover designs with the need for very high power requirements (e.g.,
pertaining to the cargo). With this option it is ensured that the higher main engine power
cannot be used for a higher ship speed. This can be safeguarded by the use of verified
technical devices limiting the power to the propulsor.

For example, consider a ship having a 15 MW main engine with a 3 MW shaft generator. The
shaft limit is verified to 12 MW. The EEDI is then calculated with only 75% of 12 MW as main
engine power as, in any case of operation, no more power than 12 MW can be delivered to
the propulsor, irrespective of whether a shaft generator is in use or not.

It is to be noted that the guidelines do not stipulate any limits as to the value of the shaft limit
in relation to main engine power or shaft generator power.

6.3.3 The use of specific fuel oil consumption and CF-factor

Shaft generators are driven by the main engine, therefore the specific fuel oil consumption of
the main engine is allowed to be used to the full extent if 75% of the shaft generator power is
equal to PAE.

In the case shaft generator power is less than PAE then 75% of the shaft generator power is
calculated with the main engine's specific fuel oil consumption and the remaining part of the
total PAE power is calculated with SFC of the auxiliaries (SFCAE).

The same applies to the conversion factor CF, if different fuels are used in the EEDI
calculation.

6.4 Total shaft power with shaft motors

In the case where shaft motor(s) are installed, the same guiding principles as explained for
shaft generators, above, apply. But in contrast to shaft generators, motors do increase the
total power to the propulsor and do increase ships’ speed and therefore must be included in
the total shaft power within the EEDI calculation. The total shaft power is thus main engine(s)
power plus the additional shaft motor(s) power:

 PME (i )   PPTI (i ), Shaft

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Where:
P PTI ( i ),Shaft   0.75  PSM ,max(i )  PTI (i ) 

and ΣPME may be 0(zero) if the ship is a diesel-electric cruise passenger ship.

Similar to the shaft generators, only 75% of the rated power consumption PSM,max (i.e. rated
motor output divided by the motor efficiency) of each shaft motor divided by the weighted
average efficiency of the generator(s) Gen is taken into account for EEDI calculation3.

 0.75  P 
P PTI ( i ) 
 Gen
SM ,max(i )

Figure 1.1 provides the notations used for the power and efficiencies used in IMO Calculation
Guidelines and the present document.

Figure 1.1: flow of power in a generic shaft motor installation

A power limitation similar to that described above for shaft generators can also be used for
shaft motors. So if a verified technical measure is in place to limit the propulsion output, only
75% of limited power is to be used for EEDI calculation and also for that limited power Vref is
determined.

A diagram is inserted to highlight where the mechanical and electrical efficiencies or the
related devices (PTI and Generator’s) are located:

3 The efficiency of shaft generators in the previous section has consciously not been taken into account in
the denominator as inefficient generator(s) would increase the deductible power.

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Figure 1.2: Typical arrangement of propulsion and electric power system

6.5 Calculation examples

For these calculation examples the ships’ following main parameters are set as:

MCRME = 20,000 kW
Capacity = 20,000 DWT
CF,ME = 3.206
CF,AE = 3.206
SFCME = 190 g/kWh
SFCAE = 215 g/kWh
vref = 20 kn (without shaft generator/motor)

6.5.1 One main engine, no shaft generator

MCRME  20,000kW
PME  0.75  MCRME  0.75  20,000kW  15,000kW
PAE  0.025  20,000   250kW  750kW

EEDI  15,000  3.206  190  750  3.206  215 / 20  20,000

 24.1 g CO2 / t nm

6.5.2 One main engine, 0.75 x PPTO<PAE, option 1

MCRPTO  500kW
PPTO  500kW  0.75  375kW
MCRME  20,000kW
PME  0.75  MCRME  PPTO   0.75  20,000kW  375kW   14,719kW
PAE  0.025  MCRME   250kW  750kW
vref  19.89kn : The speed at PME determined from the power curve
EEDI  PME  CF , ME  SCFME   0.75  PPTO  CF , ME  SCFME   PAE  0.75  PPTO   CF , AE  SFC AE  / DWT  vref 
 23.8 g CO2 / t nm  1%

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6.5.3 One main engine, 0.75 x PPTO=PAE, option 1

MCRPTO  1,333kW
PPTO  1,333kW  0.75  1,000kW
MCRME  20,000kW
PME  0.75  MCRME  PPTO   0.75  20,000kW  1,000kW   14,250kW
PAE  0.025  MCRME   250kW  750kW
vref  19.71kn : The speed at PME determined from the power curve
EEDI  PME  CF , ME  SCFME   0.75  PPTO  CF , ME  SCFME  / DWT  vref 
 23.2 g CO2 / t nm  4%

6.5.4 One main engine with shaft generator, 0.75 x PPTO> PAE, option 1

MCRPTO  2,000kW
0.75  PPTO  0.75  2,000kW  0.75  1,125kW  PAE  PPTO  PAE / 0.75  1,000kW
MCRME  20,000kW
PME  0.75  MCRME  PPTO   0.75  20,000kW  1,000kW   14,250kW
PAE  0.025  MCRME   250kW  750kW
vref  19.71kn : The speed at PME determined from the power curve
EEDI  PME  CF , ME  SCFME   0.75  PPTO  CF , ME  SCFME / DWT  vref 
 23.2 g CO2 / t nm  4%

6.5.5 One main engine with shaft generator, 0.75 x PPTO> PAE, option 2

MCRPTO  2,000kW
MCRME  20,000kW
PShaft,limit  18,000kW
PME  0.75  PShaft,limit   0.75  18,000kW   13,500kW
PAE  0.025  MCRME   250kW  750kW
vref 19.41kn : The speed at PME determined from the power curve
EEDI  PME  CF , ME  SFCME   PAE  CF , ME  SFCME / DWT  vref 
 22.4 g CO2 / t nm  7%

6.5.6 One main engine, one shaft motor

MCRME  18,000kW
PME  0.75  MCRME  0.75  18,000kW  13,500kW
  P    1612.9 
PAE  0.025   MCRME  PTI   250kW  0.025  18,000    250kW  754kW
  0.75    0.75 
PSM,max  2,000kW
PPTI  0.75  PSM,max /Gen  1,612.9kW
 PTI  0.97
Gen  0.93
PShaft  PME  PPTI , Shaft  PME  ( PPTI  PTI ) Gen  13,500kW  (1612.9  0.97)  0.93  14,955kW
vref  20kn

EEDI  PME  CF , ME  SFCME   PAE  CF , AE  SFC AE  PPTI  CF , AE  SFC AE / DWT  vref 
 24.6 g CO2 / t nm   2%

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7 Weather factor fw

fw is a non-dimensional coefficient indicating the decrease of speed in representative sea

conditions of wave height, wave frequency and wind speed (e.g. Beaufort Scale 6), and is
taken as 1.0 for the calculation of attained EEDI.

When a calculated fw factor is used, the attained EEDI using calculated fw shall be presented
as "attained EEDIweather" in order to clearly distinguish it from the attained EEDI under
regulations 20 in MARPOL Annex VI.

Guidelines for the calculation of the coefficient fw for the decrease of ship speed in respective
sea conditions are provided in MEPC.1/Circ.796.

8 Correction factor for ship specific design elements fj

Except in the cases listed below, the value of the fj factor is 1.0.

For Finnish-Swedish ice class notations or equivalent notations of the Classification

Societies, the fj correction factor is indicated in 2.8.1 of the IMO Calculation Guidelines4.

For shuttle tankers with propulsion redundancy defined as oil tankers between 80,000 and
160,000 deadweight equipped with dual-engines and twin-propellers and assigned the class
notations covering dynamic positioning and propulsion redundancy, the fj factor is 0.77.

The total shaft propulsion power of shuttle tankers with redundancy is usually not limited by
verified technical means.

For ro-ro cargo and ro-ro passenger ships, the factor fjRoRo is to be computed according to
2.8.3 of the IMO calculation Guidelines.

For general cargo ships, the factor fj is to be computed according to 2.8.4 of the IMO
Calculation Guidelines.

fj factors for ice-class and for ship’s type can be cumulated (multiplied) for ice-classed general
cargo ships or ro-ro cargo or ro-ro passenger ships.

9 Capacity factor fi

Except in the cases listed below, the value of the fi factor is 1.0.

For Finnish-Swedish ice class notations or equivalent notations of the Classification

Societies, the fi correction factor is indicated in 2.11.1 of the IMO Calculation Guidelines.4

For a ship with voluntary structural enhancement, the fiVSE factor is to be computed according
to 2.11.2 of the IMO Calculation Guidelines.

For bulk carriers and oil tankers built in accordance with the Common Structural Rules and
assigned the class notation CSR, the fiCSR factor is to be computed according to 2.11.3 of the
IMO Calculation Guidelines.
4 Tables 1 and 2 in IMO Calculation Guidelines refer to Finnish/Swedish ice classed ships usually trading in
the Baltic Sea. Justified alternative values for fi and fj factors may be accepted for ice-classed ships outside
this scope of application (e.g. very large ships or POLAR CLASS)

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fi capacity factors can be cumulated (multiplied), but the reference design for calculation of
fiVSE is to comply with the ice notation and/or Common Structural Rules as the case may be.

10 Cubic capacity correction factor fc and cargo gears factor fl

Except in the cases listed below, the value of the fc and fl factors is 1.0.

For chemical tankers as defined in regulation 1.16.1 of MARPOL Annex II, the fc factor is to
be computed according to 2.12.1 of the IMO Calculation Guidelines.

For gas carriers having direct diesel driven propulsion constructed or adapted and used for
the carriage in bulk of liquefied natural gas, the fc factor is to be computed according to 2.12.2
of the IMO Calculation Guidelines. This factor is not to be applied to LNG carriers defined in
regulation 2.38 of MARPOL Annex VI.

For ro-ro passenger ships having a DWT/GT-ratio of less than 0.25, the cubic capacity
correction factor fcRoPax is to be computed according to 2.12.3 of the IMO Calculation
Guidelines.

For general cargo ships only equipped with cranes, side loaders or ro-ro ramps, the fl
correction factor is to be computed according to 2.14 of the IMO Calculation Guidelines.

11 Innovative energy efficient technologies

Innovative energy efficient technologies are to be taken into account according to the 2013
Guidance on treatment of innovative energy efficiency technologies for calculation and
verification of the attained EEDI, MEPC.1/Circ.815.

12 Example of calculation

12.1 List of input parameters for calculation of EEDI

The input parameters used in the calculation of the EEDI are provided in Table 1.

The values of all these parameters are to be indicated in the EEDI Technical File and the
documents listed in the “source” column are to be submitted to the verifier.

For electrical generator, the rated electrical output in kW is related to the rated apparent
power output in kVA by the following relation: MCRPTO (kW) = KVAPTO * 0.8 where 0.8 is the
conventional power factor.

Table 1: input parameters for calculation of EEDI

Symbol Name Usage Source Scope
Service Capacity, fi, fj and For the
notation fc factors ship
Class fj for shuttle tanker, Classification file
notations fiCSR
Ice notation fi, fj for ice class
Lpp Length fi, fj for ice class,
between fjRoRo, fj for general
perpendiculars cargo ships
(m)
BS Breadth (m) fjRoRo, fj for general
cargo ships

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Symbol Name Usage Source Scope

dS Summer load fjRoRo, fj for general
line draught cargo ships
(m)
∇ Volumetric fjRoRo, fj for general
displacement cargo ships
Δ Displacement deadweight, fiVSE, final stability file
@ summer fcRoPax, fl for general
load draught (t) cargo ships
LWT Ligthweight (t) deadweight, fiVSE, Sheets of Submitter
fiCSR, fcRoPax fl for calculation for
general cargo lightweightreferencedesign
ships lightweight check report
GT Gross tonnage Capacity, fcRoPax
PAE Auxiliary EEDI Note: Computed from
engine power engines & PTIs powers
(kW) or electric power table
Vref Reference EEDI, fjRoRo, fj for Sea trial report
speed (knot) general cargo
ships
Cube Total cubic fc for chemical Tonnage file
capacity of the tankers and gas
cargo tanks carriers
(m3)
SWL Safe working fl for general cargo
load of the ships
crane (t)
Reach Reach of the fl for general cargo
crane (m) ships
MCR Rated installed PME EIAPP certificate or Per
power (kW) nameplate (if less than engine (
130 kW) nME +
MCRlim Limited rated PME with PTO Verification file nGEN)
output power option 2
after PTO in
(kW)
MPPMotor Rated output PME for LNG Certificate of the product
of motor (kW) carriers having
diesel electric
propulsion system
η Electrical PME for LNG
efficiency carriers having
diesel electric
propulsion system
MCRSteamTurbine Rated installed PME for LNG Certificate of the product
power (kW) carriers having
steam turbine
propulsion system
Fuel grade CF, SFC NOX Technical File of the
parent engine
SFC Corrected EEDI NOx Technical File of the
specific fuel parent engine
consumption
(g/kWh)

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Symbol Name Usage Source Scope

KVAPTO Rated PME Nameplate of the shaft Per shaft
electrical generator generator
apparent (nPTO)
output power
(kVA)
PPTI,Shaft Mechanical EEDI Nameplate of the shaft Per shaft
output power motor motor
(kW) (nPTI)
ηPTI efficiency power
ηGEN efficiency power Per
generator
(nGEN)
PSHAFTlim Limited shaft Limited power Verification file Per
propulsion where means of shaftline
power (kW) limitation are fitted (nSHAFT)

12.2 Sample calculation of EEDI

A sample of document to be submitted to the verifier is provided in Appendix 2.

In addition, Appendix 6 contains a list of sample calculations of EEDI, as follows:

● Appendix 6.1: Cruise passenger ship with diesel-electric propulsion
● Appendix 6.2: LNG carrier with diesel-electric propulsion
● Appendix 6.3: Diesel-driven LNG carrier with re-liquefaction system
● Appendix 6.4: LNG carrier with steam turbine propulsion

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Part III - Verification of EEDI

13 Verification process

Attained EEDI is to be computed in accordance with the IMO Calculation Guidelines and Part
II of the present Industry Guidelines. Survey and certification of the EEDI are to be conducted
on two stages:
1. preliminary verification at the design stage
2. final verification at the sea trial

The flow of the survey and certification process is presented in Figure 2.

Figure 2: Flow of survey and certification process by verifier

14 Documents to be submitted

A sample of documents to be submitted to the verifier including additional information for

verification is provided in Appendix 2.

The following information is to be submitted by the submitter to the verifier at the design
stage:
Table 2: documents to be submitted at the design stage
EEDI Technical File EEDI Technical File as defined in the IMO Verification
Guidelines. See example of the EEDI Technical File in
Appendix 1 of IMO Verification Guidelines.

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NOx Technical File Copy of the NOx Technical File and documented summary of
the SFC correction for each type of main and auxiliary engine
with copy of EIAPP certificate.

Note: if the NOx Technical File has not been approved at the
time of the preliminary verification, the SFC value with the
addition of the guarantee tolerance is to be provided by
Manufacturer. In this case, the NOx Technical File is to be
submitted at the final verification stage.
Electric Power Table If PAE is significantly different from the values computed using
the formula in [Link] or [Link] of the IMO Calculation
Guidelines
Ship lines and model - Lines of ship
particulars - Report including the particulars of the ship model and
propeller model
Verification file of power If the propulsion power is voluntarily limited by verified
limitation technical technical means
arrangement
Power curves Power-speed curves predicted at full scale in sea trial
condition and EEDI condition
Description of the towing If the verifier has no recent experience with the towing tank
tank test facility and towing test facility and the towing tank test organization quality
tank test organisation quality system is not ISO 9001 certified.
manual - Quality management system of the towing tank test
including process control, justifications concerning
repeatability and quality management processes
- Records of measuring equipment calibration as described in
Appendix 3
- Standard model-ship extrapolation and correlation method
(applied method and tests description)
Gas fuel oil general If gas fuel is used as the primary fuel of the ship fitted with
arrangement plan dual fuel engines. Gas fuel storage tanks (with capacities)
and bunkering facilities are to be described.
Towing Tank Tests Plan Plan explaining the different steps of the towing tank tests
and the scheduled inspections allowing the verifier to check
compliance with the items listed in Appendix 1 concerning
tank tests
Towing Tank Tests Report - Report of the results of the towing tank tests at sea trial and
EEDI condition as required in Appendix 4
- Values of the experience-based parameters defined in the
standard model-ship correlation method used by the towing
tank test organization/shipyard
- Reasons for exempting a towing tank test, only if applicable
- Numerical calculations report and validation file of these
calculations, only if calculations are used to derive power
curves
Ship reference speed Vref Detailed calculation process of the ship speed, which is to
include the estimation basis of experience-based
parameters such as roughness coefficient, wake scaling
coefficient

The following information is to be submitted by the submitter to the verifier at the final
verification stage (and before the sea trials for the programme of sea trials):

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Table 3: documents to be submitted at the final verification stage

Programme of sea trials Description of the test procedure to be used for the speed
trial, with number of speed points to be measured and
indication of PTO/PTI to be in operation, if any.
Sea trials report Report of sea trials with detailed computation of the
corrections allowing determination of the reference speed Vref
Final stability file Final stability file including lightweight of the ship and
displacement table based on the results of the inclining test or
the lightweight check
Final power curves Final power curve in the EEDI condition showing the speed
adjustment methodology
Revised EEDI Technical File Including identification of the parameters differing from the
calculation performed at the initial verification stage
Ship lines Lines of actual ship

In line with the IMO Verification Guidelines (4.1.2), it is recognized that the documents listed
above may contain confidential information of submitters, which requires Intellectual Property
Rights (IPR) protection. In the case where the submitter wants a non-disclosure agreement
with the verifier, the additional information is to be provided to the verifier upon mutually
agreed terms and conditions.

15 Preliminary verification at the design stage

15.1 Scope of the verifier work

For the preliminary verification of the EEDI at the design stage, the verifier:

● Review the EEDI Technical File, check that all the input parameters (see 12.1
above) are documented and justified and check that the possible omission of a
towing tank test has been properly justified
● Check that the ITTC procedures and quality system are implemented by the
organization conducting the towing tank tests. The verifier should possibly audit the
quality management system of the towing tank if previous experience is insufficiently
demonstrated
● Witness the towing tank tests according to a test plan initially agreed between the
submitter and the verifier
● Check that the work done by the towing tank test organisation is consistent with the
present Guidelines. In particular, the verifier will check that the power curves at full
scale are determined in a consistent way between sea trials and EEDI loading
conditions, applying the same calculation process of the power curves and
considering justifiable differences of experience based parameters between the two
conditions
● Issue a pre-verification report

15.2 Definitions

Experience-based parameters means parameters used in the determination of the scale

effects coefficients of correlation between the towing tank model scale results and the full
scale predictions of power curves.
This may include:
1. Hull roughness correction
2. Wake correction factor
3. Air resistance correction factor (due to superstructures and deck load)
4. Appendages correction factor (for appendages not present at model scale)

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5. Propeller cavitation correction factor

6. Propeller open-water characteristics correction
7. CP and CN (see below)
8. ∆CFC and ∆wC (see below)

Ship of the same type means a ship of which hull form (expressed in the lines such as sheer
plan and body plan) excluding additional hull features such as fins and of which principal
particulars are identical to that of the base ship.

Definition of survey methods directly involving the verifier: Review and Witness.
Review means the act of examining documents in order to determine identification and
traceability and to confirm that requested information are present and that EEDI calculation
process conforms to relevant requirements.

Witness means the attendance at scheduled key steps of the towing tank tests in accordance
with the agreed Test Plan to the extent necessary to check compliance with the survey and
certification requirements.

15.3 Towing tank tests and numerical calculations

There are two loading conditions to be taken into account for EEDI: EEDI loading condition
and sea trial condition.

The speed power curves for these two loading conditions are to be based on towing tank test
measurements. Towing tank test means model towing tests, model self-propulsion tests and
model propeller open water tests.

Numerical calculations may be accepted as equivalent to model propeller open water tests.

A towing tank test for an individual ship may be omitted based on technical justifications such
as availability of the results of towing tank tests for ships of the same type according to 4.2.5
of the IMO Verification Guidelines.

Numerical calculations may be submitted to justify derivation of speed power curves, where
only one parent hull form have been verified with towing tank tests, in order to evaluate the
effect of additional hull features such as fore bulb variations, fins and hydrodynamic energy
saving devices.

These numerical tests may include CFD calculation of propulsive efficiency at reference
speed Vref as well as hull resistance variations and propeller open water efficiency.

In order to be accepted, these numerical tests are to be carried out in accordance with
defined quality and technical standards (ITTC 7.5-03-01-04 at its latest revision or
equivalent). The comparison of the CFD-computed values of the unmodified parent hull form
with the results of the towing tank tests must be submitted for review.

15.4 Qualification of verifier personnel

Surveyors of the verifier are to confirm through review and witness as defined in 15.2 that the
calculation of EEDI is performed according to the relevant requirements listed in 1.1. The
surveyors are to be qualified to be able to carry out these tasks and procedures are to be in
place to ensure that their activities are monitored.

15.5 Review of the towing tank test organisation quality system

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The verifier is to familiarize with the towing tank test organization test facilities, measuring
equipment, standard model-ship extrapolation and correlation method (applied method and
tests description) and quality system for consideration of complying with the requirements of
15.6 prior to the test attendance when the verifier has no recent experience of the towing tank
test facilities.

When in addition the towing tank test organization quality control system is not certified
according to a recognized scheme (ISO 9001 or equivalent) the following additional
information relative to the towing tank test organization is to be submitted to the verifier:

1. descriptions of the towing tank test facility; this includes the name of the facility, the
particulars of towing tanks and towing equipment, and the records of calibration of
each monitoring equipment as described in Appendix 3

2. quality manual containing at least the information listed in the ITTC Sample quality
manual (2002 issue) Records of measuring equipment calibration as described in
Appendix 3

15.6 Review and Witness

The verifier is to review the EEDI Technical File, using also the other documents listed in
table 2 and submitted for information in order to verify the calculation of EEDI at design stage.
This review activity is described in Appendix 1. Since detailed process of the towing tank
tests depends on the practice of each submitter, sufficient information is to be included in the
document submitted to the verifier to show that the principal scheme of the towing tank test
process meets the requirements of the reference documents listed in Appendix 1 and
Appendix 4.

Prior to the start of the towing tank tests, the submitter is to submit a test plan to the verifier.
The verifier reviews the test plan and agrees with the submitter which scheduled inspections
will be performed with the verifier surveyor in attendance in order to perform the verifications
listed in Appendix 1 concerning the towing tank tests.

Following the indications of the agreed test plan, the submitter will notify the verifier for the
agreed tests to be witnessed. The submitter will advise the verifier of any changes to the
activities agreed in the Test Plan and provide the submitter with the towing tank test report
and results of trial speed prediction.

15.7 Model-ship correlation

Model-ship correlation method followed by the towing tank test organization or shipyard is to
be properly documented with reference to the 1978 ITTC Trial prediction method given in
ITTC Recommended Procedure 7.5-02-03-1.4 rev.02 of 2011 or subsequent revision,
mentioning the differences between the followed method and the 1978 ITTC trial prediction
method and their global equivalence.

Considering the formula giving the total full scale resistance coefficient of the ship with bilge
keels and other appendages:

The way of calculating the form factor k, the roughness allowance ∆CF, the correlation
allowance CA, the air resistance coefficient CAAS and the appendages coefficient CAppS are to

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be documented (if they are taken as 0, this has to be indicated also), as indicated in Appendix
4.

The correlation method used is to be based on thrust identity and the correlation factors is to
be according to method 1 (CP – CN) or method 2 (∆CFC - ∆wC) of the 1978 ITTC Trial
prediction method. If the standard method used by the towing tank test organization doesn’t
fulfil these conditions, an additional analysis based on thrust identity is to be submitted to the
verifier.

The verifier will check that the power-speed curves obtained for the EEDI condition and sea
trial condition are obtained using the same calculation process and properly documented as
requested in Appendix 4 “Witnessing of model test procedures”. In particular, the verifier will
compare the differences between experience based coefficients Cp and ∆CFC between the
EEDI condition (full) and sea trial condition if different from EEDI condition () with the
indications given in Figures 3.1 and 3.2 extracted from a SAJ-ITTC study on a large number
of oil tankers. If the difference is significantly higher than the values reported in the Figures, a
proper justification of the values is to be submitted to the verifier.

NB: The trends in Figures 3.1 and 3.2 are based on limited data and may be revised in the
future. The displayed trends depend on the method used to analyze the model tests behind
the data including the form factor and other correlation factor relations. Other values may be
accepted if based on sufficient number of data.

Figure 3.1: Variation of CP- CPFull as a function of the displacement ratio

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Figure 3.2: Variation of ∆CFC as a function of the displacement ratio

15.8 Pre-verification report

The verifier issues the report on the "Preliminary Verification of EEDI" after it has verified the
attained EEDI at the design stage in accordance with paragraphs 4.1 and 4.2 of the IMO
Verification Guidelines.

A sample of the report on the “Preliminary Verification of EEDI” is provided in Appendix 5.

16 Final verification at sea trial

16.1 Sea trial procedure

For the verification of the EEDI at sea trial stage, the verifier shall:
● Examine the programme of the sea trial to check that the test procedure and in
particular that the number of speed measurement points comply with the
requirements of the IMO Verification Guidelines (see note below).
● Perform a survey to ascertain the machinery characteristics of some important
electric load consumers and producers included in the EPT, if the power PAE is
directly computed from the EPT data’s.
● Attend the sea trial and notes the main parameters to be used for the final
calculation of the EEDI, as given under 4.3.3 of the IMO Verification Guidelines

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● Review the sea trial report provided by the submitter and check that the measured
power and speed have been corrected accordingly (see note below).
● Check that the power curve estimated for EEDI condition further to sea trial is
obtained by power adjustment.
● Review the revised EEDI Technical File.
● Issue or endorse the International Energy Efficiency Certificate.

Note: For application of the present Guidelines, sea conditions and ship speed should be
measured in accordance with ITTC Recommended Procedure 7.5-04-01-01.1 Speed and
Power Trials Part 1; 2014 or ISO 15016:2015.

Table 4 lists the data which are to be measured and recorded during sea trials:

Table 4: Measured data during sea trials

Symbol Name Measurement Remark
Time and duration of sea
trial
Draft marks readings
Air and sea temperature
Main engine setting Machinery log
Ψ0 Course direction (rad) Compass
VG Speed over ground (m/s) GPS
n Propeller rpm (rpm) Tachometer
PS Power measured (kW) Torsion meter or strain gauges (for
torque measurement) or any alternative
method that offer an equivalent level of
precision and accuracy of power
measurement
VWR Relative wind velocity (m/s) Wind indicator
ΨWR Relative wind direction (rad) See above
Tm Mean wave period (seas Visual observation by multiple
and swell) (s) observers supplemented by hindcast
data or wave measuring devices (wave
buoy, wave radar, etc.)
H1/3 Significant wave height See above
(seas and swell) (m)
χ Incident angle of waves ( See above
seas and swell) (rad)
δR Rudder angle (rad) Rudder
β Drift angle (rad) GPS

Prior to the sea trial, the programme of the sea trials and , if available, additional documents
listed in table 3 are to be submitted to the verifier in order for the verifier to check the
procedure and to attend the sea trial and perform the verifications included in Appendix 1
concerning the sea trial.

The ship speed is to be measured at sea trial for at least three power settings of which range
includes the total propulsion power defined in 5.2 according to the requirements of the IMO
Verification Guidelines 4.3.6. This requirement applies individually to each ship, even if the
ship is a sister ship of a parent vessel.

If it is physically impossible to meet the conditions in the ISO15016:2015 or ITTC

Recommended Procedure 7.5-04-01-01, a practical treatment shall be allowed based on the
documented mutual agreement among the owner, the verifier and the shipbuilder.

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16.2 Estimation of the EEDI reference speed VRef

The adjustment procedure is applicable to the most complex case where sea trials cannot be
conducted in EEDI loading condition. It is expected that this will be usually the case for cargo
ships like bulk carriers for instance.

Ship speed should be measured in accordance with ISO 15016:2015 or ITTC Recommended
Procedure 7.5-04-01-01.1, including the accuracy objectives under paragraph 1 of ITTC
Recommended Procedure 7.5-04-01-01.2. In particular, if the shaft torque measurement
device cannot be installed near the output flange of main engine, then the efficiency from the
measured shaft power to brake horse power should be taken into account.

Using the speed-power curve obtained from the sea trials in the trial condition, the conversion
of ship’s speed from the trial condition to the EEDI condition shall be carried out by power
adjustment as defined in Annex I of ISO 15016:2015.

The reference speed Vref should be determined based on sea trials which have been carried
out and evaluated in accordance with ISO 15016:2015 or equivalent (see note in 16.1).

Reference is made to paragraph 3 of Appendix 2 (Figure 3.1) where an example is provided.

16.3 Revision of EEDI Technical File

The EEDI Technical File is to be revised, as necessary, by taking into account the results of
sea trials. Such revision is to include, as applicable, the adjusted power curve based on the
results of sea trial (namely, modified ship speed under the condition as specified in paragraph
2.2 of the IMO Calculation Guidelines), the finally determined deadweight/gross tonnage and
the recalculated attained EEDI and required EEDI based on these modifications.

The revised EEDI Technical File is to be submitted to the verifier for the confirmation that the
revised attained EEDI is calculated in accordance with regulation 20 of MARPOL Annex VI
and the IMO Calculation Guidelines.

17 Verification of the EEDI in case of major conversion

In this section, a major conversion is defined as in MARPOL Annex VI regulation 2.24 and
interpretations in MEPC.1/Circ.795/Rev2, subject to the approval of the Administration.

For verification of the attained EEDI after a major conversion, no speed trials are necessary if
the conversion or modifications don’t involve a variation in reference speed.

In case of conversion, the verifier will review the modified EEDI Technical File. If the review
leads to the conclusion that the modifications couldn’t cause the ship to exceed the applicable
required EEDI, the verifier will not request speed trials.

If such conclusion cannot be reached, like in the case of a lengthening of the ship, or
increase of propulsion power of 10% or more, speed trials will be required.

If an Owner voluntarily requests re-certification of EEDI with IEE Certificate reissuance on the
basis of an improvement to the ship efficiency, the verifier may request speed trials in order to
validate the attained EEDI value improvement.

If speed trials are performed after conversion or modifications changing the attained EEDI
value, tank tests verification is to be requested if the speed trials conditions differ from the

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EEDI condition. In this case, numerical calculations performed in accordance with defined
quality and technical standards (ITTC 7.5-03-01-04 at its latest revision or equivalent)
replacing tank tests may be accepted by the verifier to quantify influence of the hull
modifications.

In case of major conversion of a ship without prior EEDI, EEDI computation is not required,
except if the Administration considers that due to the extensive character of the conversion,
the ship is to be considered as a new one.

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APPENDIX 1
Review and witness points
Ref. Function Survey Reference document Documentation Remarks
method available to verifier
01 EEDI Technical File Review IMO Verification Documents in table 2
Guidelines
This document
02 Limitation of power Review IMO Calculation Verification file of Only If means of limitation are fitted
Guidelines limitation technical
means
03 Electric Power Table Review Appendix 2 to IMO EPT Only if PAE is significantly different from the
Calculation Guidelines EPT-EEDI form values computed using the formula in
Appendix 2 to IMO [Link] to [Link] of the IMO Calculation
Verification Guidelines Guidelines
04 Calibration of towing tank Review Appendix 3 Calibration reports Check at random that measuring devices
test measuring & are well identified and that calibration
equipment witness reports are currently valid
05 Model tests – ship model Review Appendix 4 Ship lines plan & Checks described in Appendix 4.1
& offsets table
witness Ship model report
06 Model tests – propeller Review Appendix 4 Propeller model report Checks described in Appendix 4.2
model &
witness
07 Model tests – Resistance Review Appendix 4 Towing tank tests Checks described in Appendix 4.3
test, Propulsion test, & report Note: propeller open water test is not
Propeller open water test witness needed if a stock propeller is used. In this
case, the open water characteristics of the
stock propeller are to be annexed to the
towing tank tests report.

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Ref. Function Survey Reference document Documentation Remarks

method available to verifier
08 Model-ship extrapolation Review ITTC 7.5-02-03-01.4 1978 Documents in table 2 Check that the ship-model correlation is
and correlation ITTC performance based on thrust identity with correlation
prediction method (rev.02 factor according to method 1 ( CP – CN) or
of 2011 or subsequent method 2 (∆CFC - ∆wC)
revision)
Check that the power-speed curves
Appendix 4 obtained for the EEDI condition and sea trial
condition are obtained using the same
This document 15.7 calculation process with justified values of
experience-based parameters
09 Numerical calculations Review ITTC 7.5-03-01-04 (latest Report of calculations For justification of calculations replacing
replacing towing tank revision) or equivalent model tests refer to 15.3.
tests
10 Electrical machinery Witness Appendix 2 to IMO Only if PAE is computed from EPT
survey prior to sea trials Verification Guidelines
11 Programme of sea trials Review IMO Verification Programme of sea trials Check minimum number of measurement
Guidelines points (3)
Check the EEDI condition in EPT (if PAE is
computed from EPT)
12 Sea trials Witness ISO 15016:2015 or ITTC Check:
7.5-04-01-01.1 (latest • Propulsion power, particulars of the
revision) engines
• Draught and trim
• Sea conditions
• Ship speed
• Shaft power & rpm
Check operation of means of limitations of
engines or shaft power (if fitted)
Check the power consumption of selected
consumers included in sea trials condition
EPT (if PAE is computed from EPT)

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Ref. Function Survey Reference document Documentation Remarks

method available to verifier
13 Sea trials – corrections Review ISO 15016:2015 or ITTC Sea trials report Check that the displacement and trim of the
calculation Recommended Procedure ship in sea trial condition has been obtained
7.5-04-01-01.2 with sufficient accuracy
Check compliance with ISO 15016:2015 or
ITTC Recommended Procedure 7.5-04-01-
01.2
14 Sea trials – adjustment Review This document 16.2 Power curves after sea Check that the power curve estimated for
from trial condition to trial EEDI condition is obtained by power
EEDI condition adjustment
15 EEDI Technical File – Review IMO Verification Revised EEDI Check that the file has been updated
revised after sea trials Guidelines Technical File according to sea trials results

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APPENDIX 2

Sample of document to be submitted to the verifier including

additional information for verification
Caution
Protection of Intellectual Property Rights

This document contains confidential information (defined as additional information) of

submitters. Additional information should be treated as strictly confidential by the verifier and
failure to do so may lead to penalties. The verifier should note following requirements of IMO
Verification Guidelines:
“4.1.2 The information used in the verification process may contain confidential information of
submitters, which requires Intellectual Property Rights (IPR) protection. In the case where
the submitter want a non-disclosure agreement with the verifier, the additional information
should be provided to the verifier upon mutually agreed terms and conditions.”

Revision list
B 01/05/2014 Final stage: sections 1 to 16 XYZ YYY ZZZ
A 01/01/2013 Design stage: sections 1 to 13 XXX YYY ZZZ
REV. ISSUE DESCRIPTION DRAWN CHECKED APPROVED
DATE

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1 General

This calculation of the Energy Efficiency Design Index (EEDI) is based on:

● Resolution MEPC.203(62) and MEPC.251(66) amendments to include regulations

on energy efficiency in MARPOL Annex VI
● Resolution MEPC. 245(66) 2014 Guidelines on the method of calculation of the
attained Energy Efficiency Design Index (EEDI) for new ships

Calculations are being dealt with according to the Industry Guidelines on calculation and
verification of EEDI, 2015 issue.

2 Data

2.1 Main parameters

Parameter Value Reference

Owner OWNER
Builder YARD
Hull No. 12346
IMO No. 94111XX
Ship’s type Bulk carrier
Ship classification notations I HULL, MACH, Bulk
Carrier CSR
BC-A (holds 2 and 4 may
be empty) ESP
GRAB[20]
Unrestricted Navigation
AUT-UMS, GREEN
PASSPORT,
INWATERSURVEY,
MON-SHAFT

HULL PARTICULARS
Length overall 191.0 m
Length between perpendiculars 185.0 m
Breadth, moulded 32.25 m
Depth, moulded 17.9 m
Summer load line draught, moulded 12.70 m
Deadweight at summer load line draught 55000 DWT
Lightweight 11590 tons
Owner’s voluntary structural enhancements No

MAIN ENGINE
Type & manufacturer BUILDER 6SRT60ME
Specified Maximum Continuous Rating 9200 kW x 105 rpm
(SMCR)
SFC at 75% SMCR 171 g/kWh See paragraph
10.1
Number of set 1
Fuel type Diesel/Gas oil

AUXILIARY ENGINES

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Parameter Value Reference

Type & manufacturer BUILDER 5X28
Specified Maximum Continuous Rating 650 kW x 700 rpm
(SMCR)
SFC at 50% SMCR 205 g/kWh See paragraph
10.2
SFC at 75% SMCR (In case if PAE 199 g/kWh See paragraph
significantly different from 2.5.6 of IMO 10.2
EEDI Calculation Guidelines)
Number of set 3
Fuel type Diesel/Gas oil

OVERVIEW OF PROPULSION SYSTEM See section 4

AND ELECTRICITY SUPPLY SYSTEM

SHAFT GENERATORS
Type & manufacturer None
Rated electrical output power
Number of set 0

SHAFT MOTORS
Type & manufacturer None
Rated power consumption
Efficiency
Number of set 0

MAIN GENERATORS
Type & manufacturer BUILDER AC120
Rated output 605 kWe
Efficiency 0.93
Number of set 3

PROPULSION SHAFT
Propeller diameter 5.9 m
Propeller number of blades 4
Voluntarily limited shaft propulsion power No
Number of set 1

ENERGY SAVING EQUIPMENT See section 9

Description of energy saving equipment Propeller boss cap fins
Power reduction or power output None

2.2 Preliminary verification of attained EEDI

Parameter Value Reference

TOWING TANK TEST ORGANIZATION
Identification of organization TEST corp. See section 6.
ISO Certification or previous experience? Previous
experience

TOWING TANK TESTS

Exemption of towing tank tests No
Process and methodology of estimation of See section 7

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the power curves

Ship model information See subparagraph 7.2.1
Propeller model information See subparagraph 7.2.2
EEDI & sea trial loading conditions EEDI:
mean draft: 12.7 m
Trim 0

Sea trial ( ballast ):

mean draft: 5.8 m
Trim 2.6 m by
stern
Propeller open water diagram (model, ship) See paragraph 7.4
Experience based parameters See paragraph 7.3
Power curves at full scale See section 3
Ship Reference speed 14.25 knots

ELECTRIC POWER TABLE Significant See section 5

(as necessary, as defined in IMO EEDI difference from
Calculation Guidelines) 2.5.6 of IMO EEDI
Calculation
Guidelines

CALCULATION OF ATTAINED EEDI 5.06 See section 11

CALCULATION OF REQUIRED EEDI 5.27 See section 12

CALCULATION OF ATTAINED EEDIweather Not calculated See section 13

2.3 Final verification of attained EEDI

Parameter Value Reference

SEA TRIAL LOADING CONDITION

POWER CURVES See section 3

Sea trial report with corrections See section 15
Ship Reference speed 14.65 knots

FINAL DEADWEIGHT See section 14

Displacement 66171 tons
Lightweight 11621 tons
Deadweight 54550 DWT

FINAL ATTAINED EEDI 4.96 See section 16

3 Power curves

The power curves estimated at the design stage and modified after the sea trials are given in
Figure 3.1.

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75% of MCR

Figure 3.1: Power curves

4 Overview of propulsion system and electric power system

Figure 4.1 shows the connections within the propulsion and electric power supply systems.

The characteristics of the main engines, auxiliary engines, electrical generators and
propulsion electrical motors are given in table 2.1.

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Figure 4.1 scheme of the propulsion and power generation systems

5 Electric power table

The electric power for the calculation of EEDI is provided in table 5.1.

Table 5.1: Electric power table for calculation of PAE

Id Grou Description Mech. El. Efficie Rated load duty time use Necessa
p Power Motor n. "e" el. facto facto facto facto ry power
"Pm" output Power r "kl" r r "kt" r "Pload"
"Pr" "kd" "ku"
1 A STEERING GEAR N.A. N.A. N.A. 45,0 0,9 1 0,3 0,27 12.2
2 A HULL CATHODIC PROTECTION N.A. N.A. N.A. 10 1 1 1 1,00 10,0
3 A CRANE N.A. N.A. N.A. 10,00 0,2 1 1 0,20 2,0
4 A COMPASS N.A. N.A. N.A. 0,5 1 1 1 1,00 0,5
5 A RADAR NO.1 N.A. N.A. N.A. 1,3 1 0,5 1 0,50 0,7
6 A RADAR NO.2 N.A. N.A. N.A. 1,3 1 0,5 1 0,50 0,7
7 A NAVIGATION EQUIPMENT N.A. N.A. N.A. 5,0 1 1 1 1,00 5,0
8 A INTERNAL COMM. EQUIPMENT N.A. N.A. N.A. 2,5 1 1 0,1 0,10 0,2
9 A RADIO EQUIPMENT N.A. N.A. N.A. 3,5 1 1 0,1 0,10 0,4
10 A MOORING EQ. N.A. N.A. N.A. 7,0 1 1 0,1 0,10 0,7
MAIN COOLING SEA WATER
11 B PUMP NO.1 28,0 30 0,925 30,3 0,9 0,66 1 0,59 18,0
MAIN COOLING SEA WATER
12 B PUMP NO.2 28,0 30 0,925 30,3 0,9 0,66 1 0,59 18,0
MAIN COOLING SEA WATER
13 B PUMP NO.3 28,0 30 0,925 30,3 0,9 0,66 1 0,59 18,0
14 B LT COOLING FW PUMP NO.1 28,0 30 0,925 30,3 0,9 0,66 1 0,59 18,0
15 B LT COOLING FW PUMP NO.2 28,0 30 0,925 30,3 0,9 0,66 1 0,59 18,0
16 B LT COOLING FW PUMP NO.3 28,0 30 0,925 30,3 0,9 0,66 1 0,59 18,0

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Id Grou Description Mech. El. Efficie Rated load duty time use Necessa
p Power Motor n. "e" el. facto facto facto facto ry power
"Pm" output Power r "kl" r r "kt" r "Pload"
"Pr" "kd" "ku"
17 B M/E COOLING WATER PUMP NO.1 13,0 15 0,9 14,4 1 0,5 1 0,50 7,2
18 B M/E COOLING WATER PUMP NO.2 13,0 15 0,9 14,4 1 0,5 1 0,50 7,2
19 C MAIN LUB. OIL PUMP NO.1 55,0 90 0,94 58,5 0,9 0,5 1 0,45 26,3
20 C MAIN LUB. OIL PUMP NO.2 55,0 90 0,94 58,5 0,9 0,5 1 0,45 26,3
21 C H.F.O. TRANSFER PUMP 6,0 7,5 0,88 6,8 1 1 0,1 0,10 0,7
22 C D.O. TRANSFER PUMP 6,0 7,5 0,88 6,8 1 1 0,1 0,10 0,7
23 C L.O. TRANSFER PUMP 1,4 2,5 0,8 1,8 1 1 0,1 0,10 0,2
TECHNICAL FRESH WATER PUMP
24 C NO.1 2,5 3,5 0,85 2,9 1 0,5 0,1 0,05 0,1
TECHNICAL FRESH WATER PUMP
25 C NO.2 2,5 3,5 0,85 2,9 1 0,5 0,1 0,05 0,1
26 C E/R SUPPLY FAN NO.1 14,0 20 0,9 15,5 0,9 1 1 0,90 14,0
27 C E/R SUPPLY FAN NO.2 14,0 20 0,9 15,5 0,9 1 1 0,90 14,0
28 C E/R SUPPLY FAN NO.3 14,0 20 0,9 15,5 0,9 1 1 0,90 14,0
29 C E/R SUPPLY FAN NO.4 14,0 20 0,9 15,5 0,9 1 1 0,90 14,0
PURIFIER ROOM
30 C [Link] 2,5 3 0,82 3,0 0,9 1 1 0,90 2,7
31 C PUMP HFO SUPPLY UNIT NO.1 2,1 3 0,8 2,6 0,9 0,5 1 0,45 1,2
32 C PUMP HFO SUPPLY UNIT NO.2 2,1 3 0,8 2,6 0,9 0,5 1 0,45 1,2
CIRC. PUMP FOR HFO SUPPLY
33 C UNIT NO.1 2,8 3,5 0,84 3,3 0,9 0,5 1 0,45 1,5
CIRC. PUMP FOR HFO SUPPLY
34 C UNIT NO.2 2,8 3,5 0,84 3,3 0,9 0,5 1 0,45 1,5
35 C H.F.O. SEPARATOR NO.1 N.A. N.A. N.A. 6,5 0,9 0,5 0,9 0,41 2,6
36 C H.F.O. SEPARATOR NO.2 N.A. N.A. N.A. 6,5 0,9 0,5 0,9 0,41 2,6
37 C MAIN AIR COMPRESSER NO.1 N.A. N.A. N.A. 43,0 1 0,5 0,1 0,05 2,2
38 C MAIN AIR COMPRESSER NO.2 N.A. N.A. N.A. 43,0 1 0,5 0,1 0,05 2,2
39 C SERVICE AIR COMPRESSER N.A. N.A. N.A. 22,0 1 1 0,1 0,10 2,2
40 C VENT. AIR SUPPLY N.A. N.A. N.A. 1,0 1 1 0,5 0,50 0,1
41 C BILGE WATER SEPARATOR N.A. N.A. N.A. 1,5 1 1 0,1 0,10 0,2
42 C M/E L.O. SEPARATOR N.A. N.A. N.A. 6,5 0,9 1 0,2 0,18 1,2
43 C G/E L.O. SEPARATOR N.A. N.A. N.A. 6,5 0,9 1 0,2 0,18 1,2
44 D HYDROPHORE PUMP NO.1 2,8 4 0,84 3,3 1 0,5 0,1 0,05 0,2
45 D HYDROPHORE PUMP NO.2 2,8 4 0,84 3,3 1 0,5 0,1 0,05 0,2
HOT WATER CIRCULATING PUMP
46 D NO.1 0,5 1,0 0,8 0,8 1 0,5 0,2 0,10 0,1
HOT WATER CIRCULATING PUMP
47 D NO.2 0,5 1,0 0,8 0,8 1 0,5 0,2 0,10 0,1
E/R WORKSHOP WELDING SPACE
48 E EXH. 0,5 0,8 0,8 0,6 0,9 1 1 0,90 0,6
49 F ECR COOLER UNIT N.A. N.A. N.A. 4,2 1 1 0,5 0,50 2,1
FAN FOR AIR CONDITIONING
50 F PLANT N.A. N.A. N.A. 8,0 0,9 1 0,5 0,45 3,6
COMP. AIR CONDITIONING PLANT
51 F NO.1 N.A. N.A. N.A. 10,0 0,9 1 0,5 0,45 4,5
COMP. AIR CONDITIONING PLANT
52 F NO.2 N.A. N.A. N.A. 10,0 0,9 1 0,5 0,45 4,5
COMP. AIR CONDITIONING PLANT
53 F NO.3 N.A. N.A. N.A. 10,0 0,9 1 0,5 0,45 4,5
COMP. AIR CONDITIONING PLANT
54 F NO.4 N.A. N.A. N.A. 10,0 0,9 1 0,5 0,45 4,5

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Id Grou Description Mech. El. Efficie Rated load duty time use Necessa
p Power Motor n. "e" el. facto facto facto facto ry power
"Pm" output Power r "kl" r r "kt" r "Pload"
"Pr" "kd" "ku"
FAN FOR GALLEY AIR COND.
55 G PLANT N.A. N.A. N.A. 1,5 0,9 1 0,5 0,45 0,7
COMP. FOR GALLEY AIR COND.
56 G PLANT N.A. N.A. N.A. 3,5 0,9 1 0,5 0,45 1,6
57 G REF. COMPRESSOR NO.1 N.A. N.A. N.A. 4,0 1 0,5 0,1 0,05 0,2
58 G REF. COMPRESSOR NO.2 N.A. N.A. N.A. 4,0 1 0,5 0,1 0,05 0,2
59 G GALLEY EQUIPMENT N.A. N.A. N.A. 80,0 0,5 1 0,1 0,05 4,0
60 H VAC. COLLECTION SYSTEM 2,4 3,0 0,8 3,0 1 1 1 1,00 3,0
61 H GALLEY EXH. 1,2 1,5 0,8 1,5 1 1 1 1,00 1,5
62 H LAUNDRY EXH. 0,1 0,15 0,8 0,1 1 1 1 1,00 0,1
63 H SEWAGE TREATMENT N.A. N.A. N.A. 4,5 1 1 0,1 0,10 0,5
64 H SEWAGE DISCHARGE 3 7,5 0,88 3,4 0,9 1 0,1 0,09 0,3
65 I ACCOMMODATION LIGHTING N.A. N.A. N.A. 16,0 1 1 0,5 0,5 8,0
66 I E/R LIGHTING N.A. N.A. N.A. 18,0 1 1 1 1,00 18,0
67 I NAVIGATION LIGHTING N.A. N.A. N.A. 0,9 1 0,5 1 0,50 0,4
68 I BACK. NAV. LIGHTING N.A. N.A. N.A. 0,9 1 0,5 1 0,50 0,4
TOTAL POWER 354,0
PAE = Total Power / (average efficiency of generators) = 354/0.93 = 381 kW

6 Towing Tank test organization quality system

Towing tank tests will be performed in TEST corp.

The quality control system of the towing tank test organization TEST corp. has been
documented previously (see report 100 for the ship hull No. 12345) and the quality manual
and calibration records are available to the verifier.

The measuring equipment has not been modified since the issue of report 100 and is listed in
table 6.1.
Table 6.1: List of measuring equipment
Manufacturer Model Series Lab. Id. status
Propeller B&N 6001 300 125-2 Calibrated
dynamometer 01/01/2011
…

7 Estimation process of power curves at design stage

7.1 Test procedure

The tests and their analysis are conducted by TEST corp. applying their standard correlation
method (document is given in annex 1).

The method is based on thrust identity and references ITTC Recommended Procedure 7.5 -
02 - 03 -1.4 ITTC 1978 Trial Prediction Method (in its latest reviewed version of 2011), with
prediction of the full scale rpm and delivered power by use of the CP – CN correction factors.

The results are based on a Resistance Test, a Propulsion Test and use the Open Water
Characteristics of the model propeller used during the tests and the Propeller Open Water
Characteristics of the final propeller given in 7.4.

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Results of the resistance tests and propulsion tests of the ship model are given in the report
of TEST corp. given in annex 2.

7.2 Speed prediction

The ship delivered power PD and rate of revolutions nS are determined from the following
equations:

Where CN and CP are experience-based factors and PDS (resp. nS) are the delivered power
(resp. rpm) obtained from the analysis of the towing tank tests.

The ship total resistance coefficient CTS is given by:

Where:
SS: ship hull wetted surface, here 9886 m2
SBK: wetted surface of bilge keels
k: form factor. Here 1+k = 1.38 over the speed range, determined according to ITTC
standard procedure 7.5-02-02-01
CFS: ship frictional resistance coefficient (computed according to ITTC 1957 formula)
∆CF: roughness allowance, computed according to Bowden-Davison formula. Here ∆CF =
0.000339
CR: residual resistance coefficient
CAAS: air resistance coefficient
CAppS: ship appendages (propeller boss cap fins) resistance coefficient, computed as
provided in annex 2.

The air resistance coefficient is computed according to the following formula:

Where:
CDA is the air drag coefficient, here 0.8
ρA and ρS are the air density and water density, respectively
AVS is the projected wind area, here 820 m2
CAAS = 7.9.10-5

The delivered power PD results of the towing tank tests are summarized in table 7.1 for the
EEDI condition (scantling draft) and in table 7.2 for the sea trial condition (light ballast draft).

Table 7.1: results of trial prediction in EEDI condition

Model reference: SX100 - model scale: 40
Loading condition: EEDI loading condition (12.70 m draft)
Resistance test: Propulsion test: P001 Model propeller:
R001 Prop01
Ship Wake Propeller Propeller rpm on Delivered
speed V factor thrust TS torque QS ship nS Power PD
(knot) wTM-wTS (kN) (kNm) (kW)
12 0.098 522 467 78 3781
12.5 0.093 578 514 82 4362

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13 0.089 638 563 86 5004

13.5 0.081 701 615 90 5710
14 0.079 768 669 93 6486
14.5 0.086 838 727 97 7333
15 0.091 912 786 101 8257
15.5 0.099 990 849 105 9261
Experience-based factor CP: 1.01
Experience based factor CN: 1.02

Table 7.2: results of trial prediction in sea trial condition

Model reference: SX100 - model scale: 40
Loading condition: Sea trial condition (5.80 m draft)
Resistance test: Model propeller:
Propulsion test: POO2
R002 Prop01
Ship Wake Propeller Propeller Delivered
rpm on
speed V factor thrust TS torque QS Power PD
ship nS
(knot) wTM-wTS (kN) (kNm) (kW)
12 0,079 406 379 72 2974
12,5 0,081 451 418 76 3445
13 0,083 500 459 79 3968
13,5 0,085 551 503 83 4545
14 0,087 606 549 87 5181
14,5 0,088 664 597 90 5878
15 0,091 725 648 94 6641
15,5 0,089 790 701 98 7474
Experience-based factor CP: 1.05
Experience based factor CN: 1.03

The predicted results are represented on the speed curves given in Figure 3.1. The EEDI
condition results are indexed (Full, p), the sea trial condition results (Ballast, p).

7.3 Ship and propeller models

The ship model is at scale λ = 40. The characteristics are given in table 7.3.

Table 7.3: characteristics of the ship model

Identification (model number or similar) SX 100
Material of construction Wood
Principal dimensions
Length between perpendiculars (LPP) 4.625 m
Length of waterline (LWL) 4.700 m
Breadth (B) 0.806 m
Draught (T) 0.317 m
Design displacement (Δ) (kg, fresh water) 1008.7 kg
Wetted surface area 6.25 m2
Details of turbulence stimulation Sand strips
Details of appendages rudder
Tolerances of manufacture +/- 2.5 mm on length
+/- 1 mm on breadth

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The propeller model used during the tests is a stock model with the following characteristics:

Table 7.4: characteristics of the stock propeller used during the tests
Identification (model number or similar) Prop01
Materials of construction aluminium
Blade number 4
Principal dimensions
Diameter 147.5 mm
Pitch-Diameter Ratio (P/D) 0.68
Expanded blade Area Ratio (AE/A0) 0.60
Thickness Ratio (t/D) 0.036
Hub/Boss Diameter (dh) 25 mm
Tolerances of manufacture Diameter (D): ± 0.10 mm
Thickness ( t ): ± 0.10 mm
Blade width (c): ± 0.20 mm
Mean pitch at each radius (P/D):
………..± 0.5% of design value.

7.4 Open water characteristics of propeller

The open water characteristics of the stock model propeller are given in annex 2. The open
water characteristics of the ship propeller are given in Figure 7.1.

Figure 7.1: open water characteristics of ship propeller

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8 Lines and offsets of the ship

The ships lines and offsets table are given in Annex 3.

9 Description of energy saving equipment

9.1 Energy saving equipment of which effects are expressed as PAEeff(i) and/or Peff(i) in
the EEDI calculation formula

None here.

9.2 Other energy saving equipment

The propeller boss cap fins are described in annex 4.

10 Justification of SFC (documents attached to NOx technical file of the parent

engine)

10.1 Main engine

The shop test report for the parent main engine is provided in annex 5.1. The SFOC has
been corrected to ISO conditions.

10.2 Auxiliary engine

The technical file of the EIAPP certificate of the auxiliary engines is provided in annex 5.2.
The SFOC has been corrected to ISO conditions.

11 Calculation of attained EEDI at design stage

11.1 Input parameters and definitions

The EEDI quantities and intermediate calculations are listed in table 11.1:

Table 11.1: Parameters in attained EEDI calculation

EEDI Value Remarks
quantity
CFME 3.206 Marine Diesel oil is used for shop test of the main engine
PME 6900 kW No shaft generator installed ( PPTO = 0)
MCR is 9200 kW PME = 0.75x9200 = 6 900 kW
SFCME 171 g/kWh According to parent engine shop test report in ISO conditions (see
10.1)
CFAE 3.206 Marine diesel oil is used for shop test of the auxiliary engine
PPTI 0 No shaft motor installed
PAE 381 kW MCR of the engine is 9200 kW, less than 10000kW

PAE = 0.05*9200 = 460 kW

According to electric power table included in table 5.1, ∑Pload(i) =

354 kW
The weighted average efficiency of generators = 0.93
(KWelec/kWmech)
PAE = ∑Pload(i) / 0.93 = 381 kW
The difference (460 – 381) KW is expected to vary EEDI by slightly

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more than 1%, so 381 kW is considered.

SFCAE 199 g/kWh According to technical file of EIAPP certificate in ISO conditions
(at 75% (see 10.2). According to 2.7.1 of IMO EEDI Calculation Guidelines
MCR) the SFCAE at 75% MCR should be used as PAE is significantly
different from 2.5.6 of IMO EEDI Calculation Guidelines.
Peff 0 No mechanical energy efficient devices
The propeller boss cap fins act by reducing ship resistance
PAEeff 0 No auxiliary power reduction
feff Not relevant here (see above)
fj 1.0 The ship is a bulk carrier without ice notations. fj = 1.0
fi 1.017 No ice notation fiICE = 1.0
No voluntary structural enhancement for this ship fiVSE = 1.0
The ship has the notation Bulk carrier CSR:
fiCSR = 1 + 0.08*LWTCSR / DWTCSR = 1+0.08*11590/55000 = 1.017
fi = fiICE x fiVSE x fiCSR = 1.017
fw 1.0 For attained EEDI calculation under regulation 20 and 21 of
MARPOL Annex VI, fw is 1.0
fc 1.0 The ship is a bulk carrier fc = 1.0
Capacity 55000 For a bulk carrier, Capacity is deadweight = 55 000 tons
Vref 14.25 At design stage, reference speed is obtained from the towing tank
knots test report and delivered power in scantling draft (EEDI) condition
is given in table 7.1
In table 7.1 PD = 1.0 x PME = 6900 kW
The reference speed is read on the speed curve corresponding to
table 7.1 at intersection between curve Full, p and 6900 kW
Vref = 14.25 knots

11.2 Result

For this vessel, Attained EEDI is:

Attained EEDI = (6900*3.206*171+381*3.206*199) / (1.017*55000*14.25) = 5.05 g/[Link]

12 Required EEDI

According to MARPOL Annex VI, Chapter 4, Regulation 21, the required EEDI is:
(1-x/100) x reference line value

The reference line value = a*b-c where a, b, c are given for a bulk carrier as:

a= 961.79 b = deadweight of the ship c = 0.477

So reference line value = 5.27 g/[Link]

In Phase 0 (between 1 Jan 2013 and 31 Dec 2014) above 20000 DWT, x = 0

So Required EEDI = 5.27 g/[Link]

Figure 12.1 provides the relative position of attained EEDI with reference to required value.

As a conclusion, for this vessel:

● attained EEDI = 5.05 g/[Link]
● required EEDI = 5.27 g/[Link]

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● Regulation criteria is satisfied with 4.2% margin

Figure 12.1: Required EEDI value

13 Calculation of attained EEDIweather

Not calculated.

14 Lightweight check report

The lightweight check report is provided in annex 6. The final characteristics of the ship are:

Displacement 66171 tons

Lightweight 11621 tons
Deadweight 54550 DWT

15 Sea trial report with corrections

The sea trial report is provided in annex 7. The results of the sea trial after corrections by
BSRA and ITTC standard methods are given on curve Ballast,s on Figure 3.1.

16 Calculation of attained EEDI at final stage

16.1 Recalculated values of parameters

The EEDI quantities and intermediate calculations are listed in table 16.1. Parameters which
have not been modified from the preliminary verification stage are marked “no change”.

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Table 16.1: Parameters in attained EEDI calculation (final stage)

EEDI Value Remarks

quantity
CFME 3.206 No change
PME 6900 kW No change
SFCME 171 g/kWh No change
CFAE 3.206 No change
PPTI 0 No change
PAE 381 kW The electric power table has been validated and endorsed (see
the electric power table form in annex 8)
SFCAE at 199 g/kWh No change
75% MCR
Peff 0 No change
PAEeff 0 No change
feff No change
fj 1.0 No change
fi 1.017 Deadweight and lightweight are computed from lightweight check:
fiCSR = 1 + 0.08*LWTCSR / DWTCSR = 1+0.08*11621/54550 = 1.017
fi = fiICE x fiVSE x fiCSR = 1.017 (unchanged)
fc 1.0 No change
Capacity 54550 DWT Deadweight has been computed from the lightweight check. See
14.
Vref 14.65 knots The reference speed in EEDI condition has been adjusted
according to the delivered power adjustment methodology defined
in Industry Guidelines.
The reference speed is read on the speed curves diagram in
Figure 3.1
Vref = 14.65 knots

16.2 Final result

Attained EEDI = (6900*3.206*171+381*3.206*199) / (1.017*54550*14.65) = 4.95 g/[Link]

Required EEDI in Phase 0: 961.79*54550-0.477 = 5.29 g/[Link]

Regulation criteria is satisfied with 6.4% margin

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List of annexes to the Document

Annex 1 Standard model-ship extrapolation and correlation method

Annex 2 Towing tank tests report

Annex 3 Ship lines and offsets table

Annex 4 Description of energy saving equipment

Annex 5 5.1 NOx Technical File of main engine(s)

5.2 NOx Technical File of auxiliary engines

Annex 6 Lightweight check report

Annex 7 Sea trials report

Annex 8 EPT-EEDI form

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APPENDIX 3
Verifying the calibration of model test equipment
Quality Control System

The existence of a Quality Control System is not sufficient to guarantee the correctness of the
test procedures; QS, including ISO 9000, only give documentary evidence what is to be and
has been done. Quality Control Systems do not evaluate the procedures as such.

The Test institute should have a quality control system (QS). If the QS is not certified ISO
9000 a documentation of the QS should be shown. A Calibration Procedure is given in ITTC
Recommended Procedures 7.6-01-01.

1. Measuring Equipment

An important aspect of the efficient operation of Quality System according to measuring

equipment is a full identification of devices used for the tests.

Measuring equipment instruments shall have their individual records in which the following
data shall be placed:
- name of equipment
- manufacturer
- model
- series
- laboratory identification number ( optionally)
- status ( verified, calibration, indication )

Moreover the information about the date of last and next calibration or verification shall be
placed on this record. All the data shall be signed by authorised officer.

2. Measuring Standards

Measuring standards used in laboratory for calibration purposes shall be confirmed (verified)
by Weights and Measures Office at appropriate intervals (defined by the Weights and
Measures Office).

All measuring standards used in laboratory for the confirmation purposes shall be supported
by certificates, reports or data sheets for the equipment confirming the source, uncertainty
and conditions under which the results were obtained.

3. Calibration

The calibration methods may differ from institution to institution, depending on the particular
measurement equipment. The calibration shall comprise the whole measuring chain (gauge,
amplifier, data acquisition system etc.).

The laboratory shall ensure that the calibration tests are carried out using certified measuring
standards having a known valid relationship to international or nationally recognised
standards.

a) Calibration Report

“Calibration reports” shall include:

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- identification of certificate for measuring standards

- description of environmental conditions
- calibration factor or calibration curve
- uncertainty of measurement
- minimum and maximum capacity” for which the error of measuring instrument is
within specified (acceptable) limits.

b) Intervals of Confirmation

The measuring equipment (including measuring standards) shall be confirmed at appropriate

(usually periodical) intervals, established on the basis of their stability, purpose and wear. The
intervals shall be such that confirmation is carried out again prior to any probable change in
the equipment accuracy, which is important for the equipment reliability. Depending on the
results of preceding calibrations, the confirmation period may be shortened, if necessary, to
ensure the continuous accuracy of the measuring equipment.

The laboratory shall have specific objective criteria for decisions concerning the choice of
intervals of confirmation.

c) Non - Conforming Equipment

Any item of measuring equipment

- that has suffered damage,

- that has been overloaded or mishandled,
- that shows any malfunction,
- whose proper functioning is subject to doubt,
- that has exceeded its designated confirmation interval, or
- the integrity of whose seal has been violated, shall be removed from service by
segregation, clear labelling or cancelling.

Such equipment shall not be returned to service until the reasons for its nonconformity have
been eliminated and it is confirmed again.

If the results of calibration prior to any adjustment or repair were such as to indicate a risk of
significant errors in any of the measurements made with the equipment before the calibration,
the laboratory shall take the necessary corrective action.

4. Instrumentation
Especially the documentation on the calibration of the following Instrumentation should be
shown.

a) Carriage Speed
The carriage speed is to be calibrated as a distance against time. Period between the
calibrations is to be in accordance with the internal procedure of the towing tank test
organisation.

b) Water Temperature
Measured by calibrated thermometer with certificate (accuracy 0.1°C).

c) Trim Measurement
Calibrated against a length standard. Period between the calibrations is to be in accordance
with the internal procedure of the towing tank test organisation.

d) Resistance Test

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Resistance Test is a force measurement. It is to be calibrated against a standard weight.

Calibration normally before each test series.

e) Propulsion Test
During Self Propulsion Test torque, thrust and rate of revolutions are measured. Thrust and
Torque are calibrated against a standard weight. Rate of revolution is normally measured by
a pulse tachometer and an electronic counter which can be calibrated e.g. by an oscillograph.

Period between the calibrations is to be in accordance with the internal procedure of the
towing tank test organisation.

f) Propeller Open Water Test

During Propeller Open Water Test torque, thrust and rate of revolutions are measured. Thrust
and Torque are calibrated against a standard weight. Rate of revolution is normally measured
by a pulse tachometer and an electronic counter which can be calibrated e.g. by an
oscillograph.

Period between the calibrations is to be in accordance with the internal procedure of the
towing tank test organisation.

Examples of documentation sheets are given in the Annexes 1 and 2:

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ANNEX 1: SAMPLE OF MEASURING EQUIPMENT CARD

QM Laboratory
Identification
[Link]
Measurement Equipment Card Number

Equipment Manufacturer Model

Serial No. Date of Purchase

Basic range

Status
Work Instructions Calibrated
Calibration Instructions Indication
Verified at Verified

Date of Certificate. Period Date of Next Responsible Department Approval

Check No. Check

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ANNEX 2: SAMPLE OF CALIBRATION CERTIFICATE.

CALIBRATION CERTIFICATE NO.

QM
[Link] for LIN
PROPELLER

Calibration Instructions Calibrated by :

Date of calibration Checked by :

Measurement combination

DYNAMOMETER
Manufacturer Model
LIN Serial No Date of purchased
Work instruction Last calibration

Cable

AMPLIFIER Manufacturer Model

Serial No Date of purchased
LIN
Work instruction Type of transducer
Excitation Frequency of excit.

Amp. gain Zero not load

Thrust :
Torque : Amp. gain Zero not load

Cable

Manufacturer Model
A/C TRANSDUCER
Serial No Date of purchased
LIN Work instruction Certificate No

Mass Certificate No
MEASUREMENT
Length arm of force Certificate No
STANDARDS Voltmeter Certificate No

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QM
[Link] CALIBRATION RESULTS
Environmental condition

Place of test :
Temperature : initial final
Dampness : initial final

Computation results of calibrations test

Executed program procedure certificate NO.

Thrust Torque
Drift :
Non Linearity errors :
Hysteresis :
Precision errors :
Total uncertainty :
Calibration factor :

Calibration requests :
Specified limits of Thrust Torque
errors :
Maximum capacity :
Minimum capacity :

Note : tests and computations results are included in report

Prepared by : ....................... Approved by : ....................... Date : ...................

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APPENDIX 4
Review and witnessing of model test procedures
The Model Tests is to be witnessed by the verifier. Special attention is to be given to the
following items:

1. Ship Model

Hydrodynamic Criteria

a) Model Size: The model should generally be as large as possible for the size of the
towing tank taking into consideration wall, blockage and finite depth effects, as well as
model mass and the maximum speed of the towing carriage (ITTC Recommended
Procedure 7.5-02-02-01 Resistance Test).

b) Reynolds Number: The Reynolds Number is to be, if possible, above 2.5x 105.

c) Turbulence Stimulator: In order to ensure turbulent flow, turbulence stimulators have to

be applied.

Manufacture Accuracy

With regard to accuracy the ship model is to comply with the criteria given in ITTC
Recommended Procedure 7.5-01-01-01, Ship Models.

The following points are to be checked:

a) Main dimensions: LPP, B.

b) Surface finish: Model is to be smooth. Particular care is to be taken when finishing the
model to ensure that geometric features such as knuckles, spray rails, and boundaries
of transom sterns remain well-defined.

c) Stations and Waterlines: The spacing and numbering of displacement stations and
waterlines are to be properly defined and accurately marked on the model.

d) Displacement: The model is to be run at the correct calculated displacement. The

model weight is to be correct to within 0.2% of the correct calculated weight
displacement. In case the marked draught is not met when the calculated displacement
has been established the calculation of the displacement and the geometry of the
model compared to the ship has to be revised. (Checking the Offsets).

Documentation in the report

Identification (model number or similar)

Materials of construction
Principal dimensions
Length between perpendiculars (LPP)
Length of waterline (LWL)
Breadth (B)
Draught (T)
For multihull vessels, longitudinal and transverse hull spacing
Design displacement (Δ) (kg, fresh water)

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Hydrostatics, including water plane area and wetted surface area

Details of turbulence stimulation
Details of appendages
Tolerances of manufacture

2. Propeller Model

The Manufacturing Tolerances of Propellers for Propulsion Tests are given IN ITTC
Recommended Procedures 7.5-01-01-01, Ship Models Chapter 3.1.2. Attention: Procedure
7.5 – 01-02-02 Propeller Model Accuracy is asking for higher standards which are applicable
for cavitation tests and not required for self-propulsion tests.

Propeller Model Accuracy

Stock Propellers
During the “stock-propeller” testing phase, the geometrical particulars of the final design
propeller are normally not known. Therefore, the stock propeller pitch (in case of CPP) is
recommended to be adjusted to the anticipated propeller shaft power and design propeller
revolutions. (ITTC Recommended Procedure 7.5-02-03-01.1 Propulsion/Bollard Pull Test).

Adjustable Pitch Propellers

Before the Tests the pitch adjustment is to be controlled.

Final Propellers
Propellers having diameter (D) typically from 150 mm to 300 mm is to be finished to the
following tolerances:
Diameter (D) ± 0.10 mm
Thickness (t) ± 0.10 mm
Blade width (c) ± 0.20 mm
Mean pitch at each radius (P/D): ± 0.5% of de-sign value.
Special attention is to be paid to the shaping accuracy near the leading and trailing edges of
the blade section and to the thickness distributions. The propeller will normally be completed
to a polished finish.

Documentation in the report

Identification (model number or similar)
Materials of construction
Principal dimensions
Diameter
Pitch-Diameter Ratio (P/D)
Expanded blade Area Ratio (AE/A0)
Thickness Ratio (t/D)
Hub/Boss Diameter (dh)
Tolerances of manufacture

3. Model Tests

a) Resistance Test

The Resistance Test is to be performed acc. to ITTC Recommended Procedure 7.5-02-02-01

Resistance Test.

Documentation in the report

Model Hull Specification:

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- Identification (model number or similar)

- Loading condition
- Turbulence stimulation method
- Model scale
- Main dimensions and hydrostatics (see ITTC Recommended Procedure 7.5-01-01-
01 Ship Models and chapter 2 of this paper).
Particulars of the towing tank, including length, breadth and water depth
Test date
Parametric data for the test:
- Water temperature
- Water density
- Kinematic viscosity of the water
- Form factor (even if (1+k) =1.0 is applicable, this is to be stated)
- ΔCF or CA

For each speed, the following measured and extrapolated data is to be given as a minimum:
- Model speed
- Resistance of the model
- Sinkage fore and aft, or sinkage and trim

b) Propulsion Test

The Propulsion Test is to be performed acc. to ITTC Recommended Procedure 7.5-02-03-

01.1 Propulsion Test/Bollard Pull.

Documentation in the report

Model Hull Specification:
- Identification (model number or similar)
- Loading condition
- Turbulence stimulation method
- Model scale
- Main dimensions and hydrostatics (see ITTC Recommended Procedure 7.5-01-01-
01 Ship Models and chapter 2 of this paper).
Model Propeller Specification:
- Identification (model number or similar)
- Model Scale
- Main dimensions and particulars (see ITTC Recommended Procedure 7.5-01-01-01
Ship Models and chapter 3 of this paper)
Particulars of the towing tank, including length, breadth and water depth
Test date
Parametric data for the test:
- Water temperature
- Water density
- Kinematic viscosity of the water
- Form factor (even if (1+k) = 1.0 is applicable, this is to be stated)
- ΔCF or CA
- Appendage drag scale effect correction factor (even if a factor for scale effect
correction is not applied, this is to be stated).

For each speed the following measured data and extrapolated data is to be given as a
minimum:
- Model speed
- External tow force
- Propeller thrust,
- Propeller torque

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- Rate of revolutions.
- Sinkage fore and aft, or sinkage and trim
- The extrapolated values are also to contain the resulting delivered power PD.

c) Propeller Open Water Test

In many cases the Propeller Open Water Characteristics of a stock propeller will be available
and the Propeller Open Water Test need not be repeated for the particular project. A
documentation of the Open Water Characteristics (Open Water Diagram) will suffice.

In case of a final propeller or where the Propeller Open Water Characteristics is not available
the Propeller Open Water Test is to be performed acc. to ITTC Recommended Procedure
7.5-02-03-02.1 Open Water Test.

Documentation in the report

Model Propeller Specification:
- Identification (model number or similar)
- Model scale
- Main dimensions and particulars (see recommendations of ITTC Recommended
Procedure 7.5-01-01-01 Ship Models and chapter 3 of this paper)
- Immersion of centreline of propeller shaft in the case of towing tank
Particulars of the towing tank or cavitation tunnel, including length, breadth and water depth
or test section length, breadth and height.
Test date
Parametric data for the test:
- Water temperature
- Water density
- Kinematic viscosity of the water
- Reynolds Number (based on propeller blade chord at 0.7R)

For each speed the following data is to be given as a minimum:

- Speed
- Thrust of the propeller
- Torque of the propeller
- Rate of revolution
- Force of nozzle in the direction of the propeller shaft (in case of ducted propeller)

Propeller Open Water Diagram

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4. Speed Trial Prediction

The principal steps of the Speed Trial Prediction Calculation are given in ITTC
Recommended Procedure 7.5 - 02 - 03 -1.4 ITTC 1978 Trial Prediction Method (in its latest
reviewed version of 2011). The main issue of a speed trial prediction is to get the loading of
the propeller correct and also to assume the correct full scale wake. The right loading of the
propeller can be achieved by increasing the friction deduction by the added resistance (e.g.
wind resistance etc.) and run the self-propulsion test already at the right load or it can be
achieved by calculation as given in Procedure 7.5-02-03-1.4.

A wake correction is always necessary for single screw ships. For twin screw ships it can be
neglected unless the stern shape is of twin hull type or other special shape.

The following scheme indicates the main components of a speed trial prediction. It is to be
based on a Resistance Test, a Propulsion Test and an Open Water Characteristics of the
used model propeller during the tests and the Propeller Open Water Characteristics of the
final propeller.

Documentation
Model Hull Specification:
- Identification (model number or similar)
- Loading condition
- Turbulence stimulation method
- Model scale
- Main dimensions and hydrostatics (see ITTC Recommended Procedure 7.5-01-01-
01 Ship Models and chapter 2 of this paper).
Model Propeller Specification:
- Main dimensions and particulars (see ITTC Recommended Procedure 7.5-01-01-01
Ship Models and chapter 3 of this paper)

Particulars of the towing tank, including length, breadth and water depth
Resistance Test Identification (Test No. or similar)
Propulsion Test Identification (Test No. or similar)
Open Water Characteristics of the model propeller
Open Water Characteristics of ship propeller
Ship Specification:
- Projected wind area
- Wind resistance coefficient
- Assumed BF
- CP and Cn

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For each speed the following calculated data is to be given as a minimum:

- Ship speed
- Model wake coefficient
- Ship wake coefficient
- Propeller thrust on ship
- Propeller torque on ship
- Rate of revolutions on ship
- Predicted power on ship (delivered power on Propeller(s) PD)
- Sinkage fore and aft, or sinkage and trim

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Scheme for review and witnessing Model Tests

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APPENDIX 5
Sample report “Preliminary Verification of EEDI”
ATTESTATION
PRELIMINARY VERIFICATION OF ENERGY EFFICIENCY DESIGN INDEX (EEDI)
by VERIFIER

Statement N° EEDI/2015/XXX

Ship particulars:

Ship Owner: ___________________

Shipyard: ___________________

Ship's Name: ___________________

IMO Number: ___________________

Hull number: ___________________

Building contract date: ___________________

Type of ship: ___________________

Port of registry: ___________________

Deadweight: ___________________

Summary results of EEDI

Reference speed VV.V knots
Attained EEDI [Link] g/[Link]
Required EEDI [Link] g/[Link]

Supporting documents
Title ID and/or remarks
EEDI Technical File RRRR dated 01/01/2015

This is to certify:

1 That the attained EEDI of the ship has been calculated according to the 2014
Guidelines on the method of calculation of the attained Energy Efficiency Design
Index (EEDI) for new ships, IMO resolution MEPC. 245(66).

2 That the preliminary verification of the EEDI shows that the ship complies with the
applicable requirements in regulation 20 and regulation 21 of MARPOL Annex VI
amended by resolutions MEPC.203(62) and MEPC. 251(66).

Completion date of preliminary verification of EEDI: xx/xx/xxxx

Issued at: _____________ on: ____________

Signature of the Verifier

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APPENDIX 6
Sample calculations of EEDI

Content

Appendix 6.1: Cruise passenger ship with diesel-electric propulsion

Appendix 6.2: LNG carrier with diesel-electric propulsion

Appendix 6.3: Diesel-driven LNG carrier with re-liquefaction system

Appendix 6.4: LNG carrier with steam turbine propulsion

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Appendix 6.1
Sample calculation for diesel-electric cruise passenger ship

1. Preliminary calculation of attained EEDI at design stage

Attained EEDI for cruise passenger ship having diesel electric propulsion system is calculated
as follows at design stage.
For a diesel-electric cruise passenger ship:
PME = 0, PPTI ≠0, PPTO = 0

1) Input
The table below lists the input information needed at the design stage and verified at the final
stage:

Symbol Name Value Source

MPP Rated output of 2 x 20000 From EEDI technical file
electric propulsion kW
motors
ηPTI Efficiency of 0.945 From electric power table
transformer +
converter +
propulsion motor at
75% of rated motor
output
ηGEN Power-weighted 0.974 Calculation from individual generator
average efficiency efficiencies given in electric power table:
of generators 0.975*19000+0.972*14000/(14000+19000)
HLOADMax Consumed electric 15 779 kW From electric power table for the most
power excluding demanding cruise contractual conditions
propulsion in cruise (here extreme summer conditions 28°C
most demanding during 80% of the time)
conditions
SFCAE Power-weighted 185 g/kWh From NOx technical file
average of specific
oil consumption
among all engines
at 75% of the MCR
power
GT Gross Tonnage 160000 From EEDI technical file
ums

MCR of auxiliary diesel engines 19,000 kW x 2 + 14,000 kW x 2

MPP 20,000 kW x 2
SFCAE recorded in the test report annexed to the NOx technical file at 75% of MCR power
and corrected to the ISO standard reference conditions.
185 g/kWh for both types of engines (19,000 kW and 14,000 kW)

2) Calculation of ∑PPTI
The input is the rated output of the electric propulsion motors, MPP, which can be identified
with the quantity noted PPTI,Shaft in 2.5.3 of the “2014 guidelines on the method of calculation of
the attained energy efficiency design index (EEDI) for new ships”.
The term PPTI is then computed as follows:

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Where ηPTI is the chain efficiency of the transformer, frequency converter and electric motor,
as given by the manufacturer at 75% of the rated motor output and ηGen is the weighted
average efficiency of the generators.

3) Value of PAE

PAE is estimated by the consumed electric power, excluding propulsion, in most demanding
(i.e. maximum electricity consumption) cruise conditions as given in the electric power table
provided by the submitter, divided by the average efficiency of the generators.

The most demanding conditions maximise the design electrical load and correspond to
contractual ambient conditions leading to the maximum consumption off heating ventilation
and air conditioning systems, in accordance with Note 2 of the “2014 guidelines on the
method of calculation of the attained energy efficiency design index (EEDI) for new ships”.

In this example, the most demanding condition corresponds to extreme summer conditions,
where the external air temperature is 28°C during 80% of the time.

HLOADMax
PAE 
 Gen
15,779kW

0.974
 16,200 kW

4) Vref at EEDI condition

Vref is obtained by the preliminary speed-power curves as the model tank test results at EEDI
condition at design stage. Suppose that Vref of 22.5 kn is obtained at 75% of MPP, in this
example calculation at design stage.

5) Calculation of the attained EEDI at design stage

EEDI is calculated in accordance with paragraph 2 of the “2014 guidelines on the method of
calculation of the attained energy efficiency design index (EEDI) for new ships”. The primary
fuel is marine Gas Oil in this example.

( PAE   PPTI (i ))  C FAE  SFC AE 

EEDI  i
Capacity  Vref
(16200  32593)  185  3.206
  8.04
160,000(UMS)  22.5(kn)

2. Final calculation of attained EEDI at sea trial

Attained EEDI at sea trial of cruise passenger ship having diesel electric propulsion system is
calculated as follows.

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1) Typical configuration and example of measurement points at sea trial

2) Specifications
Chain efficiency of the electric motor ηPTI and generator efficiency ηGen can be confirmed
during the sea trials at EEDI conditions (i.e. 75% of the rated motor output) taking into
account the power factor cosφ of the electric consumers.

SFCAE is computed form the NOx technical file if this file was not available at the preliminary
stage.

Gross tonnage is confirmed at 160,000 ums.

Prior to sea trials, an on-board survey is performed to ensure that data read on the
nameplates of the main electrical pieces of equipment comply with those recorded in the
submitted electric power table.

3) Vref at EEDI condition

Vref is obtained by the speed-power curves as a result of the sea trial in accordance with
paragraph 4.3.9 of the “2013 guidelines on survey and certification of the energy efficiency
design index (EEDI)”. Suppose that Vref of 18.7kn is obtained at 75% of MPP, in this example
calculation at sea trial.

During the sea trials, the shaft power transferred to the propellers PPTI,Shaft must be obtained. It
could be measured by a torsiometer fitted on the propeller shaft, or obtained from the
computation of the power consumption of the motor PSM through the following relation:

4) Calculation of the attained EEDI at sea trial

EEDI is calculated in accordance with paragraph 2 of the “2014 guidelines on the method of
calculation of the attained energy efficiency design index (EEDI) for new ships”. The primary
fuel is marine Gas Oil in this example.

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( PAE   PPTI (i ))  CFAE  SFC AE 

EEDI  i
Capacity  Vref
(16200  32593)  185  3.206
  7.97
160,000(UMS)  22.7(kn)

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Appendix 6.2
Sample calculation for LNG carrier having diesel electric propulsion system

1. Preliminary calculation of attained EEDI at design stage

Attained EEDI for LNG carrier having diesel electric propulsion system at design stage is
calculated as follows.

1) Specifications

MCR of main engines 10,000 (kW) x 3 + 6,400 (kW) x 1

MPPMotor 24,000 (kW)
SFCME(i)_electric, gas mode at 75% of MCR
162.0 (g/kWh) (for 10,000 (kW)-Engines) (SFC with the addition of
the guarantee tolerance)
162.6 (g/kWh) (for 6,400 (kW)-Engine) (Ditto)
SFCME(i)_Pilotfuel 6.0 (g/kWh) (for 10,000 (kW)-Engines), 6.1 (g/kWh) (for 6,400
(kW)-Engine)
Deadweight 75,000 (ton)

2) ηelectrical at design stage

ηelectrical is set as 0.913 in accordance with paragraph 2.5.1 of the “2014 guidelines on the
method of calculation of the attained energy efficiency design index (EEDI) for new ships”.

3) Calculation of PME

PME is calculated in accordance with paragraph 2.5.1 of the “2014 guidelines on the method
of calculation of the attained energy efficiency design index (EEDI) for new ships”.
MPPMotor
PME  0.83 
 electrical
24 ,000
 0.83   21,818 (kW)
0 .913

4) Calculation of PAE

PAE is calculated in accordance with paragraph [Link] and [Link] of the “2014 guidelines on
the method of calculation of the attained energy efficiency design index (EEDI) for new ships”.

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Note:
*1： The value of MPPMotor is used instead of MCRME in accordance with paragraph [Link].3.

5) Vref at EEDI condition

Vref is obtained by the preliminary speed-power curves as the model tank test results at EEDI
condition at design stage. Suppose that Vref of 18.4kn is obtained at 83% of MPPMotor, in this
example calculation at design stage.

6) Calculation of the attained EEDI at design stage

EEDI is calculated in accordance with paragraph 2 of the “2014 guidelines on the method of
calculation of the attained energy efficiency design index (EEDI) for new ships”. The primary
fuel is LNG in this example calculation. In this case, SFCAE(i)_electric, gas mode at 75% of MCR is equal to
SFCME(i)_electric, gas mode at 75% of MCR, and SFCAE(i)_Pilotfuel is equal to SFCME(i)_Pilotfuel.

PME  C FME _ Gas  SFC ME _ Gas  C FME _ Pilotfuel  SFC ME _ Pilotfuel   PAE  C FAE _ Gas  SFC AE _ Gas  C FAE _ Pilotfuel  SFC AE _ Pilotfuel 
EEDI 
Capacity  Vref
21 ,818  2 .750  162 .1  3 .206  6 .0 +1,286  2 .750  162 .1  3 .206  6 .0 
  7 .79
75 ,000 (DWT)  18 .4 (kn)

Note:
*1： The average weighed value of SFCME(i)_electric, gas mode at 75% of MCR and SFCAE(i)_electric, gas mode
at 75% of MCR is used;
162.010 , 000 (kW)3162.66 , 400 (kW)
 162.1(g/kWh)
10 , 000 (kW)36 , 400 (kW)
*2： The average weighed value of SFCME(i)_Pilotfuel and SFCAE(i)_Pilotfuel is used;.
6.010, 000(kW)3 6.16 , 400(kW)
 6.0(g/kWh)
10, 000(kW)3 6, 400(kW)

2. Final calculation of attained EEDI at sea trial

Attained EEDI for LNG carrier having diesel electric propulsion system at sea trial is
calculated as follows.

1) Typical configuration and example of measurement points at sea trial

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2) Specifications

MCR of main engines 10,000 (kW) x 3 + 6,400 (kW) x 1

MPPMotor 24,000 (kW)
SFCME(i)_electric, gas mode at 75% of MCR
161.6 (g/kWh) (for 10,000 (kW)-Engines) (SFC of the test report in
the NOx technical file)
162.2 (g/kWh) (for 6,400 (kW)-Engine) (Ditto)
SFCME(i)_Pilotfuel 6.0 (g/kWh) (for 10,000 (kW)-Engines), 6.1 (g/kWh) (for 6,400
(kW)-Engine)
Deadweight 75,500 (ton)

3) ηelectrical at sea trial

ηelectrical is set as 0.913 in accordance with paragraph 2.5.1 of the “2014 guidelines on the
method of calculation of the attained energy efficiency design index (EEDI) for new ships”.

4) Calculation of PME

PME is calculated in accordance with paragraph 2.5.1 of the “2014 guidelines on the method
of calculation of the attained energy efficiency design index (EEDI) for new ships”.
MPPMotor
PME  0 .83 
 electrical
24 ,000
 0 .83   21,818 (kW)
0.913

5) Calculation of PAE

PAE is calculated in accordance with paragraph [Link] and [Link] of the “2014 guidelines on
the method of calculation of the attained energy efficiency design index (EEDI) for new ships”.
 nPTI

 nME  PPTI (i ) 
PAE   0.025  (  MCRME (i )  i 1 )   250 and/or;
 i 1 0.75 
 
 
 CargoTankCapacityLNG  BOR  COPreliquefy  Rreliquefy  (1) and/or; (Not Applicable)
nME PME (i )
 0.33   SFCME ( i ), gasmode   (2) and/or; (Not Applicable)
i 1 1000
nME
 0.02   PME ( i )  (3)
i 1

 0.025  24,000  250  0  0  0.02  21,818

 1,286 (kW)

Note:
*1： The value of MPPMotor is used instead of MCRME in accordance with paragraph [Link].3.

6) Vref at EEDI condition

Vref is obtained by the speed-power curves as a result of the sea trial in accordance with
paragraph 4.3.9 of the “2013 guidelines on survey and certification of the energy efficiency
design index (EEDI)”. Suppose that Vref of 18.5kn is obtained at 83% of MPPMotor, in this
example calculation at sea trial.

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7) Calculation of the attained EEDI at sea trial

EEDI is calculated in accordance with paragraph 2 of the “2014 guidelines on the method of
calculation of the attained energy efficiency design index (EEDI) for new ships”. The primary
fuel is LNG in this example calculation. In this case, SFCAE(i)_electric, gas mode at 75% of MCR is equal to
SFCME(i)_electric, gas mode at 75% of MCR, and SFCAE(i)_Pilotfuel is equal to SFCME(i)_Pilotfuel.
PME  C FME _ Gas  SFCME _ Gas  C FME _ Pilotfuel  SFCME _ Pilotfuel   PAE  C FAE _ Gas  SFC AE _ Gas  C FAE _ Pilotfuel  SFC AE _ Pilotfuel 
EEDI 
Capacity  Vref
21,818  2.750  161.7  3.206  6.0+1,286  2.750  161.7  3.206  6.0
  7.67
75,500(DWT)  18.5(kn)

Note:
*1： The average weighed value of SFCME(i)_electric, gas mode at 75% of MCR and SFCAE(i)_electric, gas mode
at 75% of MCR is used;.
161.610 , 000 (kW)3162.26 , 400 (kW)
 161.7(g/kWh)
10 , 000 (kW)3 6 , 400 (kW)
*2： The average weighed value of SFCME(i)_Pilotfuel and SFCAE(i)_Pilotfuel is used;.
6.010, 000(kW)3 6.16 , 400(kW)
 6.0(g/kWh)
10, 000(kW)3 6, 400(kW)

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Appendix 6.3
Sample calculation for LNG carrier having diesel driven with re-liquefaction system

1. Preliminary calculation of attained EEDI at design stage

Attained EEDI for LNG carrier having diesel driven with re-liquefaction system at design stage
is calculated as follows.

1) Specifications

MCR ME(i) 18,660 x 2 (kW) = 37,320 (kW)

SFCME(i)_at 75% of MCR 165.0 (g/kWh)
SFCAE(i)_at 50% of MCR 198.0 (g/kWh)
CargoTankCapacityLNG 211,900 (m3)
BOR 0.15 (%/day)
COPcooling 0.166
COPreliquefy 15.142
425 (kg / m 3 )  511 (kJ / kg )
COPreliquefy   15.142
24 (h)  3600 (sec)  COPcooling
Rreliquefy 1
Deadweight 109,000 (ton)

2) Calculation of PME

PME is calculated in accordance with paragraph 2.5.1 of the “2014 guidelines on the method
of calculation of the attained energy efficiency design index (EEDI) for new ships”.
PME ( i )  0.75  MCRME ( i )
 0.75  18,660  18,660   27 ,990(kW)

3) Calculation of PAE

PAE is calculated in accordance with paragraph [Link] and [Link] of the “2014 guidelines on
the method of calculation of the attained energy efficiency design index (EEDI) for new ships”.

PAE = 0.025 x Σ0.0ME(i) + 250

+ CargoTankCaipacityLNG x BOR x COPreliquefy x Rreliquefy
= 0.025 x 37,320 +250
+ 211,900 x 0.15/100 x 15.142 x 1
= 5,996 (kW)

4) Vref at EEDI condition

Vref is obtained by the preliminary speed-power curves as the model tank test results at EEDI
condition at design stage.

Suppose that Vref of 19.7kn is obtained at 75% of MCRME(i), in this example calculation at
design stage.

5) Calculation of the attained EEDI on design stage

EEDI is calculated in accordance with paragraph 2 of the “2014 guidelines on the method of
calculation of the attained energy efficiency design index (EEDI) for new ships”.

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PME  C FME  SFC ME  PAE  C FAE  SFC AE

EEDI 
Capacity  V ref
27 ,990  3.206  165 .0+5,996  3.206  198 .0
  8.668
109 ,000 (DWT)  19 .7 (kn)

2. Final calculation of attained EEDI at sea trial

Attained EEDI for LNG carrier having diesel driven with re-liquefaction system at sea trial is
calculated as follows.

1) Specifications

MCR ME(i) 18,660 x 2 (kW) = 37,320 (kW)

SFCME(i)_at 75% of MCR 165.5 (g/kWh)
SFCAE(i)_at 50% of MCR 198.5 (g/kWh)
CargoTankCapacityLNG 211,900 (m3)
BOR 0.15 (%/day)
COPcooling 0.166
COPreliquefy 15.142
425 (kg / m3 )  511 (kJ / kg )
COPreliquefy   15.142
24 (h)  3600 (sec) COPcooling
Rreliquefy 1
Deadweight 109,255 (ton)

SFCME(i)_at 75% of MCR and SFCAE(i)_at 50% of MCR are in accordance with paragraph 2.7.1 of the
“2014 guidelines on the method of calculation of the attained energy efficiency design index
(EEDI) for new ships”.

Deadweight is in accordance with paragraph 4.3.10 of the “2013 guidelines on survey and
certification of the energy efficiency design index (EEDI)”.

2) Measured values at sea trial

Relation between SHPseatrial and Ship’s speed shall be measured and verified at sea trial.

3) Calculation of PME

PME is calculated in accordance with paragraph 2.5.1 of the “2014 guidelines on the method
of calculation of the attained energy efficiency design index (EEDI) for new ships”.

PME ( i )  0.75  MCRME ( i )

 0.75  18,660  18,660   27 ,990(kW)

4) Calculation of PAE

PAE is calculated in accordance with paragraph [Link] of the “2014 guidelines on the method
of calculation of the attained energy efficiency design index (EEDI) for new ships”.

PAE = 0.025 x Σ0.0ME(i) + 250

+ CargoTankCaipacityLNG x BOR x COPreliquefy x Rreliquefy
= 0.025 x 37,320 +250
+ 211,900 x 0.15/100 x 15.142 x 1
= 5,996 (kW)

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5) Vref at EEDI condition

Vref is obtained by the speed-power curves as a result of the sea trial in accordance with
paragraph 4.3.9 of the“2013 guidelines on survey and certification of the energy efficiency
design index (EEDI)”.

Suppose that Vref of 19.8kn is obtained at 75% of MCRME(i), in this example calculation at sea
trial.

6) Calculation of the attained EEDI at sea trial

EEDI is calculated in accordance with paragraph 2 of the “2014 guidelines on the method of
calculation of the attained energy efficiency design index (EEDI) for new ships”.

PME  C FME  SFC ME  PAE  C FAE  SFC AE

EEDI 
Capacity  V ref
27 ,990  3.206  165 .5+5,996  3.206  198 .5
  8.629
109 , 255 (DWT)  19 .8(kn)

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Appendix 6.4
Sample calculation for LNG carrier having steam turbine propulsion system

1. Preliminary calculation of attained EEDI at design stage

Attained EEDI for LNG carrier having steam turbine propulsion system at design stage is
calculated as follows.

1) Specifications

MCRSteam turbine 25,000 (kW)

SFCSteam turbine 241.0 (g/kWh)
Deadweight 75,000 (ton)

2) Calculation of PME

PME is calculated in accordance with paragraph 2.5.1 of the“2014 guidelines on the method of
calculation of the attained energy efficiency design index (EEDI) for new ships”.
PME  0.83  MCR SteamTurbi ne
 0.83  25,000  20 ,750 (kW)

3) Calculation of PAE

PAE is treated as 0(zero) because electric load (P generator_seatrial ) is supposed to be included in

SFCSteamTurbine, in accordance with paragraph [Link] and [Link] of the “2014 guidelines on
the method of calculation of the attained energy efficiency design index (EEDI) for new ships”.

PAE = 0

4) Vref at EEDI condition

Vref is obtained by the preliminary speed-power curves as the model tank test results at EEDI
condition at design stage.

Suppose that Vref of 18.7kn is obtained at 83% of MCRSteamTurbine, in this example calculation
at design stage.

5) Calculation of the attained EEDI on design stage

EEDI is calculated in accordance with paragraph 2 of the “2014 guidelines on the method of
calculation of the attained energy efficiency design index (EEDI) for new ships”.
The primary fuel is LNG in this example calculation.

PME  C FME  SFC ME  PAE  C FAE  SFC AE

EEDI 
Capacity  Vref
20 ,750  2.750  241 .0+0
  9.81
75,000 (DWT)  18 .7 (kn)

2. Final calculation of attained EEDI at sea trial

Attained EEDI for LNG carrier having steam turbine propulsion system at sea trial is
calculated as follows.

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1) Typical configuration and example of measurement points at sea trial

In addition to the above, in order to correct measured Fuel Consumption to the design
conditions corresponding to the SNAME condition, inlet air temperature, sea water
temperature, steam temperature, steam pressure, etc. are measured, as appropriate.

PAE is treated as 0(zero) because electric load (P generator_seatrial ) is supposed to be included in

SFCSteamTurbine, in accordance with paragraph [Link] and [Link] of the “2014 guidelines on
the method of calculation of the attained energy efficiency design index (EEDI) for new ships”.

2) Specifications

MCRSteam turbine 25,000 (kW)

SFCSteam turbine 241.0 (g/kWh)
Deadweight 75,000 (ton)

3) Measured values at sea trial

P generator_seatrial 980 (kW)

SHPseatrial 21,520 (kW)
Fuel Consumption_seatrial 5.95 x 106 (g/hour)

Each Fuel Consumption(j)_seatrial should be corrected in accordance with paragraph 2.7.2 of the
“2014 guidelines on the method of calculation of the attained energy efficiency design index
(EEDI) for new ships”.

Coefficient of flow meter 1.0010

Steam temperature 500 degree Celsius
Steam pressure 5.85 (MPaG)

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Condenser vacuum 725 (mmHg)

Dist. water production 28.5 (t/day)
Inlet air temperature of FAN 45 degree Celsius
Lower calorific value of fuel used at sea trial 42,030 (kJ/kg)

4) Calculation of SFCSteamTurbine at sea trial

SFCSteamTurbine is calculated in accordance with paragraph 2.7.2 of the “2014 guidelines on the
method of calculation of the attained energy efficiency design index (EEDI) for new ships”.
FuelConsum ption _ Seatrial
SFC SteamTurbi ne _ seatrial ( i ) 
SHPseatrial
5.95  10 6 *1
  C1  C 2  C 3  C 4  C 5  C 6  C 7
21,520
5.95  10 6
  0.9871  0.8756  1.0010  1.0001  1.0035
21,520
 0.9999  1.0028
 240 .7 (g/kW/h)

Note:
*1: SFC should be corrected to the value corresponding to SNAME and EEDI conditions, in
accordance with paragraph 2.7.2 .2 and .3 of the “2014 guidelines on the method of
calculation of the attained energy efficiency design index (EEDI) for new ships”.
Coefficients from C1 to C7 represent as follows.

C1: Coefficient of electric power to the electric load equivalent to

PAE = 0.025 x MCRSteam turbine + 250 = 875 (kW)

C2: Coefficient of LCV to the standard LCV of 48,000 kJ/kg for LNG fuel
C3: Coefficient of flow meter
C4: Coefficient of steam temperature and steam pressure
C5: Coefficient of condenser vacuum for steam turbine
C6: Coefficient of water feed of condenser
C7: Coefficient of inlet air temperature

SFCSteamTurbine is calculated as the value to include all losses of machinery and, gears
necessary for main propulsion system and the specified electric load of PAE.

Minimum two SFCSteamTurbine at around the EEDI power are obtained at the sea trial. However
in this example calculation, all SFCSteamTurbine (i) are supposed to the same value of 240.7
g/kWh.

5) Calculation of PME

PME is calculated in accordance with paragraph 2.5.1 of the “2014 guidelines on the method
of calculation of the attained energy efficiency design index (EEDI) for new ships”.
PME  0.83  MCR SteamTurbi ne
 0.83  25,000  20 ,750 (kW)

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6) Calculation of PAE

PAE is treated as 0(zero) because electric load (P generator_seatrial ) is supposed to be included in

SFCSteamTurbine, in accordance with paragraph [Link] and [Link] of the “2014 guidelines on
the method of calculation of the attained energy efficiency design index (EEDI) for new ships”.

PAE = 0

7) Vref at EEDI condition

Vref is obtained by the speed-power curves as a result of the sea trial in accordance with
paragraph 4.3.9 of the “2013 guidelines on survey and certification of the energy efficiency
design index (EEDI)”.

Suppose that Vref of 18.8kn is obtained at 83% of MCRSteamTurbine, in this example calculation
at sea trial.

8) Calculation of the attained EEDI at sea trial

EEDI is calculated in accordance with paragraph 2 of the “2014 guidelines on the method of
calculation of the attained energy efficiency design index (EEDI) for new ships”.
The primary fuel is LNG in this example calculation.

PME  C FME  SFC ME  PAE  C FAE  SFC AE

EEDI 
Capacity  Vref
20 ,750  2.750  240 .7+0
  9.74
75,000 (DWT)  18 .8(kn)

End of
Document

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