DIPLOMA IN MARINE

SURVEYING
Module 1: Introduction to Marine Surveying

Author
Allan T Larsen
Managing Director,
Larsens Marine Surveyors & Consultants Ltd

Captain Rodger MacDonald

MSc
Content
1. INTRODUCTION ............................................................................................................................... 5
2. THE STRUCTURE OF THE MARITIME INDUSTRY .............................................................................. 6
2.1 Introduction ............................................................................................................................. 6
2.2 Common Roles in the Maritime Industry ................................................................................ 6
3. THE WORLD FLEET ........................................................................................................................... 8
3.1 Introduction ............................................................................................................................. 8
3.2 Equasis ..................................................................................................................................... 8
4. CLASSIFICATION SOCIETIES ........................................................................................................... 12
4.1 Introduction ........................................................................................................................... 12
4.2 The Role of Classification Societies ....................................................................................... 15
5. REGULATION OF THE INDUSTRY.................................................................................................... 17
5.1 Introduction ........................................................................................................................... 17
5.2 The Safety of Life at Sea (SOLAS) Convention ....................................................................... 17
5.3 The International Safety Management (ISM) Code .............................................................. 18
5.4 The International Ship and Port Facility Security (ISPS) Code ............................................... 19
5.5 Maritime Labour Convention (MLC) 2006 ............................................................................. 19
5.6 International Convention on Load Lines 1966 ...................................................................... 19
5.7 International Convention for the Prevention of Pollution from Ships (MARPOL) ................ 21
5.8 International Convention on Standards of Training, Certification and Watchkeeping (STCW
78/95) 21
5.9 Enforcing the Regulations ..................................................................................................... 21
6. THE INTERNATIONAL MARITIME ORGANIZATION (IMO) .............................................................. 23
6.1 Introduction ........................................................................................................................... 23
6.2 The Committees .................................................................................................................... 24
6.2.1 Maritime Safety Committee .......................................................................................... 25
6.2.2 Marine Environmental Protection Committee .............................................................. 25
6.2.3 Legal Committee ........................................................................................................... 25
6.2.4 Technical Co-operation Committee .............................................................................. 25
6.2.5 Facilitation Committee .................................................................................................. 25
6.3 The Assembly......................................................................................................................... 25
6.4 The Council ............................................................................................................................ 25
6.5 Budget ................................................................................................................................... 25
7. MARINE SURVEYORS, SURVEY ORGANISATIONS AND HOW YOU DEFINE THEM ......................... 27
7.1 Introduction ........................................................................................................................... 27
7.2 Classification Societies........................................................................................................... 27
7.3 Flag State Administrations .................................................................................................... 27

Module 1: Introduction to Marine Surveying 2

 7.4 Port State Control (PSC) ........................................................................................................ 28
7.5 Independent Survey Companies ........................................................................................... 28
8. KNOWING YOUR CUSTOMER ........................................................................................................ 29
8.1 Who Instructs Surveyors? ..................................................................................................... 29
8.2 How Does Your Principal Know You? .................................................................................... 29
8.3 Understanding Your Contractual Obligations ....................................................................... 30
8.4 For Whom Does the Surveyor Act? ....................................................................................... 31
8.5 Surveys “Without Prejudice” ................................................................................................. 32
9. TYPES OF SURVEYS ........................................................................................................................ 34
9.1 Hull and Machinery in General .............................................................................................. 34
9.2 Periodic Surveys .................................................................................................................... 34
9.3 Class and Statutory Surveys .................................................................................................. 35
10. CARGO SURVEYS ........................................................................................................................ 36
10.1 Cargo Related Surveys in General ......................................................................................... 36
10.1.1 Is the Ship Cargo Worthy? ............................................................................................. 36
10.1.2 Tanker Surveys .............................................................................................................. 37
10.1.3 Preparation of Cargo Spaces ......................................................................................... 38
10.1.4 Surveying the Cargoes ................................................................................................... 38
10.1.5 General Cargoes ............................................................................................................ 39
10.1.6 Container Surveys.......................................................................................................... 39
10.1.7 Container Stuffing Surveys ............................................................................................ 40
10.1.8 Dry Bulk Cargo ............................................................................................................... 42
10.1.9 Draught Surveys ............................................................................................................ 44
10.2 Supervisory/Overseeing Surveys ........................................................................................... 47
10.2.1 Pre-shipment Surveys .................................................................................................... 47
10.2.2 Loading Surveys ............................................................................................................. 47
10.2.3 Securing/Lashing Surveys .............................................................................................. 48
10.2.4 Discharge/Out-turn Surveys .......................................................................................... 48
10.2.5 Steel Cargoes ................................................................................................................. 50
10.2.6 Summary of Bulk Cargoes in General ............................................................................ 51
10.3 Timber Deck Cargoes ............................................................................................................. 51
10.4 Bulk, Liquid ............................................................................................................................ 52
10.4.1 Oil and Chemicals .......................................................................................................... 52
10.4.2 Liquid Gas ...................................................................................................................... 56
10.5 Quantity Surveys ................................................................................................................... 56
10.5.1 Weight, Measurement and Ullage ................................................................................ 57
10.5.2 Fuel Oils or Bunkers ....................................................................................................... 58

Module 1: Introduction to Marine Surveying 3

 10.5.3 Dead Freight .................................................................................................................. 58
11. WARRANTY AND OTHER COMMERCIAL TYPES OF SURVEY ...................................................... 59
11.1 Warranty Surveys .................................................................................................................. 59
11.1.1 Towage Approval ........................................................................................................... 59
11.1.2 Lay-up ............................................................................................................................ 60
11.1.3 Recommissioning/Reactivation ..................................................................................... 61
11.2 Performance Surveys............................................................................................................. 61
11.2.1 Machinery Performance and Fuel Consumption .......................................................... 61
11.3 Commercial Surveys .............................................................................................................. 62
11.3.1 Quality Surveys .............................................................................................................. 62
11.3.2 Conformity with Letter of Credit (Before Shipment) .................................................... 62
11.3.3 Conformity with Specification or Sample (After Shipment) .......................................... 63
11.4 P&I Club Entry Surveys .......................................................................................................... 63
12. WHEN THINGS GO WRONG ....................................................................................................... 65
12.1 Introduction ........................................................................................................................... 65
12.2 Insurance Cargo Loss Surveys ................................................................................................ 65
12.2.1 Verification of Damage/Loss ......................................................................................... 66
12.2.2 Investigation of Cause ................................................................................................... 66
12.2.3 Consideration of Repairs and Costs............................................................................... 67
12.3 Damage and Repair Surveys .................................................................................................. 68
12.4 Accident Investigation Surveys .............................................................................................. 70
12.5 Third Party Liabilities ............................................................................................................. 72
12.6 Investigation by Administrations........................................................................................... 72
13. CONCLUSION ............................................................................................................................. 74
14. REFERENCES .............................................................................................................................. 74

Module 1: Introduction to Marine Surveying 4

1. INTRODUCTION
The marine industry is a well-established global concern which has developed and grown over
hundreds of years. It is, however, an industry which is still developing as new technologies and
scientific advances provide opportunities for improvements in safety, environmental protection,
efficiency and the welfare of those who work on board ships.

In fact, as this module was being prepared for release, the latest regulations from the International
Maritime Organisation (IMO), in the form of the International Convention for the Control and
Management of Ships Ballast Water and Sediments (BWM), entered into force on 8 September 2017.
This serves to demonstrate the great steps being taken in the modern era of shipping with a view to
protecting the natural environment.

With the Ballast Water Management regulations now in place there has been a clear and noticeable
refocusing of attention on plastics which enter the seas and oceans. It is foreseen that an update to
MARPOL will not be long in entering discussions to deal with this problem.

These marine developments are accompanied by an ever-increasing scope of legislation,

recommendations, guidelines and rules which must be agreed, ratified, implemented and enforced
on a global basis by numerous governments, all of whom are members, or associate members, of the
IMO.

The maritime industry, therefore, carries great responsibility to ensure that technical and legislative
developments are best utilised to the benefit of not only the industry, but the global natural
environment. This continuous evolution requires a clear understanding by all concerned and this
includes, of course, the marine surveyor.

Considering the above, it can be foreseen that the industry will inevitably require continuous,
improved and careful control methods to be observed either on a voluntary basis by companies, or
through legislation ratified by governments. Either way, the need for marine surveyors to have a
clear understanding of the industry, and its needs, is obvious.

This course is designed to provide existing surveyors or, those wishing to develop their career further
by entering the marine survey arena, with the cardinal information required to approach that
opportunity. To provide this information, the course material will include both technical and
legislative information.

When undertaking the study required by this course, students should remain mindful that the marine
industry is an international business which is unique in its setting, operations and controls and which
is not necessarily homogenous in its approach across the globe. Care must be taken in this respect
when discussing the industry and that local requirements are both observed and complied with.
This module acts as an introduction to this diploma course in marine surveying. As the course
progresses, each of the topics included in this module will be explained in greater detail and will
provide a good knowledge of the marine survey industry. The marine industry is a complex mix of
operators, owners, rules and regulations and, surveyors must have a thorough knowledge of the
areas of the industry in which they wish to be active.

There is no doubt that the requirements and demands in the industry will change and develop over
time and that this will place a need on surveyors to be constantly refreshing their knowledge and
undertaking training on a regular basis.

Module 1: Introduction to Marine Surveying 5

2. THE STRUCTURE OF THE MARITIME INDUSTRY

Learning Outcomes
On successfully completing this chapter, you will be able to:
• Describe the main structure of the marine industry.
• Discuss the various main contributors to the marine industry.

2.1 Introduction
When we consider that the seas and oceans of our planet cover a greater area of the earth’s surface
than the land, approximately 71%, we can begin to appreciate the huge area in which the maritime
industry operates.

Also, according to the Hawaii Pacific University Ocean Institute the seas and oceans of the earth
contain 99% of the living space on our planet and, contain 97% of the earth’s water (for further
information, see: [Link] [Last accessed 16th March 2018]

This means that as the industry operates in the marine environment, it must accept its responsibility
to protect it and, to ensure that the activities of the industry do not cause a harmful effect.
This responsibility has influenced the development of the structure of the industry by requiring
regulatory bodies to become involved on a global basis.

The structure of the marine industry can be difficult to understand especially as this structure is not
static but is continually developing and changing, particularly with regards to legislation.
To better understand the contributors to the industry we shall briefly discuss some of the more
common roles involved on a daily basis. These roles are explained in more detail as the course
progresses.

2.2 Common Roles in the Maritime Industry

These include the following:

• Shipowner
The commercial owner of the vessel. This being an individual, group of individuals or, a
company who has purchased the vessel or who is/are responsible for a mortgage to be paid
on it. The owner is not necessarily the individual or company who is responsible for the
operation of the vessel.
• Ship Manager
An individual or a company which has taken on the responsibility for the management of the
ship and its operations.
• Company
An individual or company such as the owner, manager or bareboat charterer who has agreed
to take over all duties and responsibilities imposed by the International Management Code
for the Safe Operation of Ships and for Pollution Prevention. (The ISM Code).
• Charterer
An individual or company who has hired the vessel, or an area of the vessel, for use.

Module 1: Introduction to Marine Surveying 6

 • Classification Societies
A non-government organisation which produces rules for the construction and survey of
ships and offshore floating units. These societies perform surveys of the ship and also of
equipment being fitted to it both during construction and throughout its service life.
Classification societies may be delegated by flag state administrations to perform statutory
surveys on their behalf as a Recognised Organisation (RO)
• Rules
Requirements of a classification society. Classification Society rules are not enforceable by
law.
• Regulations
Statutory requirements which are brought into force by flag state administrations or coastal
state administrations. Statutory requirements produced by the International Maritime
Organisation (IMO) are regulations which are enforceable by law.
• Flag State Administrations
Government body responsible for the enforcement of regulations on board the ships which
are recorded on its register. Many flag states are members of the International Maritime
Organization (IMO).
• Coastal State Administration
A government body which is responsible for ensuring that vessels operating in its territorial
waters comply with the applicable regulations.
• The International Association of Classification Societies (IACS)
An association of 12-member classification societies. IACS defines procedural requirements
for the member societies.
• The International Maritime Organization (IMO)
The organisation responsible for regulation of the marine industry on a global basis.
• Port State Control (PSC)
A government body whose role it is to inspect foreign vessels calling at ports of the PSC
home country and, to verify that these vessels comply with the required rules and
regulations. Port state control officers have the authority and power to detain any vessel
which does not comply with the required regulations.

It is incumbent upon the shipowner/ship manager to ensure that the vessels being operated by them
comply with all required rules, regulations and legislation.

Module 1: Introduction to Marine Surveying 7

3. THE WORLD FLEET

Learning Outcomes
On successfully completing this chapter, you will be able to:
• Describe the statistical data of the world fleet.
• Discuss trends in the world fleet statistics.

3.1 Introduction
The number of vessels operating in the world fleet is, of course, a difficult quantity to accurately
determine. There are, however, some organisations which have access to various sources of
information and who produce reports using this available information.

For the purposes of this chapter, we are discussing reports that have been produced by “Equasis”.
The figures discussed relate to the year 2015 which is the most recent report available at the time of
producing this module.

3.2 Equasis
Equasis consider the following to be the definition of ship size:

Description Gross Tonnage

Small ships 100 to 499
Medium ships 500 to 24,999
Large ships 25,000 to 59,999
Very large ships 60,000 and above

Figure 1: Table 1

Also, Equasis have over one hundred definitions for ship type. For the purposes of their report they
condense these ship types into 12 categories as follows:
• General cargo ship.
• Specialised cargo ship.
• Container ships.
• Roll on-roll off (ro-ro) cargo ships.
• Bulk carriers.
• Oil and chemical tankers.
• Gas tankers.
• Other tankers.
• Passenger ships.
• Offshore vessels.
• Service ships.
• Tugs.

Module 1: Introduction to Marine Surveying 8

When discussing the size of the world fleet two factors can be considered:
• firstly, the actual number of ships which are sailing the seas; and
• secondly, how much “tonnage” is sailing the seas.

By tonnage, we are discussing the total volume of shipping in operation.

According to Equasis, the following figures were recorded for the 2015 period:
• Small- and medium-sized ships in the Equasis fleet accounted for 80% of the total fleet by
number of ships.
• Small ships alone accounted for 37% of the total Equasis fleet by number but only for 1%
when measured as “tonnage”.
• The most common types of vessel recorded in the Equasis fleet were general cargo ships
with 18.3% and tugs with 20.3% by number.
• However, when we consider the Equasis fleet by “tonnage” it is reported that the large and
very large vessels include 81% of the total fleet tonnage. This includes 84.2% assigned to oil
and chemical tankers, bulk carriers and containerships combined.
• Equasis report further that when considering the number of vessels in the fleet more than
50.1% are over 15 years of age yet the biggest vessels by tonnage appear in the more
modern vessels of the fleet. This demonstrates a trend towards larger vessels it would seem.

World Fleet – Total Number of Ships by Type and Size 2016

Ship Type Small Medium Large Very large Total
General cargo ship 4,374 11,830 229 0 16,433
Specialised cargo ship 8 225 64 4 301
Container ships 18 2,253 1,507 1,329 5,107
Ro-ro cargo ships 31 641 592 223 1,487
Bulk carriers 309 3,792 5,830 1,683 11,614
Oil tankers and chemical 1,902 6,912 2,629 1,779 13,222
tankers
Gas tankers 38 1,126 337 420 1,921
Other tankers 364 605 9 0 978
Passenger ships 3,894 2,674 272 171 7,011
Offshore vessels 2,685 5,402 120 201 8,408
Service ships 2,537 2,554 26 6 5,123
Tugs 17,196 1,003 0 0 18,199
Total 33,356 39,017 11,615 5,816 89,804
Figure 2: Table 2 – The World Fleet Source: Equasis Statistics (16th March 2018)

The above figures provide us with a good overview of the world fleet as it was in 2016. We can now
consider how these figures affect the business of the surveyor.

Taking the total figure for all ship types and all sizes we can see that 89,804 vessels were in existence
for the concerned period. This is, therefore, the total market available to the marine surveyor but
only in terms of ship numbers.

t should be recalled that each vessel requires various surveys to be performed. The available market
should, therefore, be considered as the number of vessels multiplied by the number of surveys which
a vessel requires in any one-year period. The marketplace is, therefore, of a reasonable size but not
infinite by any means.

Using the same source of information (Equasis) and by applying the total number of ships in the fleet
we can produce the following graph which shows a steady rise in the number of vessels in the fleet.

Module 1: Introduction to Marine Surveying 9

 Global Fleet (Number of ships) 2005 - 2016

100000
90000
80000
70000
60000
50000
40000
30000
20000
10000
0
2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016

Figure 3: Number of Ships in Fleet Source: Equasis Statistics (16th March 2018)

Now, we can see from the Table 3 below that the world fleet has altered over a 24-month period
between 2014 and 2016 with regards to registered gross tonnage.

Ship Type Gross Tonnage x Gross Tonnage x Gross Tonnage x 1,000

1,000 GT (2014) 1,000 GT (2015) GT (2016)
Bulk Carriers 409,915 421,457 439,615
Oil and Chemical 296,896 307,848 329,386
Tankers
Containerships 206,128 216,771 221,130
Ship Type Gross Tonnage x Gross Tonnage x Gross Tonnage x 1,000
1,000 GT (2014) 1,000 GT (2015) GT (2016)
General Cargo 58,209 58,533 58,909
Ships
Gas Tankers 56,654 61,781 67,676
Ro-Ro Cargo 47,333 48,628 49,276
Ships
Passenger Ships 36,547 37,510 39,268
Offshore Vessels 34,685 36,620 42,654
Service Ships 9,947 10,268 10,688
Tugs 4,681 4,885 5,091
Specialised Cargo 3,858 4,382 4,356
Ships
Other Tankers 1,606 1,739 2,055
Total in 1,166,459 1,210,422 1,270,104
2014/2015
Figure 4: Table 3 Source: [Link] 16th March 2018)

Considering Table 2 and Table 3 above, there is a clear indication that the global fleet is growing in
size both as quantity of ships and in Gross Tonnage (GT) registered.

Module 1: Introduction to Marine Surveying 10

Figure 5

Directed Learning

• Explain why the marine industry measures fleet size both as number of ships and also as world
“tonnage”.
• Investigate and describe the origin and role of port state control.

Module 1: Introduction to Marine Surveying 11

4. CLASSIFICATION SOCIETIES

Learning Outcomes
On successfully completing this chapter, you will be able to:
• Explain the role of classification societies.
• Explain the relationship of IACS members.

4.1 Introduction
Classification societies are non-government organisations which develop their own rules for the
construction of ships and offshore units.

It is prudent to mention at this early stage that these societies take no responsibility for many
aspects of ships’ operations, including:
• safety;
• fitness for purpose;
• quality;
• seaworthiness;
• insurance etc.

In fact, any surveyor whether acting for a classification or otherwise should, like the classification
societies, exercise extreme caution when using these terms.

The first classification society came into existence in 1760 when the London based Lloyd’s Register of
Shipping was developed. It is recognised that this classification society (which is very much still in
existence today) was the brain child of customers at Edward Lloyd’s Coffee House in London, who
identified a need for merchants and underwriters to have access to valid and trustworthy
information concerning the condition of the ships which they would charter.

Lloyd’s Register produced a register of ships at that time from which merchants could obtain
information on a ship’s condition prior to making a decision on chartering or underwriting. This
register adopted the first grading of vessels where a vessel in very good condition would be assigned
the grade A1. This A1 grade is still referred to today.

Since 1760, many other classification societies have been founded and are in business today.
These classification societies may or may not be members of the International Association of
Classification Societies (IACS) which has the aim of contributing to maritime safety and regulation
through technical support, compliance verification and research and development.

Each member society of IACS has its own mission, purpose and business plan but must comply with
the requirements of the organisation in order to remain a member. These requirements, by default,
ensure that the member societies may compete for business only on non-technical factors, these
being primarily pricing and service.

It is recommended that students read the IACS document “Charter” available at the following link:
[Link] [Last accessed 16th March 2018]

Module 1: Introduction to Marine Surveying 12

The classification societies which are current members of the International Association of
Classification Societies are:
• American Bureau of Shipping (ABS).
• Bureau Veritas (BV).
• China Classification Society (CCS).
• Class NK, Nippon Kaiji Kyokai (NK).
• Croatian Register of Shipping (CRS).
• Det Norske Veritas – Germanicher Lloyd (DNV-GL).
• Indian Register of Shipping (IRS).
• Korean Register (KR).
• Lloyd’s Register (LR).
• Polish Register of Shipping (PRS).
• RINA (This should not be confused with the Royal Institution of Naval Architects)
• Russian Register of Shipping (RS).

The classification societies, whether members or non-members of IACS, may also incorporate a
consulting branch into their organisations.

This is because it is not the role of the classification societies to perform a consulting task. In fact, to
act as a consultant on any unit which is classed by the same branch of an organisation, would be
inappropriate and so a separation of departments and responsibilities is introduced by the use of a
separate company division.

These consulting divisions may become involved in studies which include:

• hazard identification;
• fatigue life studies;
• corrosion rate calculations; and
• any other task which is not directly a classification society matter as far as rules are
concerned.

The web pages for IACS members are available as follows:

Class Email Website (for more specific details)

ABS abs-worldhq@[Link] [Link]
BV veristarinfo@[Link] [Link]
CCS ccs@[Link] [Link]/ccswzen/
CRS iacs@[Link] [Link]
DNV GL iacs@[Link] [Link]
IRS ho@[Link] [Link]
KR krsiacs@[Link] [Link]
LR Lloyd’sreg@[Link] [Link]
NK xad@[Link] [Link]
PRS iacs@[Link] [Link]
RINA info@[Link] [Link]
RS [Link]@[Link] [Link]/en/

Figure 6: Table 4 – Web Pages for IACS Members Source: IACS: [Link] [Last accessed 16th
March 2018]

Module 1: Introduction to Marine Surveying 13

Figure 7: Classification Society Logos Source: IACS – [Link]

As mentioned above, these societies produce their own rules for the construction of ships and
offshore floating units. These rules are developed using historical data and also research performed
by the societies or in joint industry programs or indeed by the wider industry.

Module 1: Introduction to Marine Surveying 14

It is very important to understand which roles the societies do not perform as this is often confusing
and misunderstood by many people involved in the offshore industry, including the surveyors
themselves on occasion.

4.2 The Role of Classification Societies

The classification societies are very clear on their role but a common misconception of their function
exists in the maritime and offshore industries.

This misconception comes about perhaps due to the additional services provided by the societies
through their consulting divisions.

The societies do not:

• Supervise the design, construction or repair of ships or offshore units.
• Provide valuations for ships or offshore units.
• Construct or repair ships or offshore units.
• Design ships or offshore units.
• Insure ships or offshore units.
• Act as underwriters.
• Act as consultants.

Act as brokers. The societies do:

• Produce classification rules.
• Develop and modify classification rules.
• Verify compliance with classification rules.
• Issue classification certificates.
• Issue classification memoranda.
• Issue recommendations or conditions of class.
• Approve equipment for use on board ships and offshore units.

The societies may also act upon delegation from flag authorities on the following:
• Perform statutory surveys.
• Issue statutory certification.
• Perform other statutory services such as audits.

Classification societies verify compliance with their own rules by various methods. These methods
include:
• reviewing design drawings;
• surveying ships under construction;
• surveying ships during conversion to offshore units; and
• performing surveys of ships and units throughout service life and as required by the rules.

The International Association of Classification Societies also assists the work of the International
Maritime Organization (IMO).

Classification societies will be covered in greater detail in Module 3 of this course (Classification and
Regulatory Control of Offshore Units).

Module 1: Introduction to Marine Surveying 15

 Directed Learning

• Explain why classification societies were established.

• Explain the current role of classification societies.

Module 1: Introduction to Marine Surveying 16

5. REGULATION OF THE INDUSTRY

Learning Outcomes
On successfully completing this chapter, you will be able to:
• Explain the origin of regulatory control.
• Discuss the purpose and scope of various regulations and conventions.

5.1 Introduction
The marine industry being a multinational concern faces many complications in its regulation. These
complications are largely mitigated by the IMO where the governments of nations with a maritime
concern can discuss current and forthcoming requirements prior to the ratification and enforcement
of new regulations.

There are several IMO conventions which can be considered to be the lead regulations of the
industry and these are supported by numerous other codes, guidelines and recommendations. Some
of the conventions and codes are discussed below.

5.2 The Safety of Life at Sea (SOLAS) Convention

Following the loss of RMS Titanic in 1914 the first version of the Safety of Life at Sea Convention
(SOLAS) was published and this has been followed by four further revisions of these regulations.
There is no doubt that the adoption of the regulations contained within SOLAS has made the
maritime world a safer place. The current revision of SOLAS is made up of 14 chapters covering the
following statutory regulations:

Chapter I General provisions

Chapter II-1 Construction – structure, subdivision and stability, machinery and
electrical installations
Chapter II-2 Construction – fire protection, fire detection and fire extinction
Chapter III Lifesaving appliances and arrangements
Chapter IV Radio communications
Chapter V Safety of navigation
Chapter VI Carriage of cargoes
Chapter VII Carriage of dangerous goods
Chapter VIII Nuclear ships
Chapter IX Management for the safe operation of ships
Chapter X Safety measures for high-speed craft
Chapter XI-1 Special measures to enhance maritime safety
Chapter XI-2 Special measures to enhance maritime security
Chapter XII Additional safety measures for bulk carriers
Figure 8: Table 5 – SOLAS Chapters

SOLAS also defines which surveys must be performed on various ship types and these include:
• Safety constructions surveys.
• Passenger ship safety surveys.

Module 1: Introduction to Marine Surveying 17

 • Survey of radio installations.
• Survey of life saving appliances and other equipment of cargo ships.
• Surveys of structure, machinery and equipment of cargo ships.

SOLAS further states which certificates and documents must be carried on board ships and this
includes (for all ships):
• An International Tonnage Certificate.
• An International Load Line Certificate or an International Load Line Exemption Certificate.
• An Intact Stability Booklet.
• Damage Control Plans and Booklets.
• A Minimum Safe Manning Document.
• A Fire Safety Training Manual.
• A Fire Control Plan or Booklet.
• A Record of On Board Training and Drills.
• A Fire Safety Operational Booklet.
• Certificates for Masters, Officers and Ratings.
• An International Oil Pollution Prevention Certificate.
• An Oil Record Book.
• A Shipboard Oil Pollution Emergency Plan (SOPEP).
• An International Sewage Pollution Prevention Certificate.
• A Garbage Management Plan.
• A Garbage Record Book.
• A Voyage Data Recorder System – Certificate of Compliance.
• A Cargo Securing Manual.
• A Document of Compliance (ISM Code).
• A Safety Management Certificate (ISM Code).
• An International Ship Security Certificate.
• A Ship Security Plan and Associated Records.
• A Continuous Synopsis Record.

The convention then requires additional specific documentation to be carried on each passenger ship
and on each cargo ship.

SOLAS is not applicable to the following however:

• Ships of war and troopships.
• Cargo ships of less than 500 Gross Tonnage.
• Ships not propelled by mechanical means.
• Wooden ships of primitive build.
• Pleasure yachts not engaged in trade.
• Fishing vessels.

5.3 The International Safety Management (ISM) Code

This code is a relatively new code having been adopted on 12 December 2002.
The ISM code has the full title of The International Safety Management Code for the Safe Operation
of Ships and for Pollution Prevention (ISM).

The purpose of the ISM Code is to provide an international standard for the safe management and
operation of ships and for pollution prevention. The code also requires procedures to be in place

Module 1: Introduction to Marine Surveying 18

within those companies operating ships to ensure that all staff have the full support of top
management.

5.4 The International Ship and Port Facility Security (ISPS) Code
The ISPS Code was adopted simultaneously with the ISM Code on 12 December 2002. The objectives
of this code being to:
• establish an international framework involving co-operation between contracting
governments, government agencies, local administrations and the shipping port industries to
detect security threats and take preventive measures against security incidents affecting
ships or port facilities used in international trade;
• establish the respective roles and responsibilities of the contracting governments,
government agencies, local administrations and the shipping and port industries, at the
national and international level, for ensuring maritime security;
• ensure the early and efficient collection and exchange of security-related information;
• provide a methodology for security assessments so as to have in place plans and procedures
to react to changing security levels; and
• ensure confidence that adequate and proportionate maritime security measures are in place.

5.5 Maritime Labour Convention (MLC) 2006

The International Labour Conference, Maritime Labour Convention 2006 was developed to protect
the welfare of persons that work at sea.

This convention is divided into five sections known as titles which are as follows:

Title 1 Minimum requirement 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
Title 5 Compliance and enforcement
Figure 9: Table 6

5.6 International Convention on Load Lines 1966

The International Convention on Load Lines was adopted in 1966 and provides regulations relating to
the maximum draught to which a vessel may be loaded.

This maximum draught (the depth at which a vessel floats in the water) varies depending on the
geographical zone in which the vessel is operating, different seasons and whether the vessel is in
fresh water or salt water. The maximum draught also varies if the vessel is carrying timber. The
regulations included in this convention include such things as:
• strength of the hull;
• hatchways;
• openings;
• protection of crew; and
• the minimum height above deck of ventilation pipes and breather pipes for tanks for
example.

Module 1: Introduction to Marine Surveying 19

The convention is made up of four chapters:

Chapter 1 General
Chapter 2 Conditions of assignment of freeboard
Chapter 3 Freeboards
Chapter 4 Special requirements for ships assigned timber freeboards
Figure 10: Table 7

It is from this convention that the requirement for a load line mark exists. This load line mark is
permanently marked on each side of the vessel at the midship section (see Figure 11 below).

Figure 11 – Load Line Mark

In Figure 11 above, the letter codes indicate the following zones (note, in this case the load line mark
has been assigned by Lloyd’s Register of Shipping, LR) at which each load line mark is valid:

LTF = Timber, Tropical Fresh Water TF = Tropical Fresh Water

LT = Timber, Tropical Sea Water T = Tropical Sea Water
LF = Timber, Fresh Water F = Fresh Water
LS = Timber, Summer Sea Water S = Sea Water
LW = Timber, Winter Sea water W = Winter Sea Water
LWNA = Timber, Winter North Atlantic WNA = Winter North Atlantic
Figure 12: Table 8

Module 1: Introduction to Marine Surveying 20

5.7 International Convention for the Prevention of Pollution from Ships
(MARPOL)
MARPOL was adopted in 1973 and was further revised in 1978, 1983 and 1997. The purpose of this
convention is to provide regulations which lead to the prevention of pollution from various ship
sources.

MARPOL is made up of six annexes as follows:

Annex I Regulations for the Prevention of Pollution by Oil

Annex II Regulations for the Control of Pollution by Noxious Liquid Substances in
Bulk
Annex III Prevention of Pollution by Harmful Substances Carried by Sea in Packaged
Form
Annex IV Prevention of Pollution by Sewage from Ships
Annex V Prevention of Pollution by Garbage from Ships
Annex VI Prevention of Air Pollution from Ships
Figure 13: Table 9

5.8 International Convention on Standards of Training, Certification and

Watchkeeping (STCW 78/95)
The International Convention of Standards of Training, Certification and Watchkeeping was adopted
in 1978 and reviewed in 1995. This convention is commonly referred to as STCW 78/95.

STCW 78/95 is made up of six chapters as follows:

Chapter 1 General provisions

Chapter 2 Master – deck department
Chapter 3 Engine department
Chapter 4 Radio department
Chapter 5 Special requirements for tankers
Chapter 6 Proficiency in survival craft
Figure 14: Table 10

The purpose of this convention is to ensure that those persons involved in physically operating the
vessel as officers are adequately trained for the roles which they perform.

5.9 Enforcing the Regulations

The above-mentioned conventions and regulations can be considered as the main requirements of
the shipping industry.

Many others exist but as this module is an introduction to the diploma course these do not require
detailed explanation at this time. In fact, many of the remaining conventions stem from those
already discussed.

The question now must be:

How are these conventions and regulations enforced?

Module 1: Introduction to Marine Surveying 21

As we are discussing “regulations” we are in the area of statutory requirements enforced by law. The
task of ensuring that vessels comply with these requirements, therefore, falls to the flag state
administrations.

In order to ensure that vessels comply with the conventions and regulations SOLAS calls for regular
surveys to be performed. These surveys are the responsibility of the flag state administration but it
is fair to say that very few of the administrations have the human resources to perform this task.
It is, therefore, common for the administrations to delegate the task of surveying vessels to the
classification societies, survey companies or, individual/independent surveyors, who will act on
behalf of the flag administration and report to them as and when a survey is performed.

The conventions and regulations may also be enforced by Port State Control (PSC).

Port state control is a division of the coastal state administrations which may inspect any vessels
calling at ports of its nation regardless of which flag administration the vessel is registered with.

Port state control may detain any vessel which fails to comply with the conventions and regulations
until such times as any defect or short falling has been rectified.

Directed Learning

• Review the loss of RMS Titanic and explain how today’s regulations may have prevented this
disaster.
• Explain the sequence of events which led to such a high number of fatalities on the loss of RMS
Titanic.

Module 1: Introduction to Marine Surveying 22

6. THE INTERNATIONAL MARITIME ORGANIZATION (IMO)

Learning Outcomes
On successfully completing this chapter, you will be able to:
• Explain in detail the role and structure of the International Maritime Organization (IMO).

6.1 Introduction
The International Maritime Organization (IMO) is the primary body involved in the development of
maritime regulations, resolutions and guidelines. It is, therefore, important to recognise the function
of the IMO, its structure, its role and how it interacts with the marine industry.

The offices of the IMO are located in London in the United Kingdom of Great Britain and Northern
Ireland and it is an agency of the United Nations (UN), which also has regional representation in:
• Cote d’Ivoire;
• Ghana;
• Kenya;
• Philippines; and
• Trinidad and Tobago.

Formerly known as the Inter-Governmental Maritime Consultative Organisation (IMCO), the IMO
came into existence in 1982 with IMCO having been established much earlier in 1948.
Along with three associate members, the organisation is made up of some 172-member states who
share the following phrase as the tag line of the organisation:

“Safe, secure and efficient shipping on clean oceans.”

The initial purpose of the organisation was to bring together the governments of nations with a
concern in the shipping industry, with a view to bringing co-operation in the matters of regulations
and technical issues which would lead to improved standards concerning safety at sea, navigation
and pollution prevention.

The role of IMO then developed to include many other important factors affecting the maritime
industry and these include, naming a few:
• Ballast Water Management (BWM).
• International Ship and Port Security.
• Mobile Offshore Units.
• Mobile Offshore Drilling Units.
• Prevention of Pollution from Ships (MARPOL).
• Ship recycling and the Hong Kong Convention.
• Standards of Training, Certification and Watchkeeping (STCW).

IMO’s mission statement, as stated in Resolution A.1060(28), which sets out the strategic plan for the
Organisation (for the six-year period 2014 to 2019) is as follows:

Module 1: Introduction to Marine Surveying 23

“The mission of the International Maritime Organisation (IMO) as a United Nations specialised agency
is to promote safe, secure, environmentally sound, efficient and sustainable shipping through co-
operation.

This will be accomplished by adopting the highest practicable standards of maritime safety and
security, efficiency of navigation and prevention and control of pollution from ships, as well as through
consideration of the related legal matters and effective implementation of IMO’s instruments with a
view to their universal and uniform application.”
Source: [Link] [Last accessed 16th March 2018]

Such a large and important organisation needs careful management and this is achieved through a
very efficient internal structure which involves:
• Committees;
• the Assembly; and
• the Council.

These sections of the IMO are described briefly below.

6.2 The Committees

There are presently five main committees of the IMO which are:
• Marine Environmental Protection Committee.
• Technical Co-operation Committee.
• Maritime Safety Committee.
• Facilitation Committee.
• Legal Committee.

These committees are supported by a network of subcommittees through communications and

meetings.

The sub committees being:

• Sub-Committee on Human Element, Training and Watchkeeping (HTW).
• Sub-Committee on Implementation of IMO Instruments (III).
• Sub-Committee on Navigation, Communications and Search and Rescue (NCSR).
• Sub-Committee on Pollution Prevention and Response (PPR).
• Sub-Committee on Ship Design and Construction (SDC).
• Sub-Committee on Ship Systems and Equipment (SSE).
• Sub-Committee on Carriage of Cargoes and Containers (CCC).
• Bulk Liquids and Gases (BLG).
• Carriage of Dangerous Goods, Solid Cargoes and Containers (DSC).
• Fire Protection (FP).
• Radio-communications and Search and Rescue (COMSAR).
• Safety of Navigation (NAV).
• Ship Design and Equipment (DE).
• Stability and Load Lines and Fishing Vessels Safety (SLF).
• Standards of Training and Watchkeeping (STW).
• Flag State Implementation (FSI).

Module 1: Introduction to Marine Surveying 24

6.2.1 Maritime Safety Committee

This committee is populated by all of the member states of the IMO. It holds the highest position in
the structure of the organisation. It is the role of this committee to study and act on any safety
matters directly concerning the maritime industry.

6.2.2 Marine Environmental Protection Committee

This committee is populated by all of the member states of the IMO. This section of the IMO deals
with any matters which concern the prevention of pollution from ships.

6.2.3 Legal Committee

This committee is populated by all member states of the IMO and is responsible for the task of
handling any legal matters which may affect the organisation.

6.2.4 Technical Co-operation Committee

This committee is populated by all member states to deal with the matter of technical co-operation
between the member states and also with regards to any other technical matters with which the
organisation may become involved.

6.2.5 Facilitation Committee

This committee is populated by all member states and is tasked with ensuring that the work of the
IMO does not become over-complicated and, that the requirements placed on the organisation and
on the industry, are as clear possible and do not overburden those concerned whilst still achieving
the objectives of the organisation.

6.3 The Assembly

The Assembly is populated by all member states. This group of members meets every two years and
additionally as necessary.

Within its role the Assembly will vote on matters of budget and will make decisions on the financial
aspects of the organisation. This Assembly is also responsible for electing the Council and approving
the work program.

6.4 The Council

The Council members serve a two-year term and are populated by those member states which have
been elected by the Assembly. This section of IMO is responsible for managing the work program, as
approved by the Assembly. To all intents and purposes, the council acts on behalf of the Assembly
and performs the tasks of the Assembly between sessions.

6.5 Budget
As with any organisation the IMO needs to be funded and this funding is obtained through a system
of subscriptions from the member states. The contributions made to the budget by each of the
member states are calculated individually using a formula which includes the registered tonnage of
that member state.

Module 1: Introduction to Marine Surveying 25

In 2016-2017, the latest figures available from IMO at the time of writing this module were as follows
for total budget available.

2014 £31,686,000
2015 £32,618,000
2016 £32,618,000
2017 £33,154,000
th
Figure 14: Table 11 Source: [Link] [Last accessed 16 March 2018]

The IMO also publish the top ten contributing member states which in 2016, the latest figures
available from IMO at the time of writing this module, were (in Great British Pounds):

Panama 4.95 million

Liberia 2.93 million
Marshall Islands 2.64 million
Singapore 1.83 million
Malta 1.32 million
Bahamas 1.29 million
United Kingdom 1.23 million
China 1.16 million
Japan 1.02 million
Greece 977,777
Figure 15: Table 12

From the above, it can be seen that the global governments are heavily involved in the regulation of
the maritime industry through the work of the IMO. This is very clear. The organisation is also
involved in the offshore industry although not all members have an offshore industry interest.

Directed Learning

• Describe the role of the IMO.

• Explain how the IMO is funded.
• Explain the role of IACS at the IMO.

Module 1: Introduction to Marine Surveying 26

7. MARINE SURVEYORS, SURVEY ORGANISATIONS AND HOW YOU
DEFINE THEM

Learning Outcomes
On successfully completing this chapter, you will be able to:
• Describe the cardinal differences between the four main categories of surveyor and survey
organisations.

7.1 Introduction
There are many types of survey organisations including independent surveyors and small privately-
owned companies right through to the multi-million-pound businesses of the classification societies.
It is possible, however, to generalise the definition of these organisations and the surveyors who
work for them.

7.2 Classification Societies

Classification societies are non-government companies who produce their own rules and survey
against these rules. The rules of classification societies are not enforced by law.
Classification societies may perform statutory surveys when delegated by the flag state
administration of a ship.

Classification societies are often “not-for-profit” businesses.

Surveyors who are employed by the classification societies may be a full-time employee or an
individual who is contracted as required, perhaps on a daily basis:
• A surveyor who is a full-time employee is referred to as an “exclusive surveyor” and may
work only for the society which employees them.
• A surveyor who is appointed as and when required is referred to as “non-exclusive surveyor”.

It should be noted, however, that non-exclusive surveyors are not permitted to perform statutory
surveys but may perform tasks for more than one society.

7.3 Flag State Administrations

Flag state administrations are government bodies tasked with introducing, maintaining and enforcing
regulations.

Surveyors employed by flag state administrations are referred to as “flag state surveyors”. The
regulations of flag state administrations are enforceable by law.

Flag state surveyors only perform surveys on board vessels which are registered with the flag
administration for which they act.

Module 1: Introduction to Marine Surveying 27

7.4 Port State Control (PSC)
Port state control is a government body that may board and inspect any vessel which visits its ports
regardless of which flag state administration the vessel is registered with.

Port state control surveyors have the power and authority to detain any vessel which fails to comply
with the regulations applicable to it.

Port state control surveyors are employed by the flag state administration to which their port state
control authority is attached.

7.5 Independent Survey Companies

Independent survey companies and the surveyors whom they employ have the greatest scope for
survey diversity.

With the exception of statutory surveys and, in some cases classification surveys, the independent
surveyors can perform numerous survey types. These may range from insurance surveys of small
private leisure vessels to condition surveys of the largest vessels in the world.

Directed Learning

• Explain the relationship between flag state administrations and classification societies.
• Explain the difference between classifications “rules” and statutory “regulations”.

Module 1: Introduction to Marine Surveying 28

8. KNOWING YOUR CUSTOMER

Learning Outcomes
On successfully completing this chapter, you will be able to:
• Describe the importance of knowing your customer.
• Discuss the importance of having clear instructions.
• Know the meaning of surveys without prejudice.

8.1 Who Instructs Surveyors?

There are a wide range of potential clients looking for the services of marine surveyors. We will refer
to them as the principals. They are the most important people as far as the marine surveyor is
concerned and when you are carrying out their instructions never forget who you are working for
and who ultimately will pay for your services.

The most common groups of principals are:

• shipowners;
• charterers;
• cargo receivers and shippers;
• underwriters (hull and cargo); and
• P&I clubs.

Some surveyors deliberately restrict their principals to one class of operator. For example, many are
retained only by shipowners and charterers.

One golden rule to follow is that when you undertake work for a principal ensure that the work does
not involve a conflict of interest with another principal.

Generally, as a surveyor becomes established, there is a likelihood that surveyors or surveying

companies become best known for acting for one particular type of principal, i.e. as shipowners’ or
underwriters’ surveyors, although those who act unselectively for any party seeking their services
may be seen as being the most truly independent and impartial.

8.2 How Does Your Principal Know You?

The demands of the industry, the distances involved and the speed of business in today’s world
mean that the relationship between the principal and the marine surveyor is, in most cases, a distant
one. The communication is normally electronic and a principal will invariably depend on previous
experience with the marine surveyor or a recommendation from another customer who has received
good service.

This recommendation will in almost every case be dependent on the impression the surveyor has
given from the report that that the marine surveyor has produced. This part of the surveyor’s service
to the principal is so important that the diploma devotes Module 3 to report writing.

So, it is important to always remember that the two key elements of the customer’s relationship with
the marine surveyor are two written documents:

Module 1: Introduction to Marine Surveying 29

 • the instruction; and
• the report.

8.3 Understanding Your Contractual Obligations

The marine surveyor should always seek clear instructions and once these have been received, the
surveyor must keep within their parameters and not extend beyond them without reference back to
their principals.

Failure to comply fully with instructions can have serious consequences, but so too can overstepping
them and perhaps thereby committing a principal to unwanted costs or liabilities. (In some cases,
too much can be said in a report where the surveyor covers more than was requested in the original
instructions.)

There may be understandable reasons why the principal’s instructions cannot be fulfilled exactly. In
this case, the surveyor should take appropriate steps to advise the principal and, most importantly,
ensure that the report (and the certificate where appropriate) includes the shortcomings of the
survey. The report should also contain the reasons for them.

If such a survey is for, say, cleanliness of a hold, the shipper then has the option of accepting the
limitations or ensuring that suitable steps are taken to enable the surveyor to carry out the
instructions to the full.

However, such a practice cannot be applied to some warranty surveys as, for example, a towage
approval survey. Here, the instructions are for the surveyor to be fully satisfied that the towage risks
are acceptable in all respects.

In a towage approval case any qualifications to the certificate indicate that the surveyor is not, or
cannot be, fully satisfied that these risks are acceptable. It is usually then too late for reference to
the principals and it may be unreasonable to expect the tug and tow to delay a passage while
awaiting any further instructions to the surveyor.

If there is uncertainty due to some limitation beyond the surveyor’s ability to have it rectified, the
towage approval certificate cannot be issued. This effectively prevents the tow commencing until
such time as all requirements have been satisfactory met.

As a general rule, survey reports should outline what has been done, when it was done, with whom
and where. If something important has not been done (when there is a requirement for it to be
done), the reason for its omission should be stated. If applicable there should also be a statement as
to how the information was gathered, under what conditions and what degree of reliance can be
placed on it.

Marine surveyors often receive very sketchy instructions and are left to figure out exactly what is
required of them. In these cases, it may be prudent to write out your understanding of the
instructions you have received and send it back to the principal asking for confirmation. Fax or email
are the fastest way of dealing with this.

In the absence of detailed instructions, it may be acceptable for the surveyor to follow the “usual
industry practice” but this can still leave some debate as to what is actually expected from the
survey.

Module 1: Introduction to Marine Surveying 30

Sometimes misunderstandings will occur and where instructions cross international borders
complications can arise because of different practices in different countries. There is no substitute
for clear written instructions at the outset.

Sometimes, where a surveyor has been retained regularly by a party, there is a mutual understanding
of the requirements and, consequently, there may be no need for specific instructions to be given
each time. Where this is not the case, surveyors should be wary of vague instructions and should
seek more detailed information.

8.4 For Whom Does the Surveyor Act?

A marine surveyor may be instructed to “look after the interests of the party appointing them”.
Looking after the instructing party’s interests will not, by itself, create an “agency relationship”,
although it will almost certainly impact upon their impartiality.

Once the instructions go further and include any authority to negotiate a settlement or commit the
instructing party to a course of action, then the position is very different and they will clearly be
entering into a principal and agent relationship.

For this reason, surveyors need to be cautious about how they approach a survey and what they say.
This is necessary to ensure that they do not give a wrong impression as to their role. When
performing their customary role, care is required not to imply that the surveyor has any authority
which is not expressed or implied in their instructions. While they would almost certainly not wish to
do this deliberately, the important thing is to explode any myths as to any ostensible authority.
There are some safeguards that the surveyor must take before a survey commences, or at least as
soon as possible afterwards, if they are not to leave any false impressions.

The first, an ethical one, is that surveyors must always make it clear to those present at the survey on
whose instructions they are acting. There should never be any misunderstanding on this important
point.

Here, it is worth commenting on the need for practicing ship-visiting courtesies. Before proceeding,
even if the marine surveyor has been retained by the shipowner, it is important for him or her to
remember that, despite the fact that he or she has the owners’ authority to attend the vessel, the
surveyor should always ask the master for his or her permission to board.

Ship masters are legally responsible for all that happens on board their ship. They are, therefore,
entitled to know at any time just who is on board and for what purpose.

Next is the important matter of explaining the surveyor’s role to the party most affected by their
attendance. This may be the party who has actually appointed the surveyor (many are unfamiliar
with the surveyor’s customary role or of the variations that can be requested in it) or it may be
another party who may possibly also be significantly affected by the surveyor’s attendance.

Where, for example, the surveyor has been appointed by an underwriter, some explanation may be
necessary to a cargo consignee, or to a shipowner’s or charterer’s representative. (Representatives
of commercial shipowners and charterers usually do understand the position, but pleasure craft
owners and cargo receivers frequently have little or no understanding of the usual procedures.)

Module 1: Introduction to Marine Surveying 31

8.5 Surveys “Without Prejudice”
Marine surveyors often become involved in surveys that are carried out in order to provide a basis
for a settlement between two parties and it is important, from a legal perspective, that nothing a
surveyor writes or says when attending upon the instructions of one of the parties is seen as
committing that party in any way to any particular basis of settlement, unless the principal’s
instructions specifically include a requirement for them to negotiate a settlement. This is a rare
occurrence.

Therefore, surveys almost always need to be carried out “without prejudice” to any settlement
eventually concluded and this fact needs to be understood by those involved. The surveyor should
always state to the parties at the outset that the survey is “without prejudice” and it is usual to state
this fact in the report too.

Surveyors’ reports are often seen to contain a statement “report issued without prejudice” which, at
the stage of their writing, means they have no association with any settlement. This has little real
meaning in these circumstances but, if anything, it probably means that the survey was carried out
and the report written, without prejudice to the liability of the instructing principal.

In most common law countries, a report prepared in anticipation of, or after the commencement of,
litigation and for this dominant purpose will usually be “privileged”. This means that it is not
“discoverable” in subsequent legal proceedings and is not required to be shown to the other side in
the dispute. It is effectively confidential between the writer and the recipient.

It is not unusual to see a statement at the head of a survey report such as the following:

“Privileged – for the advice of legal advisers only”.

This statement has no legal standing, but when the survey is required in the circumstances outlined
above the report can become privileged. The statement on the report does nothing to make it so but
the fact of the dispute having arisen in this situation will usually give it legal protection. Conversely
the absence of such a statement on the report does not prevent it becoming privileged if the above
test is satisfied.

It is important that surveyors do not express unnecessary and uncalled-for opinions, especially those
for which they are not well-qualified, particularly in reports that are not privileged. Such action can
be detrimental to their principal’s interests in subsequent litigation and, even where litigation does
not follow the report, may for some reason fall into other hands and the remarks prove detrimental
to the principal’s satisfactory resolution of the matter.

In particular, repudiations of liability, whether under insurance policies, contracts of carriage or

simply in cases involving tort, often become more difficult where a surveyor has expressed an
opinion on liability.

There may be occasions when a surveyor considers that certain information, not specifically called
for in the original instructions, is of importance and will be of significant value to the instructing
principal. In this case, a telephone call passing on this information may be all that is required.
If appropriate it may be conveyed in a separate confidential letter, always bearing in mind that there
is a possibility of its discovery in the event of the matter going to court. The information should not
appear in the report unless specifically requested to appear there.

Module 1: Introduction to Marine Surveying 32

Following on from the previous paragraph it sometimes occurs that an “aside” letter which is quite
separate from the report is desirable. To protect the surveyor’s interests, the principals should
instruct their solicitor to expect a letter from the surveyor. Sending an aside letter through the
principal’s solicitor’s helps to ensure that it is legally privileged.

Directed Learning

• Whilst we have discussed the term “privilege”, explain what is meant by “disclosure” in a legal
case.

Module 1: Introduction to Marine Surveying 33

9. TYPES OF SURVEYS

Learning Outcomes
On successfully completing this chapter, you will be able to:
• Describe the different types of hull and machinery surveys.
• Discuss the unified requirements of IACS.
• Explain the requirements of statutory surveys.
• Discuss condition surveys and their different applications.

9.1 Hull and Machinery in General

Hull and machinery surveys may be regarded as those that are involved in seeing that the structure
of the ship, its machinery and equipment, remain in a satisfactory condition. The surveys relating to
ship’s hull and machinery can be further reduced to the following types:
• Classification surveys.
• Statutory surveys.
• Condition surveys.
• Classification society surveys
• Periodic and routine surveys

Initially for insurance purposes, shipowners usually choose to have their ships and craft built to
independently reviewed designs and under independent survey to ensure compliance with those
designs and also with good shipbuilding practice.

From their underwriters’ point of view, this should ensure that they are only insuring sound vessels
which purport to be what their owners say they are. If the owners of the ships to be built wish to
have them classed with classification societies, first they have to submit plans for review and then
typically provide access to the ships by the societies’ surveyors throughout the period of
construction.

Once classed, they have to continue to make their ships available from time to time while in service
for subsequent surveys to ensure that they remain in a satisfactory condition to warrant continuation
in class. Surveyors working for classification societies regularly carry out periodic surveys for the
purpose of seeing that the vessel has been maintained and remains “in class”.

These surveys cover different parts of the vessel, including machinery, being surveyed at varying
intervals determined by the societies’ rules which are based on experience of ships in service.
Intervals of time between surveys of different parts of the ship are well-documented and to avoid
the need to cover too much at any one time, thereby causing disruption to the ships’ trading pattern,
specific areas are designated for survey at intervals within the overall approved time span. This time
staggering of areas surveyed takes place within a specified time limit so that survey of all parts of the
ship is completed within the accepted time span (normally five years).

9.2 Periodic Surveys

These surveys are known as periodic surveys and they are carried out in a routine manner, as closely
to time as the ship’s operating pattern allows. There is usually a time “window” in which these

Module 1: Introduction to Marine Surveying 34

surveys must be performed, and this is agreed by the member societies of the International
Association of Classification Societies (IACS).

On some occasions, due to lack of appropriate repair facilities in a port, or because of other time
constraints, temporary repairs are carried out. These too have to be to the satisfaction of the class
surveyor who will then issue a “condition of class” or “recommendation” both of which have the
same purpose and objective.

Note – When these temporary repairs affect a statutory certificate then the flag state may issue, or
cause to be issued, a “conditional certificate”, for example, a “conditional load line certificate”.

However, the limit dates applied to conditions of class/recommendation varies between societies.
This will usually, however, require that definitive repairs are carried out by a certain date if the vessel
is to be allowed to remain in class.

9.3 Class and Statutory Surveys

In the case of class and statutory surveys, the surveyor will either be satisfied with the state of the
survey-subject equipment being examined or not. If he or she is not satisfied he or she will
recommend action required to restore class or statutory position (the case of statutory item
requirements are mandatory and owners must comply). It will then be the owner’s responsibility to
act on the recommendations.

It is possible that shipowners may appoint an independent marine surveyor to act on their behalf. As
the owner’s representative the surveyor should always attend class and statutory surveys to be fully
informed about requirements arising from the survey and so be in a position to discuss with the
surveyor any desired amendment or necessary postponement of action.

Module 1: Introduction to Marine Surveying 35

10. CARGO SURVEYS

Learning Outcomes
On successfully completing this chapter, you will be able to:
• Explain the importance of cargo-worthiness.
• Discuss the importance in the preparation of cargo spaces.
• Describe the surveyors’ role in surveying cargo.
• Explain what is meant by draught surveys.
• Explain how to carry out quantity surveys.

10.1 Cargo Related Surveys in General

Ensuring the seaworthiness of the vessel is the underlying reason for various surveys that are
undertaken by various types of surveyor. In this chapter, we consider the cargo-related surveys that
ensure the vessel is cargo worthy and the need to ensure that the interests of both shipper and
shipowner are covered to meet the laws covering the carriage of goods at sea. It is not just to see
that the cargo is safely and securely stowed for the voyage, but the cargo is what it says it is and does
not endanger the ship.

10.1.1 Is the Ship Cargo Worthy?

In the tramp trade, particularly with regard to time or voyage charters, the shipper or charterer will
call upon a surveyor to determine the condition of the spaces and equipment used for the carriage of
the charterer’s cargo and the adjacent parts of the ship’s structure.
These surveys can be quite extensive and will cover cargo spaces and their closing devices, the
adjacent weather deck, ship side rails and/or bulwarks, deck and mast houses and any part of the
ship which is likely to become damaged in cargo operations. Within the holds the access ladders,
ventilator trunking, service water and other pipes and sounding pipes are very vulnerable to damage.
Tank tops frequently receive a severe pounding from grabs in ships carrying bulk cargoes. Bulkheads,
frames, wing tanks and ship-side plating are similarly susceptible to damage from grabs and from any
cargo which may strike them while loading or discharging.

Figure 16 – Hatch cover seal which are not watertight render the vessel not cargo worthy, especially
for water sensitive cargoes Source: Larsens Marine Surveyors & Consultants Ltd (2016)

Module 1: Introduction to Marine Surveying 36

It is good practice for the surveyor to cover the items on deck and then work through each hold in
turn. This is best achieved by working from port to starboard and upper to lower. This is not a hard
and fast rule but the surveyor should get into a reasonably regular routine and, if access can be
obtained to past survey reports, to observe the system used for them provided they have a measure
of uniformity.

The shipowner and the charterer may agree to the appointment of only one surveyor to carry out an
independent survey on behalf of them both or each party may appoint their own surveyor. In the
latter case it is usual for the two surveyors to work together and co-operate as closely as is
compatible with their duty to act for the party appointing them.

It is certainly important that at the “on hire” survey, before the cargo is loaded, they should agree as
to the condition of relevant parts of the vessel as any differences can almost certainly not be
reconciled later.

It is not quite as important at the “off-hire” survey as there is then still an opportunity for all
concerned to make their own observations provided the vessel does not immediately leave the final
discharging port or commence to load another cargo.

Where a survey is carried out with a surveyor acting for each party then agreement on the routine
for inspection and reporting will assist all those who have access to these reports. In practice, it is
not usually too difficult to get surveyors to reach agreement as both are likely to be competent,
practical persons and are usually very familiar with the need to co-operate for the benefit of their
principals.

10.1.2 Tanker Surveys

In recent years, the bad publicity surrounding oil tanker disasters and the potential for the charterer
to be held responsible for oil spillage along with everyone else, means that oil majors in particular
are careful to know the condition of the ships they hire to carry their cargo. The once vast fleets of
oil tankers owned by the world’s principal oil companies have long gone and, although some oil
majors still operate some vessels of their own, they have turned to the charter market for the
majority of their ocean transport requirements.

Most oil majors have formed an association called Oil Companies International Marine Forum
(OCIMF). One of the most significant safety initiatives to be introduced by OCIMF is the Ship
Inspection Report Programme (SIRE). This programme was originally launched in 1993 to specifically
address concerns about sub-standard shipping. The SIRE Programme is a unique tanker risk
assessment tool of value to charterers, ship operators, terminal operators and government bodies
concerned with ship safety.

The SIRE system is a very large database of up-to-date information about tankers. Essentially, SIRE
has focused tanker industry awareness on the importance of meeting satisfactory tanker quality and
ship safety standards. Inspection reports are maintained on the index for a period of 12 months
from the date of receipt and are maintained on the database for two years. SIRE access is available,
at a nominal cost, to OCIMF members, bulk oil terminal operators, port authorities, canal authorities,
oil, power, industrial or oil trader companies which charter tankers as a normal part of their business.
It is also available, free of charge, to governmental bodies which supervise safety and/or pollution
prevention in respect of oil tankers (e.g. port state control authorities, MOUs etc).
Applicants wishing to participate in the SIRE Programme are required to obtain formal applications
and are asked to submit their request via email or fax. Please include your full style mailing address.

Module 1: Introduction to Marine Surveying 37

Most oil majors have their own checklists which are based upon the OCIMF inspection routine for the
various classes of tanker. Rather than rely upon unknown surveyors the principal chartering oil
companies will often carry out their own surveys, or at least retain surveyors in whom they have long
standing confidence. They will quite readily incur the expense of flying them around the world to
conduct their surveys the price of an air fare is cheap compared with the costs which can result from
an unreliable survey before a long-term charter.

10.1.3 Preparation of Cargo Spaces

There is another common type of survey which is one in which surveyors certify that, as independent
parties, they have inspected a cargo space before loading and are satisfied that it has been cleaned
and otherwise prepared as required for the reception and satisfactory carriage of a specific type of
cargo.

Examples of this survey involve cargo spaces intended for the reception of refrigerated cargoes, grain
and other bulk commodities, tallow, latex, vegetable and other oils. The survey thus involves holds,
refrigerated chambers and cargo tanks and may often also be required for containers before stuffing.
In the case of refrigerated cargoes, the approval will involve not only cleanliness but also suitable
dunnaging and, above all, correct operating temperatures and confirmation that the refrigeration
machinery is capable of providing the requisite temperatures.

The instructions from the principal to the surveyor should clearly state the standards of cleanliness
that are be required for a particular cargo to be carried. It often happens that principals do not
provide sufficient information and the available time for survey is often limited. An added difficulty
is that some areas of a hold may be nearly inaccessible. Where such limitations are placed upon the
standard of a survey the report must indicate them.

For ballast holds the suction and inlet pipes should be blanked off. Also, all hatch covers should be
hose tested unless the surveyor can be otherwise satisfied that they are in good order and
watertight. Hold bilge suctions need to be tested to ensure that any moisture finding its way to the
bilge area can be pumped clear. Some filtering cover (such as burlap) should be placed over them to
prevent quantities of cargo getting into the bilges.

Surveyors must be particularly careful when inspecting tanks internally for oil and petroleum
products. These spaces should only be entered when it is safe to do so. With regard to edible oils
and fats the current Federation of Oils Seeds and Fats Association (FOSFA) recommendations are the
guide to survey requirements.

Cleanliness, freedom from moisture and rust are the principal considerations, together with lack of
damage to surface coatings. For some cargoes, the removal of brass, copper, galvanised and alloy
fittings are necessary.

Where heating coils are fitted they should either be tested, if required for heating the particular
product, or removed and blanked off. There will also be a requirement to certify the cleanliness of
pumping arrangements, including the loading and discharge lines to the shore facility.

10.1.4 Surveying the Cargoes

It is perhaps true to say that independent surveyors are mostly employed as cargo surveyors
throughout the world. Shipowners, charterers, cargo owners and underwriters often require the
attention of surveyors for almost every facet of their handling.

Module 1: Introduction to Marine Surveying 38

This can sometimes be from the point of origin, which may be well inland in the country of origin, to
the place of destination, similarly well inland in the country of destination, or it may, more
commonly, be at the port of shipment or discharge. Particularly when things go wrong and cargo
becomes damaged, several parties with an interest in it may all call for independent surveys.
While cargo surveying is usually the province of nautical surveyors, who alone may be suitable for
some surveys, it is by no means exclusively so and many very competent cargo surveyors have had
little or no actual seagoing experience.

In these cases, they probably attribute their expertise to having served in the appropriate industry
which has equipped them with a specialised knowledge of a particular commodity or manufactured
item such as a complex computer.

10.1.5 General Cargoes

The tonnage of general cargo being shipped worldwide has increased, However, the average growth
in containerisation has also grown. What is even more dramatic is that containerisation as a
percentage of non-bulk cargo has risen. So, we can see the method of transportation has changed
dramatically with the growth of container operations. To some extent, this has changed the pattern
of general cargo surveys and much of the cargo is now not seen at the ports through which it is
exported and imported.

Containerisation has also had a dramatic effect on refrigerated and chilled cargoes which are carried
in large quantities in specially built vessels. The term general cargo applies to a very wide variety of
items, much of it manufactured or processed in some form and almost certainly of diverse sizes and
weights.

The term is used largely to differentiate this type of cargo from cargo consisting of a homogeneous
mass of material, all of which is similar in nature.

10.1.6 Container Surveys

Some ports have a Container Service Facility (CSF) where containers may be stuffed or unstuffed
within the security of a port facility. Usually competent cargo handlers are available who can see
that this work is properly carried out. However, the vast majority of containers are stuffed at some
distance from the marine terminals that will load them on to the ship. What has been loaded and
how it has been loaded is not always clear and ports and ships rely on the documents accompanying
the container. This does cause concern.

Furthermore, containers are susceptible to handling damage and to damage from cargoes loaded
into them. There may be a need in the case of leased containers for a survey when the containers go
“on- hire” and survey again when they come “off-hire”. Marine surveyors will often be called upon
to carry out these surveys, although this has become something of an area of specialisation and
many containers are surveyed by those with an engineering background, not necessarily marine and
who have often been employed in firms carrying out container manufacture or repair work.
Generally, only one container surveyor will be involved as the values at stake will usually leave each
party prepared to accept the findings of one surveyor acting independently. Where both parties
have confidence in an agreed repair firm and the extent of damage is not high it is not uncommon for
them to dispense with the services of an independent surveyor and accept the repair firm’s quote
after having made it quite clear that only “recent” damage and no wear and tear, is to be covered. It
has now become common practice for container surveyors to have passed the examinations of the
Institute of International Container Lessors (IICL).

Module 1: Introduction to Marine Surveying 39

Containers are used for a large number of commodities in addition to the normal general dry cargo
such as edible oils and small parcels of special oils and chemicals etc. Some of these commodities
require containers to be cleaned and approved before loading. When used for general cargo there is
not usually the same requirement but as they are often carried on deck and, in any event, are likely
to be exposed to rain in the terminals, watertight integrity is important. From time to time,
surveyors are required to survey them before stuffing and the following points require attention:
• Rubber door seals present, intact and watertight.
• Door securing devices in good order.
• Free of holes or other damage (particularly on top, adjacent to the corner posts where
spreader twistlocks commonly puncture them).
• Insulation in good condition (reefer containers).

Watertightness can usually be checked satisfactorily by the surveyor entering the container and
having it closed behind him. Light will penetrate most holes but a further check can be made by hose
testing.

Surveyors will generally be expected to check that reefer containers have been pre-cooled before
stuffing and then, on completion, that they are tightly closed, possibly sealed for security and that
the correct settings have been applied to the refrigeration equipment, with recorder charts in place
and correctly lined up.

It should also be noted that containers are now frequently used for the carriage of small quantities of
industrial gases and bulk liquids. They have tended to replace deep tanks for this purpose as they
have the obvious benefits of portability and ease of access for cleanliness.

10.1.7 Container Stuffing Surveys

As has been mentioned, containers are normally stuffed inland, then conveyed to the port of
shipment, carried by the ship from port to port and then dispatched inland to the final destination.
From the point of view of the cargo owners, this is intended to reduce time, eliminate much of the
handling of individual items and, as a consequence, reduce both the handling time/cost involved and
the potential for damage.

Full Container Load (FCL) describes a method of conveyance in which a container is stuffed with the
cargo of one shipper, often directly from its own premises and then delivered into a consignee’s
premises at destination.

A considerable amount of cargo is also delivered to and from depots operated by shipping companies
or freight forwarders. They may be inland, or in the vicinity of the port areas and here the cargo is
consolidated/deconsolidated and the containers stuffed/unstuffed with cargo offered by a number
of shippers before/after being conveyed to and from the ships. It is then known as a Less than
Container Load (LCL).

The obvious benefits to cargo handling arising out of container transport have been effective and
they have also changed the pattern of surveys considerably. Although a surveyor may attend at the
shipping companies’ request when the containers are handled on board the ships there is frequently
little opportunity to sight the contents. Ship’s surveyors rarely attend at the point where containers
are stuffed or unstuffed of cargo unless there is reason to expect stowage difficulties or cargo
damage.

However, P&I clubs have been taking a stronger interest in this in recent years.

Module 1: Introduction to Marine Surveying 40

Cargo surveyors acting for underwriters may sometimes be requested to attend at the shippers’
premises or loading depots to sight the cargo’s condition and securing within the container. When
damage has been discovered at destination surveys are very likely to be required and, as a
consequence, it is not uncommon for insurance loss adjusters, many of whom have very limited
marine cargo knowledge, to be appointed if there is no recognised surveyor within reasonable
travelling distance.

Much of the world’s general cargo is today handled in containers and the “break bulk” carriage in
conventional cargo ships is very much reduced.
However, there are some marked exceptions to this where specialised cargo, such as refrigerated
meat and fruit, will often be carried in specialised ships fitted for the purpose. Although containers
are also used extensively for refrigerated cargo there is still a place for the purpose-built ‘tween deck
vessel employed worldwide in these trades.

Car and livestock carriers are also special types of vessels designed or converted for their specialised
trades.

A number of containers are frequently stowed on deck in general cargo ships and almost always in
dedicated containerships. These containers must be very carefully secured in place and this is
achieved almost invariably by means of special securing hooks, rods and rigging screws in addition to
relying upon the twist-locks. A manual covering this should be provided in each such ship and must
be carefully adhered to.

Figure 17: Improper Lashing (February 2004)

In the UK, both the MCA and the HSE are calling for more attention to be paid to lashing on container
ships. The lack of suitable access to lashing work stations is a common cause of accidents to
stevedores as it causes unorthodox and unsafe practices. Marine surveyors who have the important
task of seeing those containers have been properly lashed should be aware of this hazard.

Module 1: Introduction to Marine Surveying 41

10.1.8 Dry Bulk Cargo

Bulk carriers (or bulkers as they are often called) have had a sad history in recent years with regular
losses of these ships. They are also perhaps the most hazardous vessel for a marine surveyor to
encounter.

They have been designed to minimise their registered tonnage measurements and usually have no
raised forecastle. The loss of the Derbyshire highlighted the problem to the world at large. This was
because it was a British ship with British crew and the UK press seized onto the human loss element.

This is fair enough and yet the world has generally ignored the other 300 or so losses of these
vessels. The scantlings of these vessels have also been set to a minimum, the lighter the hull the
more cargo you can carry. In the hands of uncaring owners and poorly paid crews, these workhorses
in the industry soon deteriorate and become a risk to themselves and those that board them.

The various bulk cargoes these ships carry also create problems for the ships which carry them and
damage is often caused by corrosion and damage caused by unsuitable loading. Too often this
damage went unnoticed, having been undetected due to inadequate surveying standards. In short,
the losses have arisen where commercial rather than safety interests have been the overriding
factor.

IMO and IACS have been very hard at work in improving bulk carrier safety, with improved design
and increased structural requirements. There has been a great deal of debate about compulsory
double hulls for bulkers, but at present this remains optional. IMO also has produced the BLU Code
which is the Code of Practice for the Safe Loading and Unloading of Bulk Carriers and should be
complied with by both ship and terminal operators (this is an essential document for those regularly
involved in the trade. Others would be wise to make themselves familiar with its existence).

Marine surveyors with experience also as ships’ officers on bulk ships can be very effective in
ensuring that the essential co-operation between the ship and the port personnel will ensure the
utmost care and attention concerning the planning of the loading and discharging operation. This
will require suitable distribution of weights in each hold and the speed of the loading operation.
Always be aware that often the terminal operators are more concerned with getting the ship off the
berth than with the ship’s overall safety. A prime consideration must be the loading/discharging
plan. It needs to cover:
• Distribution of cargo within the holds (taking into account its suitability at both the loading
and discharging port/s).
• Speed of loading/discharging of each hold.
• The ship’s capability of ballasting/de-ballasting (considered in association with above).

Attention must be paid to the requirements of any ballast or de-ballasting operation which must be
performed in relation to cargo operations.

Both operations can materially affect the vessel’s structure by imposing severe stresses, causing
significant damage. In giving proper consideration to these matters, the terminal administration
should sign and accept the IMO approved ship/shore checklist and provide the ship with instructions,
in the appropriate language, regarding its conduct at the terminal.

Another area of concern is that of damage done to the ship during cargo operations by handling
equipment. This damage is especially serious when caused to hatches and hatch coamings but it also
applies to fittings in the hold. Ships’ officers, are generally required to monitor this and liaise with

Module 1: Introduction to Marine Surveying 42

the terminal operators to minimise any damage caused by grabs and machinery, principally
bulldozers, operated within the hold.

Provision of a general arrangement hatch plan, showing the location of hold ladders, pipes and other
fittings prior to commencing will facilitate this. Marine surveyors should also consider the cleanliness
and fitness to receive the cargo and the taking of samples during loading or prior to discharge. The
most common types of bulk cargoes are:
• grain;
• iron ore;
• coal;
• sugar;
• scrap steel;
• chemicals; and
• fertilisers.

They are conveyed across the oceans in vast quantities and generally do not present major problems
for their receivers but many are susceptible to contamination from the residue of previously carried
cargoes, rust from the ship’s structure, moisture from sweat, rain during loading, sea water ingress
through leaking hatches and fresh/salt water from leaking pipes.

Be particularly concerned with coal and some chemicals that require careful temperature monitoring
as they are susceptible to heating damage and in some cases to spontaneous combustion. The IMO
Code of Safe Practice for Solid Bulk Cargoes provides information on the stowage and carriage of
most common and many uncommon, bulk cargoes.

With bulk cargoes the quantity out-turned, sometimes with unexplained shortages exceeding an
acceptable percentage, can present difficulty in determining where the losses occurred and will
result in substantial claims for these losses. On some occasions, they may be no more than paper
losses and, where surveyors are not involved until after the discharge, it is often very difficult to
detect where the losses have really occurred.

Sampling usually plays a large part in the role of the surveyor during the loading and discharging of
bulk cargoes and is commonly required to determine the quality, moisture content and possibly
temperature of the cargo to be loaded or on board.

But it is not always as simple and straightforward as it may appear as samples are usually required to
be representative samples of the whole. They may also sometimes need to be more specific of those
at any place or time during a cargo operation, particularly if a problem is met at any stage.

Module 1: Introduction to Marine Surveying 43

Figure 18 – The Scotia (October 2002)

Figure 6 shows the 2,100 GT general cargo vessel, Scotia, being loaded with grain at UK the port of
Dover. The Scotia is owned by Baum & Co and was built in 1987.

Grain cargoes have, for many years, engaged surveyors’ attention in the grain loading ports of the
world. The regulations imposed by the SOLAS convention on the carriage of grain are extensive
although recent years have seen some simplification.

This has been assisted by the design of modern bulk carriers and it is the more conventional cargo
ship that presents the most problems. As a consequence, they are rarely “fixed” for grain cargoes as
bulkers are generally readily available.

Loading will have to comply with the requirements of the International Grain Code (except where
exemptions have been granted, in which case the stability report should say so) and charterparties
will usually also have some specific requirements relating to the loading of a grain cargo.

Surveyor’s instructions should include reference to them. In many cases, there will be a requirement
for and a restriction to, the involvement of certain specific approved surveyors. Although private
surveyors may attend to much of the planning and overseeing of a grain loading there will usually be
a requirement for a government surveyor to approve the overall plan.

10.1.9 Draught Surveys

Draught marks are permanently indicated on the ship’s side, both forward and aft. Conducting
draught surveys is one popular method used to determine the quantity of cargo loaded or discharged
particularly in the case of bulk cargoes such as that carried by the vessel pictured below in Figure 7.

Module 1: Introduction to Marine Surveying 44

They are convenient and reasonably reliable and are carried out by comparing the vessel’s draught
before and after the loading or discharging operation.

By taking the draught of a vessel, the marine surveyor can measure the displacement of the ship at
the start and completion of the cargo operation. The difference between the two measurements will
represent the weight of cargo added or removed. Of course, other allowances will have to be made
if the vessel has loaded fuel oil, water or other items. Simple as all this may seem it is actually quite a
complicated and often difficult process as so many factors can affect the accuracy of the two
comparative draught readings obtained. There are other difficulties to overcome.

Figure 19 – MV DS Manatee A typical geared bulk carrier, the MV DS Manatee, a 2002 built, 17,944
GT vessel Source: Larsens Marine Surveyors & Consultants Ltd (2016)

The accuracy of draught surveys increases with the quantity of cargo being carried by the vessel. Up
to about 5,000 tonnes actual weighing of the cargo will probably be more accurate but, as the
quantity increases so does the accuracy of the draught survey.

At about 10,000 tonnes and with good conditions for taking the measurements, accuracy can be of
the order of between 1% and 2%. Even for the smaller quantities draught surveys may provide a
useful check upon other methods. The following points are mentioned to give some indication of the
requirements in carrying out draught surveys but they touch only very lightly on the subject. Draught
surveys should not be embarked upon by novice surveyors without some first-hand guidance from
experienced surveyors.

The surveyor has first to observe the draught readings at which the ship is floating and these have to
be reasonably accurate. They can be complicated by many basic factors including:
• The clarity of the paint on the draught marks.
• The adequacy of the light falling on them.
• The surveyor’s proximity to the marks (hanging from a rope ladder from the overhang of the
offside quarter in a strong wind can be exciting but not very productive)! Sighting from a
boat is usually the best method.

Module 1: Introduction to Marine Surveying 45

 • The disturbance at the water level (by wind and swell).
• When in a strong current, whether the ship is “squatting” and/or has a build-up of water at
its stem or stern.
• Whether the ship, as a longitudinal girder, is deformed due to its condition of loading, or due
to ambient temperature.

The effect of weather disturbance on draught readings can be reduced by means of a draught tube
used adjacent to the draught marks. It “stills” the water beside the mark at which the draught is
read.

Distant reading draught gauges are not accurate enough for this purpose. Another form of
assistance can be provided by means of a special clinometer which allows the surveyor to correct for
a vessel’s list when the weather permits only an accurate reading of the draught on the lee side.
These listed items often cover only the first difficulties encountered and once an accurate draught
reading has been obtained it may need correcting for the fact that draught marks are often not on
the fore or aft perpendiculars. It is then necessary to obtain an accurate density of the water in
which the ship is floating. The sea water density can be affected by a number of variables such as:
• Depth at which they are taken (salinity and temperature variables).
• Location, relative to the fore and aft line of the ship (density can vary between the stem and
the stern for the same reasons).
• Local distortions caused by ships or shore discharges.

Once a representative sample has been achieved, the density has to be obtained by means of a
hydrometer and for accuracy a special draught survey instrument should be used. Temperature
plays a part as a hydrometer reads correctly at only one specified temperature and the reading
obtained will be slightly in error at other temperatures due to expansion and contraction of the
material of which it is constructed.

Having fine-tuned the draught readings, the surveyor then has to determine the changes in
quantities of ballast and fresh water, fuel and diesel oil, stores, spares and other variables on board.
This requires sounding, or at least witnessing, ship’s officers’ taking of soundings, of all the double
bottom, deep and wing tanks (even empty tanks too) on the vessel.

List and trim can affect the accuracy of tank quantity calculations due to air entrapment when
pressed up. Ideally, they should be sounded when sufficiently full to give a good sounding, but when
no air can be trapped in pockets.

Reliance has to be placed on the figures given by the builders for tank capacities and all the other
hydrostatic information provided. These are usually reasonably accurate but are occasionally
unreliable and an error of about one tonne per 1,000 tonnes can be introduced because they
sometimes assume fresh water density as being 1.0000 at 15°C; a slight inaccuracy.

Finally, and often with some haste with the master, pilot and terminal operator breathing down the
surveyor’s neck as the ship is about to sail, the surveyor is required to complete the calculations and
confirm the quantity of cargo loaded or discharged.

A marine surveyor taking proper care, can expect to obtain reasonably accurate results from a
draught survey. It is accepted in most dry bulk trades that an accuracy of about 0.5% is reasonable
and feasible provided the quantity is large enough.

Module 1: Introduction to Marine Surveying 46

Much depends upon the co-operation received from the ship’s personnel and whether they want the
surveyor to arrive at an accurate figure or not. Sometimes owners and charterers will deliberately
hinder accurate readings so as to obtain a figure more favourable to their position and surveyors
need to be fully alive to this possibility.

Of course, draught surveys will not account for cargo lost through spillage when grabs are handling
the commodity into and out of the vessel. Another consideration has to be given to water inclusion
through rain or condensation and for this sampling is likely to be required.

It does not, however, normally constitute part of the actual draught survey. A comparison should be
made between the figures obtained from the draught/ullage surveys and weightometer figures,
although the surveyor’s figures are the principal ones used.

10.2 Supervisory/Overseeing Surveys

Surveyors may sometimes be called in to advise shipowners, charterers and shippers with regard to
certain types of cargo and their handling. More often than not, however, they will be instructed to
actually oversee or supervise their handling in which case they will be acting clearly as an agent of
their principal and need to fully understand their legal position when doing so.

10.2.1 Pre-shipment Surveys

Shipowners and charterers sometimes call for a survey to be carried out at a shipper’s premises so as
to gain a better understanding of some unusual commodity offered for shipment. Occasionally,
surveyors may be called upon by shippers to give advice on packaging and handling where shippers
are unfamiliar with a new trade, but the more usual situation is for a surveyor to be retained for this
purpose by the shipper’s underwriters.

Surveyors will then be expected to advise the shipper, recommend packing and handling, possibly
then going on to discuss these matters with the carriers who will be conveying the goods from the
shippers’ premises to the port of shipment and possibly also with the ocean carriers.
P&I clubs sometimes call for pre-shipment surveys for cargoes that commonly give rise to claims on
shipowners. Steel is a commodity which presents problems with regard to rust and care is needed in
making sure that bills of lading have the appropriate clauses and this may require a surveyor to have
particular experience with the commodity or manufactured item involved.

10.2.2 Loading Surveys

Loading surveys may be required as an extension to other cargo surveys or may stand alone. When
they are performed by surveyors acting for the shippers or their underwriters, surveyors need to be
particularly conscious of their position.

Access to a container during stuffing may present little difficulty, particularly where it occurs at a
shipper’s premises, but access to a ship (not often refused during loading) is at the courtesy of the
shipowner or charterer. However, although possibly permitted to board the ship, the surveyor is
generally not in a position to “give any orders” to stevedores or others concerned with the loading
unless acting for the shipowner or charterer.

The surveyor, if acting for the shipper or their underwriters, will probably not have any authority and
can only make recommendations which the ship’s employees may or may not heed. The result of
disregarding the advice may be that loss or damage arises in handling or later during the voyage.

Module 1: Introduction to Marine Surveying 47

Where the surveyor’s recommendations are disregarded and damage results as a consequence it
would be prudent for the marine surveyor to obtain a witness to the facts regarding the
recommendations.

In any event, surveyors should state their recommendations clearly in the survey report and state
that these were offered. These facts then also need to be conveyed in writing to the ship’s
representatives. Ideally this should be as soon as possible after the cargo handling has taken place
and certainly before the ship’s departure.

The information may play a significant part when later considering the liabilities of the parties and if
conveyed in writing at an early stage its evidential value is considerably enhanced. Of course, where
a surveyor’s recommendations during loading are accepted by the ship, possibly against its own
representative’s inclinations and loss or damage is suffered, marine surveyors could find themselves
with a responsibility for that situation.

10.2.3 Securing/Lashing Surveys

Marine surveyors are often called upon to inspect the securing of cargo, both in a ship and in a
container. In a conventional ship this is usually the function of the ship’s surveyor who certifies that
the shipowner or charterer has taken all reasonable precautions to stow and secure the cargo for the
forthcoming voyage.

In a container, unless packed by the ship’s representatives, it is more likely for the survey to be
carried out by the shipper’s or underwriter’s surveyor. Its purpose is then to endeavour to establish
that, if movement damage occurs in transit, it has been caused by the actions of the carrier and not
by the shipper’s inadequate securing.

The surveyor’s certificate testifies to the method and extent of securing and lashing and where
stowage is on deck, also to any additional precautions such as temporarily securing by welding to the
deck and ship’s structure.

Many nations have regulations regarding the carriage of cargo on deck and government surveyors
may sometimes be required to attend to approve and issue their certificate.

10.2.4 Discharge/Out-turn Surveys

Much the same comments apply to the surveys for loading surveys, to the extent that the survey is
intended to provide information on the handling, but this time during discharge. The surveyors, if
acting for the consignees or their underwriters, may be required to extend their services to the
subsequent handling in the port area, with a possible further requirement, particularly in the case of
a heavy lift or expensive machinery vulnerable to damage, to cover securing onto the road or rail
vehicle for inland transport.

Checking for damage received up to the time of discharge can also be an important part of the
discharge/out-turn survey. This may involve no more than an inspection of a particular commodity,
perhaps a consignment of machinery or other goods, which may be susceptible to damage or which
has suffered known damage in stow.

In the latter case the ship may not permit the receiver’s surveyor to attend on board, but a great deal
depends upon the relationship between the particular shipowner/charterer and the receiver.

Module 1: Introduction to Marine Surveying 48

If there is known to be a problem of damage from heavy weather on a voyage, or any other cause,
surveyors will often be instructed to attend a discharge survey on behalf of the ship and possibly also
for the receivers and their respective underwriters.

Even if there is no known damage, receivers or more probably their underwriters, knowing that a
cargo is susceptible to damage, will often commission a discharge survey as this may later make it
easier to pinpoint liability for any damage.

When damage is suspected a surveyor may be called in to witness the opening of a hold or a
container and then to determine what, if any, damage is present. It will be important to identify the
cause or causes and, if there is more than one, to apportion the extent of damage between the
causes.

However, when the vessel herself has been involved in a major casualty, an out-turn survey may
become an essential requirement and part of an extensive operation. Following grounding or a fire
there may be very extensive damage to cargo and the shipowner may have declared a general
average. If this is the case then it is likely that a number of surveyors representing different interests
will be concerned.

It will then follow that a general average surveyor and an average adjuster will be appointed by the
shipowner. The former will have to record the condition of the cargo discharged from the ship and
the latter will have to adjust the average in due course. Where a large ship is carrying a general
cargo, this can be a huge undertaking for both.

The general average surveyor will have the responsibility of sighting every item of cargo as it is
discharged, to consider the extent of damage from possibly several causes, arrange for joint surveys
to be carried out with receivers’ representatives and finally compile a list of every item against its bill
of lading number.

All this information must then be included in the report which will cover the circumstances under
which the general average was declared together with the disposal of each item of cargo and a
record of their losses and causes.

Where fire is involved the surveyor’s work is complicated by the fact that there will almost certainly
be at least three causes of damage to some of the cargo:
• heat damage;
• smoke damage; and
• probably water damage.

The latter resulting from its extinguishing.

The extent of damage has to be considered for each item out-turned.

Where a grounding is involved with the vessel’s holds flooded, or where a fire may have been
extinguished by deliberately flooding a hold, there can be widespread loss of shipping marks in a
general cargo.

This complicates the surveyors’ task still further in trying to identify ownership. Because of its
complications it is usual to appoint a firm of general average surveyors in this situation as the volume
of work can be so extensive that no individual could possibly handle it.

Module 1: Introduction to Marine Surveying 49

General average surveys also generate work for other surveyors in the region as underwriters are
likely to require their services to attend to their customer’s needs. There is much to be gained from
full co-operation between the underwriters’ surveyors and the general average surveyors.

Following a major casualty underwriter may group together in appointing one firm of surveyors to
look after all cargo interests rather than have a number of different individuals or firms acting for
them.

10.2.5 Steel Cargoes

Figure 20 – Coils of Wire Awaiting Shipment (2015)

Where coils of steel or special steels are involved surveyors should check and note the wrapping and
banding which is likely to have been applied to them. P&I clubs can be faced with unjustified claims
for steel allegedly out-turned in unsatisfactory condition.

Some rusting may appear likely to be of considerable concern when in fact it is not really of
significance. Any surveyor involved with a steel cargo, when checking shipped condition is a part of
the role, should seek comprehensive guidance from the appropriate P&I club.

A correct description of the loaded condition of the steel with regard to rust and other physical
damage such as bending requires particular attention. It is essential to establish the degree of rust
present at the time of shipment, bearing in mind that all unprotected steel is susceptible to light
surface oxidisation, but this tends to be an overall condition following exposure to the atmosphere
and is rarely detrimental although it may warrant recording steel is often shipped on bulk carriers.
Steel does present one problem on bulkers with regard to stability. Unlike the conventional general
cargo ships bulkers have no ‘tween decks except where there is provision for suitable ballasting to
overcome the low cargo centre of gravity of the mass of steel.

Module 1: Introduction to Marine Surveying 50

Movement of steel within a hold in a seaway can spell major problems, if not disaster.

Figure 21: Steel Bar being Inspected During Unloading Source: Larsens Marine Surveyors &
Consultants Ltd

10.2.6 Summary of Bulk Cargoes in General

When a surveyor attends any bulk cargo, the following list briefly outlines the key tasks:
• To measure the quantity of the cargo loaded or discharged.
• Confirm the quality of the cargo loaded or discharged.
• When instructed, to sample the cargo generally for moisture content or grade.
• To check the cleanliness of the cargo spaces and freedom from infestation.
• To check the stability and longitudinal stress calculations of the ship.
• To check the watertight integrity of the ship’s hatch covers.

10.3 Timber Deck Cargoes

As with most deck cargoes, the surveyor should be satisfied that the deck is capable of carrying the
complete timber load. Timber deck cargoes, depending upon their quantity, can also present a
requirement for compliance with the SOLAS and Load Line Conventions.

Module 1: Introduction to Marine Surveying 51

Figure 22: Timber Unloaded in Good Condition Source: Larsens Marine Surveyors & Consultants Ltd
(2017)

Figure 22 shows a typical cargo of timber products which are carried on relatively small vessels its
loading and stowage requires careful supervision.

Timber deck cargoes obviously have the additional threat of being exposed to sea water and gaining
additional moisture. Stability and securing are two of the principal difficulties where the amount of
this deck cargo is extensive.

Compliance with the timber deck regulations is essential. Satisfactory stability and hull stress under
the worst conditions are major factors to which attention is required before a loading plan is
acceptable.
Although the recording of quantities of timber cargoes is relatively straightforward, securing is of
major concern and requires specific attention by the surveyor. The cargo must be securely lashed,
the lashings fit for purpose and the stow properly secured. Thereafter cleanliness, absence from
infestation and trimming all require careful attention.

10.4 Bulk, Liquid

10.4.1 Oil and Chemicals

The vast majority of vessels that fall into this category are oil tankers. These vessels carry cargoes of
various grades of oil and its derivatives but with an occasional cargo of liquid chemicals.

Module 1: Introduction to Marine Surveying 52

However, the last quarter of a century has seen a dramatic increase in the specialist chemical and
liquid gas carriers which today comprise a significant part of the world’s tanker fleets.

Figure 23: A Typical “Tanker” in Ballast Condition Source (under licence): Larsens Marine Surveyors &
Consultants Ltd (2016)

The carriage of bulk chemicals has become a much specialised trade with the chemical tankers being
purpose-built and operated by a small number of shipping companies which specialise in their
carriage. These surveys vary in complexity and some of the precautions required depend upon the
toxicity of the chemicals which are categorised by the US Coast Guard as:
• Practically non-toxic.
• Slightly toxic.
• Moderately toxic.
• Highly toxic.

Surveys associated with the loading and discharging of products of the oil/petroleum industry and
with the chemical industry are amongst the most demanding on surveyors. They require careful
attention to detail.

In most cases, the requirement is for dual attendance – that is, attendance on both the ship and the
shore installation. This may be impractical for one surveyor and two may be required, one in each
place.

The surveyor(s) may be required to ascertain:

• The quantities loaded/discharged.
• The quality of different samples (this is largely a laboratory function but will involve the
surveyor in sampling).
• That there is no avenue for cross contamination. Attendance on board is usually the more
demanding and will involve:
o Checking that overside and cargo tank valves are all closed except those actually
required for and during the immediate cargo transfer.
o Sounding ballast and fuel tanks (and making allowances for quantities consumed by
the ship).

Module 1: Introduction to Marine Surveying 53

 o Pump and pipeline cleanliness and, before loading, tank cleanliness.
o Sampling of ballast water pumped out of cargo tanks.
o Ascertaining the vessel’s experience factor (checking records of past cargo
operations to determine the differences between ship and shore figures for
quantities handled).
o Sampling the cargo loaded/discharged (and may involve the surveyor in witnessing
the testing of the product).
o Measuring the tanks before and after pumping.
o Recording the trim and list.
o Checking and recording temperatures ashore.

The survey will include where possible:

• Checking for water and sampling the content of the pumping lines.
• Checking the state of the valves in the holding and adjacent tanks and witnessing their
operation.
• Sampling the holding tanks.
• Measuring the content of the holding tanks before and after pumping.
• Checking and recording temperatures.

Equipment required:
• Measuring tape conforming to ASST standards (free of kinks, legible, with a secure bob and
checked regularly for accuracy).
• Thermometers (also checked regularly).
• Hydrometer conforming to American national standards or British standards.
• Containers for samples.
• Protective clothing (for chemicals).

Oil and chemical cargo sampling, unless the surveyor is instructed otherwise or has good reason to
depart from standard practice, is best carried out as outlined in the Institute of Petroleum’s manuals
on oil and chemical measuring techniques.

During loading operations, apart from sampling the cargo being shipped, the prudent surveyor will
also obtain samples of the cargo, slops and ballast water on board at the commencement of loading.
Not all of the vast quantity of liquid bulk cargoes is carried in ships specially designed for them and
small parcels are carried in general cargo ships and containerships. Deep tanks, often fitted with
heating and pumping arrangements, are sometimes located in cargo ship holds and are used to carry
small quantities of chemicals, oils and other liquid cargoes. The advent of the small parcel tanker has
seen a reduction in the number of cargo ships with deep tanks.

Module 1: Introduction to Marine Surveying 54

Figure 24: DNVPS Surveyors Preparing Fuel Samples (May 2004)

Latex, coconut, sunflower seed, rape seed, linseed and other vegetable oils are commonly cargoes
loaded in small quantities in eastern ports for discharge in Europe and the US and for which cargo
ships’ deep tanks are often suitable, depending upon quantity.

Tallow is also carried in deep tanks between countries having a significant animal products trade.
The surveyor’s role in connection with these is usually to take samples and to verify the cleanliness
and fitness of tanks, pumps and lines to receive or discharge cargoes. They will often be required to
confirm quantities shipped or received.

A word of warning concerning tank inspections. Toxic residues of cargo, but also little used tanks,
can be lethal to unsuspecting surveyors.

Each year a number of lives are lost by failure to check the vapour content of a tank before entry and
empty tanks which lack oxygen through the effects of rust generation are as responsible as any.
Where there are any doubts, surveyors must always check before entry and have a “buddy” to watch
over them. The buddy must be fully conversant with the operation and whereabouts of breathing
equipment which must be nearby and accessible.

Recommendations for entering enclosed spaces on board ships, as provided under IMO Resolution
A864/20, warrant attention and include a pre-entry checklist.
It is an essential document which should be carried on board all vessels and all seafarers should make
themselves familiar with its contents if they are ever likely to have to enter cargo spaces or tanks.

Module 1: Introduction to Marine Surveying 55

10.4.2 Liquid Gas

Figure 26: Liquid Petroleum Gas (LPG) Carrier Source: Larsens Marine Surveyors & Consultants Ltd
(2016)

Another highly-specialised area for which ships have been designed in recent years is that of the
carriage of liquid natural and other gases. Standards are, in some cases, still being evolved and
outside of the few carriers operating these ships there is very limited knowledge and experience.
Most of these gases are vapours at ambient temperature and pressure. For carriage by sea, they are
liquefied by:
• Refrigerating to drop the temperature but still at atmospheric pressure.
• A combination of part refrigerating and part pressurising.
• Pressurising without refrigeration (the temperatures and pressures at which gases liquefy
varies vary very considerably).

From the surveyor’s point of view, the requirement is principally that of ullage and temperature
recording followed by fairly extensive calculations to determine quantity. Both measurements are
usually made with ship’s equipment.

Accuracy is absolutely critical to correct results.

10.5 Quantity Surveys

We have already discussed draught surveys which are often carried out in the case of bulk carriers.
The name quantity surveys indicate the purpose for which these surveys are required, i.e. to
determine the quantity of cargo, bunkers or dead freight. There are several methods by which
quantity can be determined, but not all are necessarily applicable to every case.

It is important that surveyors take great care in reading the instruments and equipment available to
them. All instruments should be kept clean, tapes free of kinks and hydrometers undamaged; the
latter ideally made of glass having a small coefficient of expansion. The calibration of instruments
requires regular checking and the results recorded so that any significant differences can be applied
to readings or the instruments discarded.

Module 1: Introduction to Marine Surveying 56

Measurements should be made, where appropriate, to American Petroleum Institute/American
Standards Testing Methods (API/ASTM) standards and, in adverse conditions, several readings taken
and averaged.

10.5.1 Weight, Measurement and Ullage

While draught surveys result in achieving weight measurement there are other more direct forms of
cargo measurement. Weighing, ullaging and metering are usually more accurate than draught
surveys for small quantities.

If the cargo has been conveyed to the ship’s side in railway wagons or road trucks it can be physically
weighed as it passes over a weighbridge. Deduction of the vehicle’s tare weight results in the weight
of the contents being determined. In this case, the surveyor will usually be required to obtain the
weight dockets from an independent weighbridge (many are sited at the entrance to ports or
wharves), check them and issue a weight certificate.

Many bulk cargoes are loaded by means of elevators and conveyor belts which have weighing
devices attached to them. However, accurate weighing is dependent upon proper test procedures
being followed, when reasonably accurate results can be obtained.

In the case of general cargo, this can be weighed but, since freight is frequently charged on cubic
capacity, it may have to be measured to determine the space it occupies. This is done by means of a
tape measure and surveyors may be required to check the measurements of a particular item, or
possibly the space occupied by a quantity of general cargo in a hold or container.

With liquid bulk cargoes the more common form of measurement is carried out by taking an ullage of
the liquid in the tank. With oil cargoes, for example, the quantity can usually be determined by
calculating the volume occupied by the oil.

This is normally done by measuring the unoccupied height above the liquid in each tank (or as it is
known in the trade as taking an ullage) to ascertain first the unoccupied volume of the tank. From
this measurement, the quantity is determined by applying the readings to the tank calibration tables.
A lesser-used method is to take a sounding to measure the depth of the liquid in order to obtain the
volume occupied by the liquid.

In both cases, temperature recording, usually at different levels to obtain an average, is necessary to
ascertain the density of the liquid. The surveyor must take care to ensure that he or she has the
density of the liquid in air at standard temperature and that he or she is using the right API/ASTM
table for the calculations.

The marine surveyor should also check whether any water is present at the bottom of the tanks to
distort the figures. A special sounding device is used for this purpose.
Quantities of ores and similar products are sometimes loaded as slurries and if this occurs in an open
roadstead, say at a single point mooring, weather conditions may prevent a draught survey to an
acceptable level of accuracy.

The alternative may be, after dewatering has taken place, to take a number of ullages uniformly
through the holds and calculate the quantity on board by volume using the ore’s specific gravity and
a factor to allow for the water content. The result is unlikely to be very accurate but may sometimes
be the only one available.

Module 1: Introduction to Marine Surveying 57

10.5.2 Fuel Oils or Bunkers

Bunker surveys are most commonly found in on-hire or off-hire surveys. However, a bunker survey
may be called for as a stand-alone survey. This requires the surveyor to sound the fuel and diesel
tanks or to witness their soundings by a ship’s engineer and obtain temperatures where possible.
Samples are not usually taken unless there is any dispute over quality or if the surveyor is required to
witness bunkering. The surveyor’s ability to obtain a representative sample from bunkers already on
board is likely to be questionable.

For the reason mentioned in the last paragraph, the surveyor needs to sight the chief engineer’s
records of fuel obtained at previous ports and note the specific gravity recorded. This, after possible
correction for temperature, is then used for the calculation of quantities on board.

10.5.3 Dead Freight

Dead freight is the amount of money payable to a shipowner by the charterer for failing to load the
cargo stipulated in the charterparty. Depending upon the terms of the charterparty the payment
may be due on the basis of an agreed weight, cubic capacity or even per unit, i.e. pallet, to be
shipped. If the charterer fails to fill the agreed quota then payment is due to the shipowner for the
shortfall.

A marine surveyor will be instructed to measure the quantity of cargo loaded and the shortfall on
contracted quantity, or the cargo space not filled as undertaken. Some of the customary methods of
measuring the quantity loaded may be available to the surveyor, or alternatively a shortfall in weight
may be ascertained from “lift” still available as determined by draught.

Where space is the issue then actual measurement of vacant space may be the best method
available.

Directed Learning

• Explain the experience and knowledge required by a surveyor performing any three of the
above survey types.
• To what particular considerations would you pay heed when carrying out a draught survey for
the loading of a 20,000-tonne bulk carrier?

Module 1: Introduction to Marine Surveying 58

11. WARRANTY AND OTHER COMMERCIAL TYPES OF SURVEY

Learning Outcomes
On successfully completing this chapter, you will be able to:
• Describe what is undertaken when carrying out warranty surveys.
• Discuss in detail performance, commercial, quality and quantity surveys.
• Explain how to deal with surveys involving conformity with letters of credit.
• Discuss the reasons for P&I club entry surveys.

11.1 Warranty Surveys

In some cases, an insurance underwriter will cover a risk subject to the condition that the assured
provides a warranty that certain conditions are adhered to.

Underwriters often specifically require that the assured does or does not do something which is
“warranted” as being complied with. To satisfy themselves that this is being undertaken by the
assured, they will appoint a surveyor to survey and report relating to these warranties.

Some common warranty surveys are:

• Towage approval surveys.
• Lay-up.
• Reactivation after lay-up.

11.1.1 Towage Approval

This warranty survey requires the assured to arrange, normally at their own expense, for marine
surveyors to carry out the necessary approval surveys to satisfy the requirement. Generally, the
surveyors used will have had considerable experience in pre-towage surveys.

However, this may not be the case in remote areas and where the tow is not expected to provide
major difficulties.

In towage approval surveys, both the towed vessel and the tug(s) with their towing gear have to be
closely examined. Towage approval usually commences with an initial survey of the craft to be
towed, with the surveyor then providing written recommendations to the assured covering all
matters requiring attention.

These may involve the craft’s structure and will almost certainly involve its machinery and
equipment, particularly if the towed craft is to be unattended during the period of the tow.
Protection against sea/weather or other damage is often necessary. This survey usually takes place
some days before the tow is due to commence so as to give adequate time for the assured to carry
out the work and have the surveyor confirm its standard and acceptability.

The surveyor will need to be satisfied that the tug is suitable and in fit condition to carry out the task.
Sometimes, the surveyor may have to await the arrival of the tug as suitable tugs are often not
conveniently placed initially in the same port as the tow.

Module 1: Introduction to Marine Surveying 59

Some tentative approval based upon class records may be possible and in many cases the bollard pull
certificate will give the surveyor a good indication if the tug is powerful enough to undertake the
task.

However, the surveyor should always check the date of this certificate, as tugs, particularly those
that are involved in the oil industry and also carry out supply vessel work, do have a tendency to find
their bollard pull capability reducing over time.

It is important for the surveyor to discuss with the tug master how the towing arrangements are to
be arranged and how the voyage is planned. Consider long distance weather forecasting and discuss
what plans have been made for the tow to seek shelter during the voyage if required.

The other essential element to achieve a successful tow is the towing connection. The tug’s towing
gear will also have to be checked and the surveyor satisfied that its manning is adequate and its crew
adequately qualified. This requires the surveyor to be satisfied that the towing gear is adequate and
that the means of making it fast on board the tow are also approved.

Frequently, a surveyor will need to make recommendations for modifying existing arrangements or
specifying new or additional ones which will almost certainly include emergency, or “back-up” gear.
Prior to the tug and tow sailing the surveyor will ensure that all the recommendations have been
complied with and that, if the tow is unmanned, the tug crew are conversant with its pumping
arrangements and understand the operation of its machinery if required.

The tug master will have to be given written advice that certain restrictions are placed upon the
performance of the towage operation. These may include:
• weather restrictions (relating to departure);
• routeing and towing speed;
• checking the performance of the towed vessel and gear; and
• others as appropriate for the nature of the operation.

It is important that the marine surveyor understands that towage is a potentially dangerous
enterprise and requires skill and good equipment. Provided the surveyor is satisfied that
arrangements are warranted under the underwriter’s instructions the towage approval certificate
can be issued.

11.1.2 Lay-up

Lay-up surveys occur because trade falls off and a ship becomes temporarily surplus to requirements
or a ship may be taken out of service awaiting a buyer.

When laying up a vessel an owner will need to notify the class society, underwriters and P&I club in
order to change the conditions of insurance. The owner will have to warrant that vessel has been
prepared for the change of conditions. The required warranty surveys to see that this has been done
are usually called for by a hull underwriter or a P&I club and very possibly both.

The key requirements are that:

• the lay-up berth must be safe and secure for the vessel; and
• the ship, machinery and equipment must be secure against intrusion and deterioration.

The former involves the site itself which has to be both suitable and safe, with the vessel adequately
secured in it. A satisfactory berth requires the location to be acceptable from a physical hazards

Module 1: Introduction to Marine Surveying 60

aspect, i.e. wind and tide, water depth, current, holding ground, shipping movement, emergency and
maintenance services, unauthorised persons access and, of course, means of securing the vessel
which may be alongside, at buoys or at anchor, i.e. the moorings in the widest meaning of that term.
The second requirement is for on board security for the equipment and preservation of the
machinery. It also concerns watertight integrity and reducing to a minimum the possibility of ship
side valves permitting unwanted water ingress or leaking hatches allowing rain or spray to enter the
vessel. It also concerns emergency pumping and firefighting services, but it is probable that these
services will have to be provided by external means.

Unless proper precautions are taken, extended lay-ups can damage machinery which may be largely
or completely idle for lengthy periods. If vessels are not properly secured in their berths or properly
shut down, they also pose liabilities to others.

Consequently, it is not surprising that both types of insurers, hull and P&I, are likely to require certain
standards to be met if they are to be expected to continue the insurance cover.

It is important that regular inspections are carried out by competent persons during the period of the
lay- up and will normally be one of the warranty surveyor’s recommendations for lay-up approval.
Even though a watchman may be employed he or she or she is rarely skilled or competent to care for
the ship’s structure or machinery.

Even though the vessel is not working, it is normal to maintain a vessel in class during lay-up and this
will also involve the class surveyor’s requirements being adhered to but these are unlikely to be very
different from the underwriter’s requirements.

11.1.3 Recommissioning/Reactivation

Obviously, the warranty surveys are the reverse of lay-up surveys and serve to satisfy, again usually
underwriters and class that proper steps have been taken to return the vessel to a suitable state in
which it can resume trading.

Amongst other benefits surveys of this nature will help to ensure that crew negligence, following
resumption of service, does not play a major part in any subsequent machinery problems. There can
be unfortunate consequences if the correct steps are not taken during the re- commissioning of a
vessel especially with regards to machinery.

Attention to electrical equipment, always susceptible to damage by moisture and inactivity, is a

major part of this survey with all circuits being tested for insulation resistance.
At the completion of reactivation, a full sea trial will probably be required under the supervision of
both the class and independent surveyors.

11.2 Performance Surveys

11.2.1 Machinery Performance and Fuel Consumption

The owners of new ships and of vessels which have undergone major refits or repairs usually require
to be satisfied that their performance on completion complies with specifications.

Owners of chartered vessels sometimes find themselves in dispute with charterers over their vessel’s
stated performance. Fuel consumption in excess of stated figures, or speed not achieved as called
for in the charterparty, not uncommonly give rise to disputes.

Module 1: Introduction to Marine Surveying 61

In each case the owner or charterer, or the shipbuilder or repairer, may seek independent
verification of the performance and fuel consumption figures and these can be provided by an
engineer surveyor. This surveyor may be a class surveyor or a private surveyor.

11.3 Commercial Surveys

Traders and shippers that are involved with goods and commodities in international trade may
require the services of a cargo surveyor. A common situation which arises and may call for surveyors
requires them to carry out inspections in an entirely independent capacity so as to provide a firm
with a certificate covering the surveyor’s findings. This certificate may then be used to provide
independent verification of some condition which the principal may wish to establish to other parties
to a transaction.

On occasions the condition, or a shortfall on specification, may be readily apparent and will present a
surveyor with little difficulty in reporting. However, in many cases, unless marine surveyors have
specialised in the particular subject matter of such a survey, they are generally not competent to
carry them out. They may lack the personal experience to report authoritatively. If instructed they
may need to call in experts well-versed in the specialised trade involved. The expert’s certificate
then forms a part of the surveyor’s report.

The surveyor will, because of his accepted impartiality and integrity, have provided a useful service in
facilitating the provision of the independent report.

As this can require specialist skills in understanding certain commodities, any marine surveyor
instructed to carry out a commercial survey should ensure that the principal fully understands the
competence under which the surveyor will carry out the work. This must be before undertaking any
assignment which differs from that which surveyors customarily perform and which may involve the
use of experts for part of a survey.

There are three principal occasions when such a certificate may be required:
• Quality surveys.
• Conformity with letter of credit (before shipment).
• Conformity with specification of sample (after shipment).

11.3.1 Quality Surveys

Often referred to as “look, sniff and feel” surveys, this type of survey is almost inevitably carried out
by an expert with extensive experience in the particular types of commodities. It is frequently
carried out with grains and cereals, so as to certify that the commodity conforms to a certain
understanding within the trade.
This type of survey is rarely undertaken by a marine surveyor, due to the need for the specialised
depth of knowledge required, although the sample may be taken by one. This requirement by a
principal for a survey may be yet another opportunity for the surveyor to act as an independent co-
ordinator by engaging the services of a suitable expert.

11.3.2 Conformity with Letter of Credit (Before Shipment)

The financing of international trade is carried out largely through the banks and buyers commonly
ask their banks to establish letters of credit in favour of an overseas seller. Before parting with their
client’s money, the banks are required to be satisfied that the goods being shipped conform to the

Module 1: Introduction to Marine Surveying 62

general description, or sometimes comprehensive specification, against which their clients are
purchasing.

It is quite common for the services of a Lloyd’s Agency to be used in this process with the Lloyd’s
Agent appointing an independent party of known competence and integrity to carry out the
necessary inspection and verification. This party will often be a marine surveyor, either one on the
agency staff or one well known to it.

The marine surveyor’s role will then be to carry out an independent verification by checking that the
goods conform in number and description to those covered in the shipping documents. While this is
the usual situation under a letter of credit, as explained above, a marine surveyor may have difficulty
when conformity with a complex specification is a requirement and other expertise may then be
required.

A difficult situation can arise when time deadlines are close to the actual completion of loading. The
shipper may have stipulated that the cargo must be loaded entirely by 23.59 hours on a certain date.
However, the surveyor may find he or she will be asked to sign off the cargo that was only 98%
loaded by that time. Knowing that the cargo will be completed within an hour, the surveyor’s
integrity will be tested. Understanding your principal’s needs here is essential.

11.3.3 Conformity with Specification or Sample (After Shipment)

In the previous paragraphs, reference is made to the situation which arises before shipment.
However, goods and commodities are often shipped against specification or sample and with no
letter of credit having been set up.

It is sometimes then found that when the goods are received at destination there may be a
significant difference in quality, unrelated to any fortuity during the voyage and which may provide
grounds for a claim against a supplier for breach of contract. This breach may have arisen from
misunderstandings or possibly due to fraud.

The situation is one of many in which surveyors are likely to be retained because of their
independence and in which they are required to compare specifications or samples with the goods
received and to report accordingly. Where chemicals, for example, are tested by a laboratory the
surveyor may only be able to witness that the analysis is conducted in accordance with an
appropriate standard. For the surveyor’s protection the report must be qualified accordingly.

11.4 P&I Club Entry Surveys

The role of Protection and Indemnity (P&I) clubs commenced during the nineteenth century when
shipowners found themselves with liabilities which their traditional hull underwriters (Lloyd’s) were
unable or unwilling to cover. In order to solve the problem groups of shipowners formed themselves
into mutual associations and agreed to share each other’s claims.

These early organisations have now developed into 13 mutual insurance associations. Today, the P&I
clubs between them insure the liabilities of some 95% of the world’s ocean going tonnage.
The P&I clubs provide cover for a shipowner’s liabilities, not the fabric of the ship itself. The risks
covered will usually include:
• Death and personal injury of:
o seamen;
o passengers; and

Module 1: Introduction to Marine Surveying 63

 o third parties.
• Liabilities in respect of stowaways or persons saved at sea.
• Liabilities arising from collisions.
• Liabilities arising from groundings.
• Liabilities arising from damage to fixed and floating objects.
• Liabilities arising from pollution.
• Liabilities arising from wreck removal.
• Liabilities arising from towage operations.
• Liability to cargo.
• Together with other legal and other costs associated with dealing with these claims.

P&I clubs operate as a mixture of an insurance company, a law firm and a loss adjuster. This means
that a club should be able to assist a shipowner in dealing with every aspect of a casualty from
finding experts and contractors to deal with the immediate casualty through to legal advice and
paying claims. The P&I club exists in order to help the shipowner and pay his liability claims.

Almost always the shipowner and his club will work together in order to solve the problems and it is
very rare that a club will be in dispute with a shipowner over cover.

However, P&I clubs are principally liability underwriters and they work on a mutual basis. That is to
say that they do not make a profit and only charge their members for the costs of insuring their
liabilities the principal exception is that they may also insure the fourth of any hull damage not
covered under the hull policy.

As they work on a mutuality basis it is important that when they consider accepting a new member
they owe it to the other club members to be satisfied that they are entering a shipowner who can be
expected to maintain or raise the standard that is expected of the other members.

A P&I club is, therefore, particularly interested to learn how the prospective new member runs his
ship. The hull condition is clearly important, but the condition and safe operation of the equipment
and the owner’s housekeeping standards, are the main concern.

The standard of training of the crew is also an important consideration.

Those who have studied the Prestige incident will know the potential for causing environmental
pollution is receiving increasingly close scrutiny and such precautions such as the phasing out of
single-hulled tankers are one example of the direction which this is taking.

It was the P&I club that raised the enormous bail required to release the master of the Prestige from
prison whilst awaiting trial. Because of the enormous costs associated with oil and chemical spills
P&I club surveys are concerning themselves more than ever with this aspect.

The survey required has an emphasis on the vessel’s potential to create liabilities and is in general
more extensive than that which will satisfy the “on/off-hire” requirement of owners and charterers.

Directed Learning

• List the types of commercial surveys that an independent surveyor may be required to
undertake and in each case, suggest who are likely to be the principals.

Module 1: Introduction to Marine Surveying 64

12. WHEN THINGS GO WRONG

Learning Outcomes
On successfully completing this chapter, you will be able to:
• Understand insurance cargo loss surveys.
• Describe the requirements of damage and repair surveys.
• Appreciate and discuss accident investigation surveys.

12.1 Introduction
In the previous chapters, we have discussed surveys that are carried out hopefully to ensure that the
voyage is safe and the authorities, the shippers and the shipowners are all satisfied. Unfortunately, it
does not always work out that way and marine surveyors will find themselves involved in trying to
sort out the situation.

Figure 27: A Container Ship Arriving in Port following Bad Weather (2015)

In Figure 27 above, you will see a not too rare situation of a container ship arriving in port after bad
weather. Here, we have damaged containers and possibly some containers lost overboard. The
marine surveyors will be seeking to advise the underwriters on what went wrong.

12.2 Insurance Cargo Loss Surveys

Surveys on ships and cargo which have suffered damage or loss constitute a prolific source of work
for surveyors.

When claims are made on underwriters the principal facts about which they need to be satisfied are
that the subject matter of the insurance has been damaged in the manner and to the extent claimed.

Module 1: Introduction to Marine Surveying 65

That it has been caused by an insured peril and that, where the claim is for the costs of repair, that
repair costs are reasonable.

Underwriters need to be satisfied of these facts so that:

• in the first instance, they can meet the claims of their assured where appropriate; and
• in the second, that they are justified in pursuing recoveries under subrogation against some
other party who may have a liability for the loss or damage.

Marine surveyors of almost all specialisations become involved in these claims and are almost always
required to provide a report. In presenting their report, which is partly a certificate of fact but which
often also contains carefully considered opinion, they may have to be prepared to stand by it under
cross examination later in court.

In addition to reporting on the usual three requirements of “nature, cause and extent”, surveyors will
generally be required also to advise the assured-on mitigation of the loss and will be expected to
indicate in the report the extent to which the claimant has carried this out.

On occasion, marine surveyors with extensive marine insurance knowledge are asked by
underwriters to comment on the underwriters’ liability and adjust the claim under a policy, also
possibly advising on third party liabilities and initiating recoveries.

However, this is outside the normal extent of a surveyor’s role and these additional matters should
only receive attention if specific instructions are received to do so.

12.2.1 Verification of Damage/Loss

Loss can be total or partial and the nature of it can vary considerably. It may result from non-delivery
(theft, pilferage etc), involve damage arising by mechanical means (impact, for example) or chemical
deterioration due to wetting or contamination by some substance.

The nature of the loss or damage needs to be investigated and confirmed. The report, supported
where possible by photographs, needs to “paint a picture” for the underwriter who must be assisted
to understand as much as possible about the circumstances giving rise to the claim.

12.2.2 Investigation of Cause

Although in most cases the causes of damage may be perfectly obvious and present the surveyor
with little or no difficulty in explaining them, there will be occasions when a surveyor is faced with a
really difficult case for investigation. Quite often, this will require support from other experts and
will require some real detective work to find the cause of loss or damage.

The cause may be obscure and there may be more than one cause, in which case each has to be
investigated and given its appropriate weight. Inherent vice, when applicable, will be an important
cause to ascertain and if damage has occurred prior to the probable attachment of the transit policy,
or subsequent to it, this fact will also be important to determine.

It is, therefore, essential that the surveyor is very clear about the client’s specific requirements
before carrying out the survey or time may be wasted and a client left less than satisfied with the
service provided – even if this was because the client’s specification was loose or misleading.
The difference between fact and opinion can be fine and often depends upon the source of the
information; the surveyor may well need to decide whether a crew member’s opinion about the

Module 1: Introduction to Marine Surveying 66

vessel’s condition or an event qualifies as fact or speculation. Having stated that the surveyor’s
report should be factual, the surveyor should also be assiduous in collecting all the information and
evidence that there is available and from as many sources as reasonably practicable.

Thus, the surveyor needs to list carefully all the potential sources of information which may be
available and to prioritise them in terms of relevance, availability and accessibility. This applies to
both:
• hard evidence, such as technical facts, documentation, measurements etc; and
• soft evidence from interviews and observation.

Since all information has a value, in certain circumstances the surveyor may find it advantageous to
make a shadow report to the formal, factual report which contains additional information of a less
factual nature which is for his personal use and which can be particularly useful if the investigation
has to be resumed at a later date.

Since the basis of a survey is fact, it is worth noting again that, even in a contentious situation, such
as after an accident or when in dispute, the basic facts can be recorded jointly by both surveyors
without prejudice to either party, saving considerable time and effort on behalf of all concerned.
Sometimes the marine surveyor will be unable to do more than give a carefully considered opinion as
to the cause based upon all the evidence available. It may be necessary to state that there is no
conclusive evidence as to cause and that, in the surveyor’s opinion, the loss or damage has resulted,
on the balance of probabilities, from some particular event or other.

Occasionally, the surveyor may have to advise the client that it has not been possible to offer any
reasonable explanation of cause and, in this case, the underwriter will have to decide on how to
respond to a claim, possibly giving the benefit of the doubt to the assured or alternatively taking the
view that the assured has failed to discharge its onus of proof, for this onus generally rests with the
claimant to establish.

The importance of the surveyor carrying out a careful investigation as to the cause of loss is obvious.
In these cases, the underwriter and ship/cargo owner may reach an agreement on the payment of
the claim in part rather than in full.

12.2.3 Consideration of Repairs and Costs

When there is a genuine claim under the policy then the underwriters may require a surveyor to see
that the quantum of the claim is justified. Where repairs are required the question can then arise as
to the most appropriate method of repair as well as the basic consideration that the costs must be
reasonable.

Marine surveyors that deal with hull and machinery are usually well-versed in the discipline relating
to ship repairs and may experience little difficulty in providing recommendations for repair and
probably for reasonable repair costs if the repairs are to be carried out in the ports in which they
normally operate.

However, cargoes are of such a diverse range that cargo surveyors can only expect to bring expertise
to bear on certain types of cargoes in which they may have specialist knowledge.
Sometimes, this can present surveyors with a problem and they become dependent upon obtaining
the services of independent experts if the likely quantum of claim is sufficient to warrant it;
otherwise they have to rely upon their own judgment and enquiries.

Module 1: Introduction to Marine Surveying 67

Experienced surveyors usually find, by carrying out some diligent research, that they are able to
satisfy themselves whether a repair cost or allegation as to depreciation is realistic or not.
To summarise the following list is an outline of the matters to which in general surveyors should
direct their observations and enquiries, including their findings in their reports. Some details will
obviously apply to hull or cargo claims but perhaps not to both:
• Name of instructing party, dates of instructions, places and dates of surveys.
• Names of those attending surveys and whom they represent.
• Description of the interest surveyed.
• The nature, extent and cause of loss or damage (in the case of hull claims, “the extent” may
need to be very fully detailed to enable others to consider likely repair costs).
• Steps taken to mitigate the loss or damage.
• Cargo only:
o Shipping marks and numbers.
o Transit history – places and dates of loading, stuffing, devanning, delivery etc.
o Carriers’ names and conveyances.
o Damage noted when goods changed hands.
o Details of packaging and whether customary.
o Whether pro forma claims have been made on carriers.
o Documents, i.e. shippers’ invoices, bills of lading etc.
o Sound market value of damaged goods.
o Proposed method of determining the loss, i.e. agreed depreciation, sale in damaged
condition, sale at auction (if sold prior to completion of the report, details of the
proceeds and costs to be shown).
• Hull only:
o Whether repairs are to be proceeded with or deferred.
o Detailing of repairs associated with alleged cause and those which are not owner’s
repairs.
o Recording dates/times of commencement and completion of repairs.
o Recording dates of previous dry docking and of any dry docking associated with
these repairs.
o Extent to which overtime worked reduced the time taken for casualty repairs.

Preliminary reports, which may be required by underwriters but which are not normally public
documents, should show estimates of costs for loss or damage.

12.3 Damage and Repair Surveys

Damaged ships have to be repaired in a manner that satisfies the classification society so as to
ensure the continuity of the class certificate and also the statutory requirements. Classification
society and administration surveyors attend as soon as possible after a casualty in order to
determine if repairs are required.

In many cases, the classification society will be delegated by the flag authority to act on their behalf,
one surveyor may then perform the joint classification and statutory surveys. It is not the role of
these surveyors to determine how repairs will be performed but it is to assess the repair proposal
put forward by the owner or the owner’s representative.

A surveyor usually then attends from time to time during the course of repairs to ensure satisfactory
workmanship and materials are employed and that the repair satisfactorily restores the vessel to a
condition which meets with the classification and statutory requirements.

Module 1: Introduction to Marine Surveying 68

It should also be recalled, however, that neither the classification society surveyor nor the flag
administration surveyor are responsible for quality standards of repairs. Quite distinct from these
routine surveys are those which become necessary following a casualty.

Figure 28: Gdynia (2014)

In May 2003, the Polish container ship, Gdynia, was in collision with Cosco bulk carrier, Fu Shan Hai,
which later sank offshore Denmark, in the Baltic Sea.

The underwriters will also have particular interest in ascertaining the cause, nature and extent of
damage or loss for which they are being called upon to indemnify their assured following a casualty.
They will normally instruct an independent surveyor but it is not uncommon for them to request that
the owners provide a copy of the class surveyor’s report for their review.

The marine surveyor will draw up a full schedule of all the damage sighted, detailing its nature and,
its extent. The independent surveyor may recommend the method of repair or replacement
whereas the classification surveyor will simply request repairs. They usually then report this in two
columns as:
• “found”; and
• “recommended”.

In practice, the recommended repair is the result of consultation and usually agreement, with the
ship’s representative and/or underwriter’s surveyor.

Where it is unlikely that the case will require a legal investigation or settlement of damages, the
marine surveyor should bear in mind that the survey report will ultimately be used by an average

Module 1: Introduction to Marine Surveying 69

adjuster. This adjuster will rarely have seen the damage and will be totally reliant upon the
surveyor’s eyes and observations.

The report must, therefore, be constructed after survey with this clearly in mind, giving all the
information required to enable an adjustment of any claim, General Average (GA) or Particular
Average (PA), to be drawn up, often several years later.

A marine surveyor who is called upon to carry out this type of survey for the first time may be well-
advised to study a major hull damage particular average adjustment to see how adjusters handle the
various expenses.

This will assist surveyors in learning exactly the sort of information required in the survey report. The
rules of practice of the Association of Average Adjusters, although principally concerned with general
average also give some guidance on how the adjuster considers repair costs in particular average
claims.

12.4 Accident Investigation Surveys

Later in this course, you will find some interesting concepts as to how to go about investigative
surveys. For the moment we need to be aware that these surveys involve careful questioning of
parties involved and often a very full and thoughtful investigation to uncover the fundamental causes
of a casualty.

Figure 29: Alexia and Enif (2015)

In 1995, the bulk carrier, Alexia and the general cargo vessel, Enif, collided off the Mississippi.
The obvious cause of damage may, for example, be collision itself but what needs to be investigated
is the reason the collision occurred. It may be readily apparent that one or both vessels turned the
wrong way or did something else which ultimately brought it about, but these reasons would only be
the obvious and immediate ones. There will almost certainly be very much more deep-seated
explanations than simply that one or both masters misjudged or misinterpreted the situation
immediately prior to the collision.

Module 1: Introduction to Marine Surveying 70

One practitioner in health and safety management believes the deeper you investigate an accident
the higher up the management chain the responsibility lies. This may be so but a full investigation
may unearth much more fundamental reasons relating to the running of one or both of the ships,
such as chronic fatigue on the part of a pilot or master, or failure of the bridge team as a whole to
work together cohesively.

Other reasons may include:

• mechanical failure;
• control failure; or
• numerous other technical reasons.

This may mean that criticism should rightly be directed further afield at the owners as well as the
master or crew. There may be a need for changes to the manning or the officers’ work pattern, or a
need for Bridge Resource Management (BRM) training. These are the sort of answers to which good
accident investigators aspire.

To achieve them it will almost certainly be necessary to inspect records of events, both those leading
directly up to the casualty and those sometime before them.
The principal records to which the surveyor may need access are:
• Bridge and engine room log books.
• Bridge and engine bell (or telegraph) book.
• Course recorder chart (if fitted).
• Chart in use at the time with record of ship’s track and positions.
• Radar plots.
• VHF logs of shore stations if in the vicinity.
• Compass observations record.
• Ship manoeuvring diagrams and data.
• Medical records (and a reconstruction of the work pattern of crew involved).
• Chain register.
• Stability data.

In the collision example pictured above in Figure 16, a survey of the ship would almost certainly
involve an inspection of the bridge, a check upon the view from it (obstructed visual and radar arcs),
operating condition of relevant equipment, a check on whether any deck lighting (if at night) might
have obscured the other vessel’s vision and an inspection of all the above records.

A formal questioning of crew involved, culminating in written statements from them, would follow
and then a careful consideration of all the facts, without jumping to unsupported conclusions, would
lead to the surveyor’s report being prepared.

The report would include:

• the facts;
• breaches of any regulations involved;
• the surveyor’s conclusions as to cause; and
• finally, recommendations.

These investigations are primarily carried out to satisfy statutory requirements or for insurance
related purposes. In either case they tend to be, but are by no means always, carried out by nautical
surveyors. If they only involve machinery the probability is that the investigating surveyor will be an
engineer surveyor.

Module 1: Introduction to Marine Surveying 71

In November 1997, IMO approved a Code for the Investigation of Marine Casualties and Incidents
under Resolution A.849(20). It is primarily intended for use by flag states conducting these
investigations so as to introduce a standard approach. Subsequently, in 1999, Resolution A.884(21)
amended it by adding useful guidelines concerning human factors which have had a significant
influence in marine casualties.

Today, the Casualty Investigation Code Parts I and II are mandatory requirements which fall under
IMO Resolution MSC.255(84) – “Adoption of the code of international standards and recommended
practices for a safety investigation into a Marine Casualty or Marine Incident (The Casualty
Investigation Code).

Knowledge of their contents could prove useful to all who conduct inquiries of this nature.

12.5 Third Party Liabilities

The underwriters will call on accident investigations in anticipation of a civil case for damages being
brought by one or more parties.

These investigations are usually required to determine which parties may have a liability to others
and will arise regardless of whether there has been any breach of statutory duty. They are also
separate from damage surveys required to determine the costs involved, although they may be
carried out by the same surveyors if they possess the dual skills.

Investigations into third party liabilities, beyond the customary basic requirement that particularly
accompanies a cargo survey, will often be conducted by marine surveyors, especially those with
sound legal knowledge.

This can frequently enable an underwriter, having met a claim under subrogation, to recover from
the party who was responsible for the damage. Many such surveys are carried out in association
with marine lawyers appointed by principals to work with their surveyors.

12.6 Investigation by Administrations

A serious casualty will usually require a formal investigation which by international convention is
usually the responsibility of an organisation appointed by the flag state of the ships involved.
However, it is not unusual for a coastal state to hold an investigation, particularly when it has
suffered from the incident such as in the pollution of its coastline.

Casualties normally requiring an investigation are stranding, collision, foundering, fire, accidents with
dangerous goods in transit and so on. Another prolific source of investigations associated with ships
and ports today involves personal accident, safety and health.

These may involve P&I club surveyors. Government labour inspectors and medical officers are often
involved too, but these persons are not normally seen as being marine surveyors. Accident
investigation surveys are frequently a statutory requirement for two key reasons which are to
consider:
• firstly, the cause of the accident; and
• secondly, the steps that can be taken to avoid a similar mishap in future.

A further reason may be to determine whether a breach of regulations may have occurred and, if so,
what penalties should be imposed (including possible prosecution).

Module 1: Introduction to Marine Surveying 72

There may be more than one government department or agency involved in these investigations. In
some countries only one may be involved in carrying out the investigation for both considerations,
thereby acting as both the investigatory and the regulatory body. In the UK, there are two separate
agencies:
• The UK Marine Accidents Investigation Branch (MAIB) has almost unique legal status in that
any information it receives cannot be used in a court of law. The idea is to seek ways of
learning from incidents rather than pointing a finger of blame.
• On the other hand, the Marine and Coastguard Agency has the legal obligation to act as the
prosecutors where the law has been broken.

In order to fully appreciate the terminology used by flag administrations and their appointed
investigator’s in marine investigations, we can quote the IMO Casualty Investigation Code which
states:

“A marine casualty means an event, or a sequence of events, that has resulted in any of the following
which has occurred directly in connection with the operation of a ship:
• The death of, or serious injury to, a person.
• The loss of a person from a ship.
• The loss, presumed loss or abandonment of a ship.
• Material damage to a ship.
• The stranding or disabling of a ship, or the involvement of a ship in a collision.
• Material damage to marine infrastructure external to a ship that could seriously endanger the
safety of the ship, another ship or an individual.
• Severe damage to the environment, or the potential for severe damage to the environment,
brought about by the damage of a ship or ships.”
And:

“A marine incident means an event, or sequence of events, other than a marine casualty, which has
occurred directly in connection with the operations of a ship that endangered or, if not corrected,
would endanger the safety of the ship, an individual or the environment.”
The above defines the situations which would trigger an investigation by the statutory bodies (note
that shipowners, cargo owners, underwriters etc will also appoint a surveyor to perform
investigations other than these).

Directed Learning

• Is there a difference between a surveyor carrying out an accident investigation and being an
expert witness?

Module 1: Introduction to Marine Surveying 73

13. CONCLUSION
Having completed this module your general knowledge of the marine industry and in particular the
various types of survey which a marine surveyor may be called upon to perform, will be sufficient to
competently discuss these issues during the forthcoming modules.

It will now be clear from this introduction that the industry in which marine surveyors operate is both
complex and dynamic.

The marine industry is a multinational and multi-cultural industry which continues to grow, develop
and evolve in many ways. This leads to the position of the marine surveyor being what can be simply
described as interesting, challenging and of great responsibility.

14. REFERENCES
• [Link]
• Equasis Statistics – The World Fleet
• [Link]
• [Link]

Module 1: Introduction to Marine Surveying 74

© Copyright IIR Limited 2018. All rights reserved.

These materials are protected by international copyright laws. This manual is only for the use of course participants undertaking this
course. Unauthorised use, distribution, reproduction or copying of these materials either in whole or in part, in any shape or form or by any
means electronically, mechanically, by photocopying, recording or otherwise, including, without limitation, using the manual for any
commercial purpose whatsoever is strictly forbidden without prior written consent of IIR Limited.

This manual shall not affect the legal relationship or liability of IIR Limited with, or to, any third party and neither shall such third party be
entitled to rely upon it. All information and content in this manual is provided on an “as is” basis and you assume total responsibility and
risk for your use of such information and content. IIR Limited shall have no liability for technical errors, editorial errors or omissions in this
manual; nor any damage including but not limited to direct, punitive, incidental or consequential damages resulting from or arising out of
its use.

Lloyd's and the Lloyd's Crest are the registered trademarks of the Society incorporated by the Lloyd's Act 1871 by the name of Lloyd's.

Module 1: Introduction to Marine Surveying 75