Section 3.2 Classification Society Surveys and Records

While statutory certificates confirm compliance with international conventions primarily related to safety and pollution prevention as mandated by Flag States, the “Class” of a vessel refers to its compliance with the technical rules and standards established by a Classification Society. These societies are independent, non-governmental organizations dedicated to promoting the safety of life, property, and the natural environment, primarily through the development and verification of standards for the design, construction, and maintenance of ships and offshore structures. For a bulk carrier, maintaining its Class is fundamental to its operational legitimacy, insurability, and often its charterability.

1. Role and Purpose of Classification Societies:

  1. Setting Technical Standards (Rules): Classification societies develop and publish comprehensive technical rules covering a ship’s hull structure, machinery systems (propulsion, auxiliary engines, steering gear), electrical installations, and essential materials. These rules are based on extensive research, experience, and engineering principles, and are continually updated to reflect technological advancements and lessons learned from maritime incidents.
  2. Verification of Compliance through Surveys: The primary mechanism for ensuring a vessel meets these rules is through a rigorous regime of surveys conducted by qualified surveyors employed by the society. These surveys occur throughout the ship’s life, from construction to scrapping.
  3. Independent Assessment: Classification societies provide an independent, third-party assessment of a vessel’s structural and mechanical fitness. This impartial verification is crucial for various stakeholders.
  4. Recognized Organizations (ROs): Many Flag State Administrations do not have the extensive technical resources to conduct all statutory surveys themselves. They therefore authorize reputable Classification Societies to act on their behalf as “Recognized Organizations” (ROs) to conduct statutory surveys and issue (or recommend the issuance of) statutory certificates. This delegation is governed by formal agreements and oversight by the Flag State.
  5. Importance for Insurance and Chartering: A vessel “in Class” with a reputable society is generally a prerequisite for obtaining hull and machinery insurance. Underwriters rely on Class status as an indicator of the vessel’s condition and adherence to recognized standards. Similarly, charterers often require a vessel to be in Class with a member of the International Association of Classification Societies (IACS) as a condition of charter.
  6. International Association of Classification Societies (IACS): IACS is an organization composed of the world’s leading classification societies. It works to promote high standards of safety and pollution prevention by ensuring its members adhere to common technical standards, quality management systems, and codes of ethics. Membership in IACS is a hallmark of a society’s credibility and global recognition. Major IACS members include Lloyd’s Register (LR), American Bureau of Shipping (ABS), DNV (Det Norske Veritas), Bureau Veritas (BV), Nippon Kaiji Kyokai (ClassNK), Korean Register of Shipping (KR), China Classification Society (CCS), RINA (Registro Italiano Navale), etc.

2. Classification Surveys:

Maintaining Class requires the vessel to undergo a systematic program of periodical surveys, as well as occasional surveys when specific circumstances arise.

  1. New Building Surveys:
    1. Conducted during the entire construction process, from approval of plans and material testing to supervision of fabrication, assembly, installation of machinery and equipment, and final sea trials. This ensures the vessel is built in accordance with the society’s rules and approved plans.
  2. Admission/Entry into Class Surveys:
    1. For existing ships that are changing their Classification Society or for ships that were not previously classed and wish to enter Class. This involves a comprehensive survey to ascertain the vessel’s condition and compliance with the new society’s rules.
  3. Periodical Surveys (for Maintaining Class): This is the ongoing cycle of surveys that a classed vessel must undergo.
    1. Annual Surveys:
      1. Conducted within a window of +/- 3 months of the Class anniversary date.
      2. A general examination of the hull, machinery, and equipment to confirm that the vessel is being maintained in a satisfactory condition in accordance with Class rules. This includes checking the overall condition, operation of essential systems, and reviewing records of maintenance.
    2. Intermediate Surveys:
      1. More extensive than an annual survey, typically conducted between the second and third anniversary dates of the Class certificate.
      2. For bulk carriers, specific requirements of the Enhanced Survey Programme (ESP) apply, involving closer examination of ballast tanks, cargo holds, and potentially thickness measurements in suspect areas.
    3. Special Surveys (Class Renewal Surveys):
      1. The most comprehensive survey, conducted every five years to renew the Certificate of Classification.
      2. Involves an in-depth examination of the vessel’s structure, including extensive hull thickness measurements (gauging) in numerous predefined locations to assess corrosion and wastage. All cargo holds and ballast tanks are typically required to be internally examined.
      3. Machinery is opened up for inspection (e.g., main engine components, auxiliary engines, pumps, coolers).
      4. Piping systems, electrical systems, and safety systems are thoroughly checked.
      5. ESP requirements are particularly stringent for bulk carriers during Special Surveys, demanding detailed planning, access arrangements, and close-up surveys of critical structural areas.
    4. Dry-Docking Surveys (Bottom Surveys):
      1. Involves docking the vessel so that the underwater hull and appendages can be examined.
      2. Typically required twice in each five-year Class period. The interval between consecutive bottom surveys usually does not exceed 36 months.
      3. Includes inspection of shell plating, rudder, propeller, sea chests, bilge keels, and tailshaft clearance measurements.
      4. One of the two bottom surveys in a five-year cycle may, under certain conditions and for specific ship types/ages, be replaced by an In-Water Survey (IWS) conducted by approved diving companies using techniques like CCTV. However, for older bulk carriers or those with known issues, a full dry-docking is usually preferred or mandatory.
    5. Tailshaft Surveys:
      1. Regular inspection of the propeller shaft (tailshaft) to detect wear, corrosion, or cracks. The method and interval (e.g., withdrawal of the shaft, or non-destructive testing in situ) depend on the shaft design, lubrication system (oil or water lubricated), and Class rules. Typically every 5 years, often coinciding with a Special Survey or dry-docking.
    6. Boiler Surveys:
      1. Main and auxiliary boilers are surveyed internally and externally, including safety valve testing, typically every 2 to 2.5 years.
  4. Damage and Repair Surveys:
    1. If a vessel sustains damage (e.g., from collision, grounding, heavy weather, or machinery breakdown) that may affect its Class, the Classification Society must be notified immediately.
    2. A surveyor will attend to assess the extent of the damage, approve the proposed repair procedure, and inspect the repairs upon completion to ensure they are carried out to Class standards. Unauthorized or improper repairs can jeopardize Class.
  5. Voyage Surveys / Occasional Surveys:
    1. May be requested by the owner or required by the Class society for specific reasons, such as before a particularly arduous voyage, after a period of lay-up, for approval of modifications to the ship’s structure or equipment, or for investigating a reported defect.
  6. Enhanced Survey Programme (ESP) for Bulk Carriers:
    1. Context: Introduced by IACS in response to a high number of bulk carrier losses in the late 1980s and early 1990s, many attributed to structural failure. ESP requirements are incorporated into SOLAS Chapter XI-1.
    2. Focus: Places increased emphasis on close-up surveys (visual examination within arm’s length) of critical structural areas, particularly cargo holds, ballast tanks (especially topside and hopper tanks), hatch covers, and coamings.
    3. Thickness Measurements (Gauging): Mandates extensive thickness measurements of hull structures at Special Surveys and, to a lesser extent, at Intermediate Surveys, to monitor corrosion and wastage.
    4. Survey Planning: Requires the owner to prepare a detailed Survey Planning Document or complete a Survey Planning Questionnaire in advance of Special and Intermediate Surveys, outlining the proposed scope, access arrangements, and tank conditions. This is reviewed by the Class society.
    5. Access Arrangements: Safe and adequate access (e.g., staging, rafting, hydraulic arms, proper lighting, ventilation) for surveyors to conduct close-up examinations and thickness measurements is crucial and the owner’s responsibility.
    6. Survey File: A dedicated file containing reports of structural surveys, thickness measurements, and records of repairs must be maintained onboard and presented to the surveyor.

3. Classification Records and Documentation:

Proper documentation is key to tracking a vessel’s Class status and history.

  1. Certificate of Classification (Class Certificate):
    1. The primary document issued by the society, confirming that the vessel, as of the date of the last survey, was found to be in compliance with its rules.
    2. States the Class notations assigned to the vessel.
    3. Validity is typically 5 years, subject to satisfactory completion of annual and intermediate surveys, which are endorsed on the certificate or an attached supplement.
  2. Survey Reports:
    1. After each survey, the attending surveyor issues a detailed report outlining the scope of the survey, findings, any measurements taken, tests conducted, and any repairs carried out or required. Copies are provided to the owner and kept in the society’s records and often onboard.
  3. Hull Survey Records:
    1. A comprehensive record of the vessel’s hull condition throughout its life, including initial scantlings, records of all hull surveys, detailed thickness measurement reports (gauging reports), locations and details of any structural damage and repairs, and information on corrosion prevention systems. The ESP Survey File is a key part of this for bulk carriers.
  4. Machinery Survey Records:
    1. Similar detailed records for main and auxiliary machinery, including survey findings, overhauls, repairs, and performance data.
  5. Conditions of Class (CoC) / Recommendations:
    1. If deficiencies are found during a survey that do not pose an immediate threat but need to be rectified to maintain Class, the surveyor will issue a “Condition of Class” (or “Recommendation”).
    2. This will specify the defect, the required corrective action, and a deadline for its completion (e.g., “by next dry-docking,” “within 3 months,” or “before sailing”).
    3. These are formally recorded by the Class society and tracked until cleared by a surveyor. Failure to address a CoC by its due date can lead to suspension or withdrawal of Class.
  6. Continuous Survey Systems (Hull – CSH / Machinery – CSM):
    1. An alternative to the traditional 5-year cycle for Special Surveys. Under a continuous survey system, various parts of the hull or items of machinery are surveyed on a rotational basis throughout the 5-year Class period, according to a pre-agreed schedule. This can help to spread the survey workload and potentially reduce time out of service.
  7. Class Notations:
    1. These are alphanumeric codes added to the main Class symbols (e.g.,✠A1, Bulk Carrier, ESP). They provide additional information about the vessel’s construction, equipment, or specific capabilities for which it has met Class rules. Examples include:
      1. ESP: Indicates compliance with the Enhanced Survey Programme.
      2. Ice Class: Denotes strengthening for navigation in ice.
      3. UMS (Unattended Machinery Space): For vessels approved for periodically unattended machinery spaces.
      4. Specific cargo notations (e.g., “Holds x, y may be empty,” or notations for specific dangerous goods).
      5. GRAB[X]: Indicates holds are strengthened for grab discharge, with X being the permissible grab weight.

4. Master’s Role and Responsibilities Regarding Classification:

The Master plays a crucial day-to-day role in ensuring the vessel remains “in Class.”

  1. Maintaining Vessel Condition: The primary responsibility is to ensure, through diligent oversight of the crew and implementation of the Planned Maintenance System (PMS), that the vessel’s hull, machinery, and equipment are maintained in a condition that complies with Class rules between surveys. Class status is not just about passing surveys; it’s about continuous compliance.
  2. Reporting Defects and Damages: Promptly report any damage, defect, or breakdown that could affect the vessel’s Class to the company and the Classification Society. This includes structural damage, machinery failures, or issues with essential safety systems. Attempting to hide defects can have severe consequences.
  3. Preparation for Surveys:
    1. Plan and coordinate survey preparations well in advance.
    2. Ensure safe access is provided for surveyors (e.g., holds clean and gas-free if required for entry, tanks prepared, staging or rafts available for close-up surveys as per ESP requirements).
    3. Have all relevant documentation ready (Class certificates, previous survey reports, ESP Survey File, maintenance records, logbooks, calibration records).
    4. Ensure all safety precautions are in place for survey activities.
  4. Facilitating Surveyor’s Work: Cooperate fully with the attending surveyor, provide requested information, and accompany them during inspections as appropriate.
  5. Addressing Conditions of Class: Ensure that any Conditions of Class imposed are clearly understood, that corrective actions are planned and executed within the specified timeframe, and that the Class society is notified for verification and clearance of the CoC.
  6. Maintaining Class Records Onboard: Keep all Class certificates, survey reports, and related documentation properly filed and accessible.
  7. Understanding Implications: The Master must understand that maintaining Class is vital for the vessel’s insurance, P&I cover, charter party compliance, and its ability to trade legally. A loss of Class can halt operations immediately.
  8. Liaison with Company: Maintain close communication with the company’s technical department regarding Class matters, survey scheduling, and rectification of defects.

Classification societies and the surveys they conduct are fundamental to the safety and structural integrity of bulk carriers. For the Master, a proactive approach to maintenance, transparent reporting, and thorough preparation for surveys are key to ensuring the vessel remains “in Class” and fit for its intended service. This, in turn, supports the broader goals of your consultancy, bulkersguide.com, by emphasizing best practices in vessel management and seaworthiness.

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