Master must ensure that all statutory, class and trading certificates are kept valid at all times.
Apart from above certificates, vessel will also maintain following below certificates in Master’s file.
- All other ancillary certificates including certificates of safety gears / installations, cargo gears, test-certificates for various ropes / wires / hawsers etc., builder’s certificates for hull, machinery and equipment.
- LSA / FFA certificates : In respect of safety items all wire rope test certificates for lifeboat falls, pilot hoists, gangway falls etc., CO2 Test Certificate, Fire Extinguisher Certificates, SCBA air bottle test Certificates, Resuscepac air bottle test Certificate, Halon spheres test Certificates,etc.
If the vessel has been issued with multiple load-line certificates, only the current certificate should be kept in certificates file / folder; non- applicable certificates should be kept away, secured in master’s custody.
In ports, where original certificates are given to local Agent / authorities for port formalities, Master must obtain a receipt from the concerned person and ensure that a photocopy of the relevant certificate is retained on board.
Vessel will be closely monitored to ensure that they are available and maintained valid at all times as applicable.
Expired certificates should be removed from vessel and discarded to avoid any confusion.
CLASS STATUS REPORTS :
This is to be sent to vessel by office on a monthly basis and to maintain an electronic copy on board.
Class survey status report available on board should be dated within 15 days from the date of any SIRE/ CDI inspection.
The Master must be aware of the due dates for inspections and surveys and ensure that the vessel is adequately prepared. Any defect found, which cannot be rectified by the vessel, must be brought to the attention of the Company in sufficient time to allow the work to be carried out before the survey.
The Master must ensure that sufficient crew is on board to assist the surveyor as required and that all crew are on board for safety drills. Surveyors & inspectors are to be treated courteously and given all practical assistance. The Master must ensure that a suitable record is maintained of all continuous survey items.
EXTENSION :
A postponement of the term of validity of a Statutory certificate, servicing interval, or Dispensation, in accordance with the provisions of the relevant Convention, due to extenuating circumstances encountered that prevent the crediting of a requisite task prior to the nominal due date. Extensions of servicing intervals in particular are referred to as “Service Extensions.” Extensions are also issued with time specific corrective action requirements compliance with which are reportable to the Administration by the expiration date.
If a ship at the time of a certificate’s expiry is not in a port where it is possible for it to be surveyed, the Administration may extend the period of validity of the certificate. However, this extension shall be granted only for the purpose of allowing the ship to complete its voyage to the port in which it is to be surveyed, and then only in cases where it appears proper and reasonable to do so.
While applying for Extension certificate, Flag/ class guidance has to be complied with. Validity of extension is dependent upon Administration. Vessel and office shall closely monitor to ensure that the new certificate is issued well before expiry date of extension certificate.
EXEMPTION :
An Exemption is a permanent release from compliance with a Statutory Convention requirement due to the existence of specific circumstances as sanctioned by the provisions of that Convention. The ‘Exemption Certificate’ is linked to, and retained with, its associated statutory certificate, and is issued by the Recognized Organization (RO) issuing that certificate under authorization from the Administration, which shall be in accordance with reference (e).
While applying for Extension certificate, Flag/ class guidance has to be complied with. Vessel and office shall closely monitor the condition of exemption basis which certificate has been issued. In case of the condition basis which exemption has been given is scheduled to be ceased, Vessel should liaise with office to remove the exemption certificate in time and update te records accordingly.
DISPENSATION :
A temporary allowance granted in writing (Dispensation Letter) by the Administration to permit a ship to proceed without being in full compliance with a specific Convention requirement due to mitigating circumstances preventing the immediate rectification of the subject deficiency. Dispensations are issued with time specific corrective action requirements; compliance with which are reportable to the Administration by the expiration date.
While applying for Dispensation letter, Flag/ class guidance has to be complied with. .Validity of dispensation is dependent upon Administration guidelines. Vessel and office shall closely monitor to ensure that vessel becomes fully compliant with specific Convention requirement for which dispensation was taken, well before the expiry date of dispensation letter and Flag/ class has to be informed accordingly.
ELECTRONIC CERTIFICATES
Electronic certificate (E-Certificate) is a certificate issued in an electronic format instead of the traditional paper format. A certificate under IMO is issued either by the Administration (Flag State) or its representative like a Recognized Organization (Class).
a) IMO initiatives:
Inline with IMO encouraging the use of modern information and communication technology, the Facilitation Committee (FAL) has agreed that E-certificates should be treated as equivalent to traditional paper certificates. FAL issued guidelines on the use of these certificates and has urged Member States to use Global Integrated Shipping Information System (GISIS) to provide their e-certification verification website information.
b) IMO Requirements:
E-Certificates should include the following features:
- Approved format
- Protection from unauthorized editing or modification
- Means of identification including Unique Tracking Number (UTN)
- UTN means a string of numbers, letters or symbols used as an identifier.
- Satisfactory means to indicate source of issuance
- Secured means of verification
- Validity and content should meet the relevant international convention or instrument.
- Websites for online viewing or verifying E-certificates should ensure security standards.
- Electronic certificates are to be controlled through ship’s safety management system.
- Electronic signatures should meet authentication standards, as adopted.
- Instructions for verifying the certificate information should be available on board the ship.
c) Compliance:
Below are a few of the techniques used by Administrations and Classification Societies to ensure compliance.
- Quick Response (QR) Code
- Unique Tracking Number (UTN)
- Certificate Number
- A digital signature
- Printable and visual symbols
- Ship ID and IMO number
- Verification facility in the website which is secured against security threats
- Printed version of E-Certificates is possible, when required.
The QR code, UTN along with Ship ID or IMO number are used for verification while Digital signature indicates that the certificate is protectedfrom unauthorized edits and modifications. Printable and visual symbols along with Unique tracking number and QR code confirm the source of issuance.
Scanned copies or any other electronic format of certificate issued by Class without a unique tracking number/code and standards as per FAL.5/Circ.39 are NOT to be treated as valid certificates.
A QR code will usually look like below:
A UTN can be either be stated as the Unique Tracking Number, Certificate Number,Tracking ID number etc. examples are given as below. These will usually be near the QR Code for easy identification
Class DNV-GL (Clearly Stating UTN)
Class NK (The section circled in red, preceded by tid or TID – Tracking ID Number)
MPA Singapore (The 1st three letters indicate the example is of a Wreck Removal Certificate)
d) Acceptance:
Flag State Administrations: Administration acceptance is a pre-requisite for issuing E-certificates.
Major flag states have authorized the issuance of E-Certificates by the Recognized Organizations. The list of Administrations that authorized issuance of E-certificates are available on the website of the respective classification society.
However,there is not much information available about the acceptance of such certificates in some countries. The authority may not accept the electronic certificates at the end of the inspection. Hence print a copy of thee-certificate and retain this in the certificate file with the authentication from Flag State
Class: Most Classes have started issuing E- Certificates on behalf of various Administrations.
Classes have made arrangements within their websites to verify authenticity of the certificates issued by them. This verification is done using any one or combination among QR code, UTN, Ship ID, IMO number, the Certificate Number,the Official Number and the Certificate issue date.
Port state control inspections: In line with the IMO guidelines, most Port State MoU countries including Paris MoU, USCG, AMSA China MSA and Tokyo MoU accept the E-Certificates as equal to their paper counter parts and issued necessary guidance to the inspectors, as per the Procedures for Port State Control, 2011 (resolution A.1052(27)), to accept them provided that onboard E-certificates comply with IMO requirements and means of verification is available and satisfactory. In case of doubt, the inspectors are advised to contact the flag state.
e) Benefits and disadvantages:
The introduction of E-Certificates is expected to benefit all stakeholders and managing, sharing, storing and verifying authenticity are relatively easy compared to paper certificates. Reduction in manual process, elimination of risk of certificate loss, elimination of forgery or fake certificates and reduction in administrative burden are a few of the benefits.
The disadvantage is that Ship systems are becoming ever more complex and increasingly controlled by software, and cyber security threats onboard ships continue to rise. Our Cyber Security Manual covers the risk arising from this threat.
