1 Introduction
Chapter 6 of 'the Agreement of 03 April 2014 between the Administration of the Netherlands and Recognised Organisation (RO), governing the authorisation of statutory survey and certification services of ships registered in the Netherlands, flying the flag of the Kingdom of the Netherlands and classed by RO' (further: the Agreement) arranges specific requirements on interpretations, equivalents and exemptions. As final approval of equivalent arrangements, exemptions or temporary non-compliance is the prerogative of the Administration, there was a need to further specify the details on these issues in case of existing ships, flagging in and new building.
Furthermore, article 5.4 (and 6.8) of the Agreement regulates procedures if an existing ship is found to be substantially not in accordance with the particulars of its certificates or to be such that the ship is not fit for navigation without danger to the ship, those on board, those ashore, to other ships, or to the marine environment. This Instruction to the Recognised Organisation (further: Instruction) gives relevant information with regards to the interpretation on the wording 'substantially not in accordance with'.
This Instruction provides detailed procedures and conditions on:
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the approval of equivalent arrangements, exemptions or temporary non-compliance;
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the issuance of certificates, short term or long term, for the approval of equivalent arrangements, exemptions or temporary non-compliance; and
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the requirements for reporting on this matter.
Reference is made to Annex I of this Instruction ('Report concerning non-compliance'), which is to be used for all non-compliant cases, as instructed in this Instruction.
2 Items to be considered substantially not in accordance with its certificates
Resolution A. 1155(32) - PROCEDURES FOR PORT STATE CONTROL, 2021 (appendix 2, chapter 5 'Detainable deficiencies) forms the basis on which the NSI interprets the concept of substantially not in accordance with its certificates. This list indicates examples of items to be reported to the NSI and dealt with before the ship is allowed to proceed to sea. The items in this list must be reported to the NSI. Depending on the area the item falls under, the measures are taken by the NSI or by the RO. Each item must be settled before the ship is allowed to proceed to sea. However the list is not exhaustive. Any item not on the list but deemed not in accordance with the ships certificates shall be brought to the attention of the NSI.
3 Dealing with deviations
In case a ship is found to be substantially not in accordance with the particulars of its certificates or to be such that the ship is not fit for navigation without danger to the ship, those on board, those ashore, to other ships, or to the marine environment, the RO surveyor concerned shall immediately make sure that the necessary measures are taken to rectify the defects before departure. If such rectifying measures are not taken, RO shall, after consultation with the NSI, withdraw the certificate involved on behalf of the NSI.
If temporarily, the requirements of an applicable instrument cannot be met under particular circumstances, the RO shall consult the NSI prior to accepting such measures or supplementary equipment specified by the shipowner, as may be available to permit the ship to proceed to a suitable port where permanent repairs or rectification can be effected or replacement equipment fitted.
The way the deviation of its statutory requirements is dealt with is described in paragraphs 3.1 to 3.3. In those cases the procedure as indicated in paragraph 4 shall be followed.
3.1 Deviation where the issuance of an exemptions is mandatory
Several International Conventions1 or Codes require mandatory issuance of exemption certificates for certain provisions. For these type of exemptions the NSI has the obligation to report these to the IMO. In case this reporting requirement is set by the Convention or Code, this shall be correctly reflected by the RO on the Annex I form.
Note that in case a registration number is provided in GISIS, this shall be referred to on the certificate. However, in case a registration number is provided in GISIS after issuing of the certificate, it is not necessary for the RO to re-issue the certificate; but instead the reference is to be stated on the certificate with the renewal of the certificate.
3.2 Equivalents (as mentioned in the regulatory framework)
If an equivalent arrangement is requested or foreseen, the NSI will (according to the information and the procedure under paragraph 4) review the well-founded proposal preferably in a format specified by the IMO. If approved, the NSI will, according to the procedure as mentioned in SOLAS regulation I/5 (or other relevant instrument), submit the equivalent arrangement, via its policy department, to the IMO/EU. The IMO/EU will then circulate such particulars to the other Contracting Governments as a circular.
The equivalent arrangement should be recorded in the related certificate and a copy of the arrangement shall be attached to the certificate (in case the equivalent arrangement concerns an SLS circular or in GISIS reported equivalent, it suffices to reference the number of the Circular or GISIS-number in the certificate, although a copy may be attached).
3.3 Other deviations
3.3.1 ISM/ISPS
According to article 5.5 of the Agreement, a major non-conformity (ISM) (as referenced in IACS PR9 (ISM)) or a major non-conformity/major failure (as referenced in IACS PR24 (ISPS)) shall be reported to the NSI immediately. The NSI will determine, on a case-by-case basis, the procedures to be followed.
3.3.2 Other statutory items
Deviations from statutory instruments, other than ISM/ISPS or items covered under 3.1, shall be documented by an exemption, short-term certificate, conditional certificate or by an outstanding recommendation, condition, statutory deficiency. Aforementioned is also applicable for exemptions (requested for ships that due to their specifics are) not subject to one or more of the International Conventions. In case of an exemption from national requirements where a separate exemption certificate is not required, this shall be incorporated in the related certificate cross-referencing the related article.
For the purpose of this paragraph, reference is made also to the Instruction to Recognised Organisations no. 07 - Exemptions permitted to be issued by the Recognized Organization without prior consultation of the NSI, were several non-compliant items with conditions has been covered and instructed already. In such cases, ItoRO no.07 shall prevail on this Instruction.
3.3.3 Class items
As indicated in article 2.6 of Annex II to the Agreement, the RO shall inform the NSI without delay if a ship has been declassed, class suspended or withdrawn and in case of suspension of the relevant class notation (including changes to class notations that have an effect on statutory items, e.g. change of unmanned machinery space notation).
With reference to IACS Procedural Requirement for Transfer of Class PR1A, paragraph A.4.1, the IACS TOC requirements are exactly the same regardless of situation where ship's class is suspended or for 6 months after a ship's class withdrawal. However since article 10.5 of Regulation EC No 391/2009 requires that the NSI must have opportunity to give its opinion whether full inspection is necessary in case of TOC for safety reasons, the gaining RO shall have to submit a non-compliance report in such cases.
4 Procedure to be followed
If the ship does not comply with the Netherlands' applicable rules and regulations, the RO shall:
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For conditions found substantially not in accordance with its certificates or other need for an exemption, equivalent arrangement or similar course of action:
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Require the ship owner (or ship yard in case of new building / modification) to submit a well-founded proposal to the RO for consideration;
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Process the request and make any necessary review and acceptance (such as plan approvals) before forwarding its well-founded recommendation (including all relevant documentation calculations etc.) and suggested conditions to the NSI;
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Submit the well-founded proposal (including any recommendation for issuance of an exemption, equivalent arrangement, short term etc.) accepted by the RO for approval to the NSI via the Netherlands branch office of the RO making use of the form contained in Annex I2;
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Act on the NSI's instruction (agreement or rejection or additional instruction); and
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For exemptions to be reported to the IMO or EU, the RO is requested to forward the definitive exemption certificate or other relevant document issued to the ship (including a copy of the formal agreement by the NSI) to nsi-tez-kv@ilent.nl.
For reporting the class items which have an effect on statutory items (e.g. change of unmanned machinery space notation), the form contained in Annex I shall also be used.
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For deviations found substantially in accordance with its certificates:
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Verify that the minor deficiency (such deviations do not need to be reported to the NSI) is corrected within a suitable time period specified by the RO.