ItoRO no. 15 - Reporting and procedure for non-compliance

Date entry into force: 01 March 2021

1 Introduction

Chapter 5 of 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 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. 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 Administration, withdraw the certificate involved on behalf of the Administration. If temporarily, the requirements of an applicable instrument cannot be met under particular circumstances, RO shall consult the Administration prior to specifying such measures or supplementary equipment 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.

This Instruction to the Recognised Organisation provides a detailed procedure and conditions on the approval and issuance of exemptions or short-term certificates and equivalents, the requirements for reporting on this matter and describes the interpretation on the wording “substantially not in accordance with”.

2 Items to be considered substantially not in accordance with its certificates

In Annex I of this document the Netherlands Shipping Inspectorate (NSI) stipulates an illustrative list (non-exhaustive⁽¹⁾) of items to be considered as substantially not in accordance with its certificates. This list indicates items to be reported to NSI and dealt with before the ship is allowed to proceed to sea.

 

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[¹] List is based on IMO Resolution A.1119(30). The list is illustrative and for a complete overview reference is made to the latest amendments and related international instruments.

 

3 Dealing with deviations

The way the deviation of its statutory requirements is dealt with has two possible solutions and is described in paragraphs 3.1 and 3.2. In both cases the procedure as indicated in paragraph 4 of this document shall be followed.

 

3.1   Deviation where the issuance of an exemptions is mandatory

Several International Conventions require mandatory issuance of exemption certificates for certain provisions. 

SOLAS 1974

IMO Circular SLS.14/Circ.115, as amended (Annex II) provides a list of the provisions of the 1974 SOLAS Convention, as amended thereto, where an exemption certificate should be issued if the Administration grants an exemption. 

MARPOL 73/78

• MARPOL, Annex I – Regulation 3  Impractibility due to constructional features
• MARPOL, Annex II – Regulation 4.3 Relaxation due to certain cargoes or trade
• MARPOL, Annex II – Regulation 4.4.5 Relaxation ballasting and tank washing

Load Line 1966

• Load Line, Article 6(3.1)   Voyage between near neighbouring ports
• Load Line, Article 6(3.2)   Features of a novel kind

HSC Code

•  HSC Code, Paragraph 14.3.3  Exemptions individual craft

COLREG 1972

• Colreg, Rule 38    Lights and sound signal appliances

For all abovementioned provisions an exemption certificate shall be issued and it is not possible to issue a short-term certificate. For these type of exemptions NSI has the obligation to report these to the IMO. Although a registration number might be provided in GISIS it is not necessary for the RO to reissue the certificate (and may be registered 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, NSI will (according to the information and the procedure under paragraph 4) review the founded proposal preferably in a format specified by the IMO. If approved, NSI will, according to the procedure as mentioned in SOLAS, Chapter I – regulation 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 should 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 4.5 of the Agreement, a major non-conformity (ISM) or a major non-conformity/major failure as referenced in IACS PR24 (ISPS) should be reported to NSI immediately. 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 mentioned under 3.1, may be documented by an exemption, short-term certificate, conditional certificate or by an outstanding recommendation/condition/statutory deficiency issued (up to the Recognised Organisation). 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, the exemption may be incorporated in the related certificate cross-referencing the related article. 

 

3.3.3 Class items

As indicated in article 2.6 of Annex II to the Agreement, the RO shall inform the Administration 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). 

4 Procedure to be followed

If the ship does not comply with the Netherlands’ applicable rules and regulations, the RO shall:

A) For conditions found substantially not in accordance with its certificates or other need for an exemption, equivalent arrangement or similar course of action:

1. Require the ship owner (or ship yard with new building) to submit a well-founded proposal to the RO for consideration;
2. Process the request and make any necessary plan approvals etc. before forwarding its well founded recommendation including all relevant documentation calculations etc. and suggested conditions to the Administration;
3. 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 NSI via the Netherlands branch office of the RO making use of the form² contained in Annex III³;
4. Act on NSI’s instruction; and
5. For exemptions to be reported to the IMO or EU, the RO is kindly requested to forward the definite exemption certificate or other relevant document issued to the ship (incl. a copy of the formal agreement by NSI) to [e-mail].

For reporting the class items, mentioned under 3.3.3, the form contained in Annex III should also be used, limited to the relevant information.

B) For deviations found  substantially in accordance with its certificates:

1. Verify that the minor deficiency (such deviations do not need to be reported to NSI) is corrected within a suitable time period specified by the RO.

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² if the RO has a standard form for reporting deviations already in place, that form may be used for reporting under the condition that it includes the minimum information as requested in the form in Annex III.

³ issue an exemption or short-term certificate without prior consultation of the Netherlands Shipping Inspectorate in those cases where the deviation is found outside of NSI’s office hours, but inform the Netherlands Shipping Inspectorate of the action taken providing the information contained in Annex III.

Annex I – List of items to be considered as substantially not in accordance with its certificates

1.1            General
The lack of valid certificates and documents as required by the relevant instruments.

1.2            Areas under SOLAS

1. Failure of proper operation of propulsion and other essential machinery, as well as electrical installations;
2. Insufficient cleanliness of engine room, excess amount of oily-water mixtures in bilges, insulation of piping including exhaust pipes in engine room contaminated by oil, improper operation of bilge pumping arrangements;
3. Failure of the proper operation of emergency generator, lighting, batteries and switches;
4. Failure of the proper operation of the main and auxiliary steering gear;
5. Absence, insufficient capacity or serious deterioration of personal lifesaving appliances, survival craft and launching and recovery arrangements (see also MSC.1/Circ.1490/Rev.1);
6. Absence, non-compliance or substantial deterioration to the extent that it cannot comply with its intended use of fire detection system, fire alarms, firefighting equipment, fixed fire extinguishing installation, ventilation valves, fire dampers, quick closing devices;
7. Absence, substantial deterioration or failure of proper operation of the cargo deck area fire protection on tankers;
8. Absence, non-compliance or serious deterioration of lights, shapes or sound signals;
9. Absence or failure of the proper operation of the radio equipment for distress and safety communication;
10. Absence or failure of the proper operation of navigation equipment, taking the relevant provisions of SOLAS regulation V/16.2 into account;
11. Absence of corrected navigational charts, and/or all other relevant nautical publications necessary for the intended voyage, taking into account that type-approved electronic chart display and information system (ECDIS) operating on official data may be used as a substitute for the charts;
12. Absence of non-sparking exhaust ventilation for cargo pump rooms;
13. Serious deficiencies in the operational requirements;
14. Number, composition or certification of crew not corresponding with the safe manning document (reference is made to Instruction to RO no.11 – Manning).
15. Non-implementation or failure to carry out the enhanced survey programme in accordance with SOLAS regulation XI-1/2 and the International Code on the Enhanced Programme of Inspections during Surveys of Bulk Carriers and Oil Tankers, 2011 (2011 ESP Code), as amended.
16. Absence or failure of a voyage data recorder (VDR), when its use is compulsory.

 

1.3             Areas under the IBC Code

1. Transport of a substance not mentioned in the Certificate of Fitness or missing cargo information;
2. Missing or damaged high-pressure safety devices;
3. Electrical installations not intrinsically safe or corresponding to code requirements;
4. Sources of ignition in hazardous locations;
5. Contraventions of special requirements;
6. Exceeding of maximum allowable cargo quantity per tank;
7. Insufficient heat protection for sensitive products.
8. Pressure alarms for cargo tanks not operable.
9. Transport of substances to be inhibited without valid inhibitor certificate.
10. Absence of approved Loading instrument performing stability calculation 

 

1.4            Areas under the IGC Code

1. Transport of a substance not mentioned in the Certificate of Fitness or missing cargo information;
2. Missing closing devices for accommodations or service spaces;
3. Bulkhead not gastight;
4. Defective air locks;
5. Missing or defective quick closing valves;
6. Missing or defective safety valves;
7. Electrical installations not intrinsically safe or not corresponding to code requirements;
8. Ventilators in cargo area not operable;
9. Pressure alarms for cargo tanks not operable;
10. Gas detection plant and/or toxic gas detection plant defective;
11. Transport of substances to be inhibited without valid inhibitor certificate.
12. Absence of approved Loading instrument performing stability calculation

1.5           Areas under Load Line Convention

1. Significant areas of damage or corrosion, or pitting of plating and associated stiffening in decks and hull effecting seaworthiness or strength to take local loads, unless properly authorized temporary repairs for a voyage to a port for permanent repairs have been carried out;
2. A recognized case of insufficient stability;
3. Absence of sufficient and reliable information, in an approved form, which by rapid and simple means enables the master to arrange for the loading and ballasting of his ship in such a way that a safe margin of stability is maintained at all stages and at varying conditions of the voyage, and that the creation of any unacceptable stresses in the ship's structure are avoided;
4. Absence, substantial deterioration or defective closing devices, hatch closing arrangements and watertight/weathertight doors;
5. Overloading;
6. Absence of or impossibility to read draught mark and/or Load Line marks.

 

1.6           Areas under MARPOL 73/78, Annex I

1. Absence, serious deterioration or failure of proper operation of the oily-water filtering equipment, the oil discharge monitoring and control system or the 15 ppm alarm arrangements;
2. Remaining capacity of slop and/or sludge tank insufficient for the intended voyage;
3. Oil record book not available;
4. Unauthorized discharge bypass fitted;
5. Failure to meet the requirements of regulation 20.4 or alternative requirements specified in regulation 20.7.

 

1.7.          Areas under MARPOL 73/78, Annex II

1. Absence of P&A Manual;
2. Cargo is not categorized;
3. No cargo record book available;
4. Transport of oil-like substances without satisfying the requirements;
5. Unauthorized discharge by-pass fitted.

 

1.8            Areas under Annex III to MARPOL

1. Absence of a valid Document of Compliance for carriage of dangerous goods (if required);
2. Absence of a Dangerous Cargo manifest or detailed stowage plan before departure of the ship;
3. Stowage and segregation provisions of the IMDG Code Chapter 7.1 and 7.2 are not met;
4. Ship is carrying dangerous goods not in compliance with the Document of Compliance for carriage of dangerous goods of the ship;
5. Ship is carrying damaged or leaking dangerous goods packages;
6. Ship’s personnel assigned to specific duties related to the cargo are not familiar with those duties, any dangers posed by the cargo and with the measures to be taken in such a context.

 

1.9           Areas under MARPOL 73/78, Annex IV

1. Absence of a Sewage treatment system;
2. Not functioning Sewage comminuting and disinfecting system;
3. Absence of a Sewage discharge connection.
4. Absence of valid ISPP Certificate.
5. Sewage treatment plant not approved and certified by the Administration.
6. Ship’s personnel not familiar with disposal/discharge requirements of sewage.

 

1.10         Areas under MARPOL 73/78, Annex V

1. Absence of the garbage management plan;
2. No garbage record book available;
3. Ship’s personnel not familiar with disposal/discharge requirements of garbage management plan.

 

1.11         Areas under MARPOL 73/78, Annex VI

1. Absence of valid IAPP Certificate, EIAPP Certificates or Technical Files*;
2. A marine diesel engine, with a power output of more than 130 kW, which is installed on board a ship constructed on or after 1 January 2000, or a marine diesel engine having undergone a major conversion on or after 1 January 2000, which does not comply with the NOX Technical Code 2008.
3. The sulphur content of any fuel oil used on board ships exceeds the following limits:                                                                                        

           .1) 3.5% m/m on and after 1 January 2012; and

           .2) 0.5% m/m on and after 1 January 2020

4. The sulphur content of any fuel used on board exceeds 0.1% m/m on and after 1 January 2015 while operating within a SOX emission control area, and respectively, as per the provisions of regulation 14.
5. An incinerator installed on board the ship on or after 1 January 2000 does not comply with requirements contained in appendix IV to the Annex, or the standard specifications for shipboard incinerators developed by the Organization (resolution MEPC.244(66)).
6. Ship's personnel are not familiar with essential procedures regarding the operation of air pollution prevention equipment.
7. Absence of valid IEEC (International Energy Efficiency Certificate).
8. Absence of Ship Energy Efficiency Management Plan (SEEMP) specific for the ship (this may form part of the ship's Safety Management System (SMS)).

 

1.12        Areas under the STCW Convention

1. Failure of seafarers to hold appropriate certificates to have a valid dispensation or to provide documentary proof that an application for an endorsement has been submitted to the Administration.
2. Failure to comply with the applicable safe manning requirements of the Administration.
3. Failure of navigational or engineering watch arrangements to conform to the requirements specified for the ship by the Administration.
4. Absence in a watch of a person qualified to operate equipment essential to safe navigation, safety radiocommunications or the prevention of marine pollution.
5. Inability to provide for the first watch at the commencement of a voyage and for subsequent relieving watches persons who are sufficiently rested and otherwise fit for duty.
6. Failure to provide proof of professional proficiency for the duties assigned to seafarers for the safety of the ship and the prevention of pollution.

 

1.13         Areas which may not warrant a detention, but where, e.g. cargo operations have to be suspended

Failure of the proper operation (or maintenance) of inert gas system, cargo-related gear or machinery are considered sufficient grounds for stopping cargo operation.

 

Annex II – SLS.14/Circ.115, as amended

 

SLS.14/Circ.115, as amended

INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974

Issue of Exemption Certificates under the 1974 SOLAS

Convention and Amendments thereto

1. At its sixty-second session (24 to 28 May 1993), the Maritime Safety Committee considered Circular SLS. 14/Circ.54 on the Issue of Exemption Certificates under the 1974 SOLAS Convention, as amended, noting that, under the provisions of regulation I/12(a)(vi) thereof, the Administration is required to issue an Exemption Certificate when an exemption is granted to a ship under, and in accordance with, the provisions of that Convention. 
2. The Committee also noted that in various SOLAS regulations  the  words  "exemptions",  "relaxations", "dispensations" and "waivers" are used with apparently no intended difference in their  meaning. 
3. Having considered the matter, the Committee agreed that an Exemption Certificate should be  issued when: 
   1. the conditions under which an exemption (relaxation, etc.) can be granted are of a  general nature and open to interpretations;
   2. there are no clear alternative conditions under which an exemption (relaxation etc.) can be granted;
   3. the  information  concerning  the  exemption  is  not  contained  in  other  available  documents such as special trade passenger ship certificates, stability information,  document of authorization for the carriage of grain, etc.;
   4. the  information  concerning  an  exemption  is  necessary  for  the  application  of  the Convention by the Administration or the port State authorities when the ship is in  service. 
4. Annexed to this circular is a list of the regulations contained in the 1974 SOLAS Convention and its Amendments, where an Exemption Certificate should be issued when the Administration grants dispensations, relaxations, waivers or exemptions. 
5. Exemption certificates should indicate the conditions on which exemption is granted.  
6. It  should  be  noted  that  particulars  on  exemptions  granted  under  regulation  I/4(b),  regulation II-1/25-1.3  (1990  May  amendments)  and   regulation IV/3 (1988 GMDSS amendments) should be communicated to the Organisation by the Administration concerned. In other cases, particulars on exemptions granted are not required to be communicated to the Organisation. 
7. When an Exemption Certificate  is  issued,  port  State  authorities  should  interpret  this  as meaning that the ship complies with the provisions of the Convention. 
8. Port State authorities are requested to check, whenever possible, with the Administration of the flag State should there be any doubt whether an exemption has been granted. 
9. This circular supersedes SLS.14/Circ.54.
10. The Committee invites all SOLAS Contracting Governments to take note and adopt the procedure as prescribed above.  

‎ ANNEX

List of Provisions of the 1974 Solas Convention and amendments thereto where an exemption certificate should be issued if

the Administration grants an exemption etc.

 

Chapter I (1974 SOLAS Convention)

Regulation              Subject

4 (a)                         Ship on single international voyage

4 (b)                         Ship which embodies features of a novel kind

 

Chapter II-1 (1974 SOLAS Convention/Amendments)

Regulation                    Subject

1(c)/1.4(81)                     Sheltered nature and conditions of voyage

-/11.9(89)                        Stern tubes

-/12-1.4(89)                     Double bottoms in cargo ships other than tankers

-/20-1.3 (88 October)      Closure of cargo loading doors

-/25-1.3(90 May)             Subdivision and damage stability of cargo ships

-/25-9.1(90 May)             Openings in watertight bulkheads and internal decks in cargo ships

-/25-10.4(90 May)           External openings in cargo ships

-/53.2.1(81)                     Stand-by generator (dispensation)

 

Chapter II-2 (1974 SOLAS Convention/Amendments)

Regulation                                                Subject

1(e)/1.4.1(81)/1.4.1 (00 Nov)                     Sheltered nature and conditions of voyage

-/4.3.4.3(81)/10.2.1.2.2.2 (00 Nov)            Remote starting of fire pumps

48(a)(i)/28.1.1(81)/13.3.2.1.1 (00 Nov)      One means of escape (dispensation)

32(a)(iii)/40.2(81)/40.2(89)/7.6 (00 Nov)    Fire detection or alarm system on short voyages

-/45.1.3(81)/13.3.3.6 (00 Nov)                   One means of escape (dispensation)

-/53.1.3(96)/10.7.1.4 (00 Nov)                   Fire protection arrangements in cargo spaces

-/60.4.2(81)/-                                              Inert gas systems, tankers less than 40,000 dwt

 

Chapter III (1974 SOLAS Convention/Amendments)

Regulation                                                                 Subject

3(a)/2.1(83)/2.1 (96 May)                                           Sheltered nature and conditions of the voyage

11(b)/41.8.32(83)/LSA Code, paragraph 4.4.8.32     Equipment of lifeboats

-/21.4.2.2(83)/22.4.1.2 (96 May)                                Thermal protective aids

-/27.3.2.3(83)/32.3.2.3 (96 May)/ 32.3.2 (04 May)     Immersion suits

-/27.3.3.3(83)/32.3.3.3 (96 May)/32.3.2 (04 May)      Immersion suits

35(a)(i)/-                                                                     Liferafts for cargo ships on limited voyages

-/7.3 (96 May)                                                            Protective clothing for rescue boat crews and MES parties

 

Chapter IV (1974 SOLAS Convention/Amendments)

Regulation               Subject

-/3.2.1 and 3.2.2       Partial or conditional exemption from the requirements for radio equipment (regulations 7 to 11) and, in exceptional circumstances, an exemption for a single voyage outside the sea area or sea areas for which the ship is equipped

-/14.2(88 GMDSS)    Equipment fitted prior to February 1992

 

Chapter V (1974 SOLAS Convention/Amendments)

Regulation                                            Subject

12(b)/12(p)(81)/12(p)(88 GMDSS)        Radiodirection-finding apparatus for ships of less than 5,000 gross tonnage (81)/Radio direction-finding apparatus (88 GMDSS)

-/12(j)(iii)(81)                                         Automatic radar plotting aid

-/12(u)(81)                                             Regulation 12, partial or conditional, depending on voyage

 

Annex III – Report concerning non compliance

The form can be found under the Appendix ('Bijlagen') to this Instruction.

• Informatietype: Informatie voor uitvoering
• Documentsoort: Werkinstructie
• Toegangsrechten: Intern
• Identificatie: PUC_1195_14
• Versie: 4
• Datum beschikbaarheid: 04-02-2021
• Geldigheid van: 01-03-2021
• tot en met: 31-07-2023
• Wijzigingsdatum: 31-07-2023
• Titel: ItoRO no. 15 - Reporting and procedure for non-compliance
• Organisatie: Inspectie Leefomgeving en Transport
• Taal: Engels
• Werkinstructie: 15
• Onderwerp: Erkende organisaties / Recognised Organisations; Veiligheid / Safety; Milieu / Environment; Beveiliging / Security; Arbeidsomstandigheden / Labour conditions
• Hoofdtaak: Koopvaardij / Merchant Shipping
• Thema: Zeevaart / Seagoing ships / Instructions to ROs / National Instruments (Instructions) / National Instructions