FACILITATION COMMITTEE FAL 32/15/?

32nd session
Agenda item 15 22 April 2005

FACILITATION ASPECTS OF OTHER IMO FORMS AND CERTIFICATES

The validation and examination of certificates and documents required to be
carried on board ships
Submitted by the International Chamber of Shipping (ICS)
Executive summary: The document suggests that the validation and examination of
many mandatory certificates and documents currently required to
be carried on board ships could be better achieved through online
access to databases of issuing administrations.
Action to be taken: Paragraph 15
Related documents: FAL.2/Circ.87-MEPC/Circ.426-MSC/Circ.1151, MSC/Circ. 1130

1. IMO document FAL.2/Circ.87 MEPC/Circ.426 MSC/Circ.1151 dated 17 December

2004 ("Revised List of Certificates and Documents Required to be Carried On Board Ships")
lists those documents and certificates required under IMO legal instruments.

2. The IMO document lists some 67 different certificates and documents required to be
carried on board ships. Some, such as certificates for masters, officers and ratings, must be
issued for each person on board.

3. However, not all 67 have to be on all ships (See Annex 1).

4. The certificates and documents are issued mainly by national maritime

administrations and/or those institutions, such as classification societies, authorised to act on
behalf of administrations. The issuing organisations will normally, in most countries, have
electronic records of the certificates that they have issued.

5. Recommended Practice 1.1.1 of the Annex to the FAL Convention reads as follows:

"Public authorities should take into account the facilitation implications which may
result from the introduction of automatic data-processing and -transmission
techniques, and should consider these in collaboration with shipowners and all other
interested parties.

Existing information requirements and control procedures should be simplified, and

attention should be given to the desirability of obtaining compatibility with other
relevant information systems."

6. The question therefore arises as to why original paper documents must be kept on
board the ship, when the information they contain, and their validity, could, to a large extent,
be obtained through online access to the databases of the issuing organisations.

7. We recognise that the above procedure cannot apply to all the documents listed.
Some of them contain operational information that must be at hand on board the ship.
Others are operational records that must be maintained and updated at all times.

8. We have tried to classify the listed documents into three categories (see Annex 1):
 A. Certificates and documents issued by a certifying authority which could
confirm that they have been issued to a ship. In principle these documents
might not have to be kept on board, since inspectors could verify their
existence by checking the database of the issuing authority prior to the arrival
of the ship.

B. Documents and manuals that are necessary for the operation of the ship.
Some of these are issued by authorities and the authority could confirm their
issue. However, they must be kept on board.

C. Documents recording various aspects of ship operation. These must be kept

on board.

9. Our own classification is preliminary, and must be thoroughly revised by operational

experts. However, we would tentatively place about 34 of the 67 documents in Category A.

10. A system whereby port control inspectors could check ships' certificates and
documents by entering a ship's name and/or IMO number in a designated database would
simplify substantially the control procedure and, by accessing only official databases, would
certainly enhance its accuracy. Such a system would also enhance security, since it is
easier to forge a paper document than it is to tamper with a distant database.

11. Furthermore, IMO Circular MSC/Circ.1130 (Guidance to Masters, Companies, Duly

Authorised Officers on the Requirements relating to the Submission of Security-Related
Information prior to the Entry of a Ship into Port) indicates that certain information should be
provided for security assessment purposes at least 24 hours before the arrival of the ship.

12. The availability, on line, of certification information would enable those concerned with
evaluating this advanced information to access the details and validity of many of the
relevant certificates before arrival. Administrations would, therefore, be able to assure
themselves of a ship's status vis-a-vis mandatory certification requirements. This would
improve the ability of administrations to assess the security risk posed by an individual ship.

13. Although the idea presented above is simple in principle, and the advantages clear,
its development and implementation, with a need for a common access to the databases of
those administrations and organisations that issue certificates and documents, requires
careful consideration. However, some countries are already aiming to implement systems
encompassing some elements of the idea. Amongst others, the MarNIS (Maritime
Navigation and Information Services) research project in the European Union is one
example. The various Conventions covering the documentation, and the requirement for its
presence on board, may also need to be examined and, perhaps, amended.

14. For international shipping it is of great importance that ships are not met by differing
requirements when calling at ports in different countries.

Action

15. The Committee is invited to consider how access to the information on certificates of
ships engaged on international voyages might be facilitated and simplified through the use of
modern communication technology.
 Annex 1
CERTIFICATES AND DOCUMENTS REQUIRED TO BE CARRIED ON BOARD SHIPS

Ship Type Document Name Document

Type1
All Ships 1. International Tonnage Certificate 1A

2. International Load Line Certificate 2A

3. International Load Line Exemption Certificate 3A

4. Intact Stability Booklet 1B

5. Damage Control Plans and Booklets 2B

6. Minimum Safe Manning Document 4A

7. Fire Safety Training Manual 3B

8. Fire Control Plan/Booklet 4B

9. On board Training and Drills Record 1C

10. Fire Safety Operational Booklet 5B

11. Certificates for Masters, Officers or Ratings 6B

12. International Oil Pollution Prevention Certificate 5A

13. Oil Record Book 2C

14. Shipboard Oil Pollution Emergency Plan 7B

15. International Sewage Pollution Prevention Certificate 6A

16. Garbage Management Plan 8B

17. Garbage Record Book 3C

18. Voyage Data Recorder System – Certificate of 7A

Compliance
19. Cargo Securing Manual 9B

20. Document of Compliance 8A

21. Safety Management Certificate 9A

22. International Ship Security Certificate (or Interim) 10A

23. Ship Security Plan and Associated Records 10B

24. Continuous Synopsis Record 4C

1
A. Certificates and documents issued by a certifying authority who could confirm that they have
been issued to a ship.
B. Documents and manuals that are necessary for the operation of the ship. Some of these are
issued by authorities and the authority could confirm their issue. However, they must be kept on
board.
C. Documents recording various aspects of ship operation. These must be kept on board.
 *
25. Noise Survey Report 5C

Passenger Ships 26. Passenger Ship Safety Certificate/Exemption 11A

Certificate
27. Special Trade Passenger Ship Safety Certificate 12A

28. Special Trade Passenger Ship Space Certificate 13A

29. Search and Rescue Co-operation Plan 11B

30. List of Operational Limitations 12B

31. Decision Support System for Masters 13B

Cargo Ships 32. Cargo Ship Safety Construction Certificate 14A

33. Cargo Ship Safety Equipment Certificate 15A

34. Cargo Ship Safety Radio Certificate 16A

35. Cargo Ship Safety Certificate 17A

36. Exemption Certificate 18A

37. Document of Authorisation for the Carriage of Grain 19A

38. Certificate of Insurance or Other Financial Security in 20A

respect of Civil Liabilities for Oil Pollution Damage
39. Enhanced Survey Report File 6C

40. Record of Oil Discharge Monitoring and Control 7C

System for the last Ballast Voyage
41. Cargo Information 8C

42. Bulk Carrier Booklet 14B

43. Dedicated Clean Ballast Tank Operation Manual 15B

44. Crude Oil Washing Operation and Equipment Manual 16B

45. Condition Assessment Scheme Statement of 17B

Compliance, CAS Final Report and Review Record
46. Hydrostatically Balanced Loading Operational 18B
Manual
47. Oil Discharge Monitoring and Control Operational 19B
Manual
48. Subdivision and Stability Information 20B

Ships Carrying Noxious 49. International Pollution Prevention Certificate for the 21A
Liquid Chemicals in Carriage of Noxious Liquid Substances in Bulk
Bulk 50. Cargo Record Book 9C

51. Procedures and Arrangements Manual 21B

52. Shipboard Marine Pollution Emergency Plan for 22B

Noxious Liquid Substances
Any Chemical Tanker 53. (International) Certificate of Fitness for the Carriage 22A
(where applicable) of Dangerous Chemicals in Bulk
Any Gas Carrier (where 54. (International) Certificate of Fitness for the Carriage 23A

*
Non-Mandatory
applicable) of Liquefied gases in Bulk
High Speed Craft 55. High Speed Craft Safety Certificate 24A

56. Permit to Operate High Speed Craft 25A

Ships Carrying 57. Document of Compliance with the Special 26A

Dangerous Goods Requirements for Ships Carrying Dangerous Goods
Ships Carrying 58. Dangerous Goods Stowage Plan 23B
Dangerous Goods in
Packaged Form
Ships Carrying INF 59. International Certificate of Fitness for the Carriage of 27A
Cargo INF Cargo
Nuclear Ships 60. Nuclear Cargo Ship Safety Certificate or Nuclear 28A
Passenger Ship Safety Certificate
*
Special Purpose Ships 61. Special Purpose Ship Safety Certificate 29A

Offshore Support 62. *Certificate of Fitness for Offshore Support Vessels 30A
Vessels
Diving Systems 63. *Diving System Safety Certificate 31A

Dynamically Supported 64. *Dynamically Supported Craft Construction and 32A

Craft Equipment Certificate
Mobile Offshore Drilling 65. *Mobile Offshore Drilling Unit Safety Certificate 33A
Units
Wing-in-Ground Craft 66. *Wing-in-Ground Craft Safety Certificate 34A

67. *Permit to Operate Wing-in-Ground Craft 24B

Provisional Summary

Document Type A 34
Document Type B 24
Document Type C 9
67

*
Non-Mandatory