Maritime Ship Certificates: Mandatory Vessel Documents

Maritime Ship Certificates

If a shipowner intends for their vessel to operate in international waters, they must demonstrate that the ship is fit for safe operation. The shipowner must obtain Statutory Ship Certificates, issued following the survey of various aspects of the vessel by organizations acting on behalf of, or with the approval of, the Flag State, a Classification Society, and other competent authorities.

Document Forms

Every vessel must carry various Statutory Ship Certificates issued in accordance with SOLAS (International Convention for the Safety of Life at Sea, 1974) regulations and in a common format approved by the IMO (International Maritime Organization). A signatory state to these conventions and codes must guarantee that ships flying its flag comply with the respective regulations.

Download FAL.2/Circ.131 MEPC.1/Circ.873 MSC.1/Circ.1586 LEG.2/Circ.3 LIST OF CERTIFICATES AND DOCUMENTS REQUIRED
TO BE CARRIED ON BOARD SHIPS

Port authorities mandate the inspection of certain certificates at every port the vessel calls. A ship’s statutory certificates vary depending on the type of vessel, but the principal ones include:

Certificate of Registry The Certificate of Registry is a statutory certificate required by local legislation and the United Nations Convention on the Law of the Sea (UNCLOS). Merchant vessels must be registered with a Flag State and carry a Certificate of Registry detailing and confirming this registration.

Maritime Safety Certificates (SOLAS)

Cargo Ship Safety Construction Certificate

The Safety Construction Certificate serves as evidence that the vessel was constructed in accordance with the provisions of the SOLAS Convention. There are two versions: one for cargo ships and one for passenger ships. Additional provisions apply to cargo ships regarding the number of watertight compartments that must be incorporated into the vessel’s design. The condition of the ship’s hull, machinery, and specific equipment must be surveyed annually to maintain the validity of the Safety Construction Certificate.

Cargo Ship Safety Equipment Certificate

The Safety Construction Certificate excludes the inspection of fire-fighting equipment, as fire-fighting appliances and their associated plans are the subject of the Safety Equipment Certificate. Furthermore, the Safety Equipment Certificate encompasses requirements for lifeboats, emergency radio installations in lifeboats, liferafts, lifejackets, distress flares, and line-throwing appliances. Navigational charts, nautical publications, Notices to Mariners, almanacs, first aid manuals, and the vessel’s capability to comply with navigational rules must all be in accordance with the Safety Equipment Certificate. Additionally, the certificate specifies the maximum number of persons permitted on board the vessel at sea. This number includes the crew as well as any supernumeraries, such as extra personnel, inspectors, or passengers. It must be strictly verified that the total number of persons on board does not exceed the maximum capacity specified in this document. If exceeded, but there is an urgent necessity to proceed to sea, the vessel may need to procure or lease supplementary safety equipment for the voyage and obtain a dispensation from the Flag State.

Cargo Ship Safety Radio Certificate

The Safety Radio Certificate covers all types of communication radio equipment. The requirements of the Safety Radio Certificate vary depending on the size of the vessel and the sea area in which the vessel operates. In 1999, the GMDSS (Global Maritime Distress and Safety System) was implemented. GMDSS replaced traditional emergency communication methods. Morse code, the SOS signal, and the dedicated Radio Officer became history. Every merchant vessel must now be equipped with modern emergency distress alerting and positioning appliances. Crew members must obtain GMDSS (GOC) certificates. If a vessel lacks sufficient crew members holding unrestricted GMDSS certificates, it may be detained and prohibited from sailing. For maritime safety purposes, all navigable waters are now divided into Sea Areas A1, A2, A3, and A4. Area A1 designates coastal waters, whereas A4 encompasses the most remote parts of the world, including polar regions. The communication equipment required on board varies by Sea Area. Port State Control (PSC) inspectors may prohibit a vessel from proceeding to sea if the intended voyage requires the ship to navigate through an area not specified in the Safety Radio Certificate. The Safety Radio Certificate is valid for one year. Furthermore, the vessel requires a Radio Licence issued by the Flag State. There is no universally fixed validity period for a Radio Licence.

Safety Management Certificate (SMC)

Following several highly publicized maritime disasters, the shipping community recognized that the root cause of many safety and pollution incidents was poor fleet management and overall ship management, rather than structural or design deficiencies. The IMO introduced a code to ensure management standards. In 1997, the IMO introduced the ISM Code (International Safety Management Code), which became mandatory for all vessels by July 2002. The ISM Code applies both ashore and on board. Any entity operating ships must establish a Quality Management System that ensures compliance with the numerous standards and requirements of SOLAS, MARPOL, and STCW.

Document of Compliance (DOC)

The Flag State is responsible for appointing or authorizing auditors to verify the ship operator’s safety management system. The Flag State issues the Document of Compliance (DOC) following a successful audit of the shore-based company. If the Safety Management System operates effectively, the vessel will be issued a Safety Management Certificate (SMC), which must be kept on board along with a copy of the Document of Compliance (DOC). The vessel audit must verify not only the proper maintenance of the ship but also that all officers and crew are fully aware of and capable of executing emergency procedures and their routine duties, with specific adherence to safety and pollution prevention protocols. Port State Control (PSC) authorities may detain any vessel that fails to comply with the ISM Code.

International Ship Security Certificate (ISSC)

The Ship Security Certificate is issued by or on behalf of the vessel’s Flag State. The certificate verifies that the ship’s security measures comply with the ISPS Code (International Ship and Port Facility Security Code). The ISPS Code is part of the SOLAS Convention and was implemented in response to security and terrorism concerns following the September 11 attacks in the USA. However, the ISPS Code also addresses two additional issues: piracy and stowaways. The ISPS Code operates on two levels: vessels of 500 gross tonnage and upwards, and port facilities. The government must appoint a Recognized Security Organization (RSO) to approve the security systems established in ports, on ships, and in the shore-based offices of shipping companies. In the UK, the Maritime and Coastguard Agency (MCA) is authorized to audit vessels. Flag States delegate the verification process to Classification Societies. To comply with the ISPS Code, ships and ports must conduct a Security Risk Assessment and develop a Security Plan. The RSO reviews the Security Plan, and following a successful verification and audit of the port or vessel, the RSO issues the Security Certificate. Port authorities may deny entry to a vessel lacking a valid Security Certificate. Read more about the ISPS Code in our article: ISPS Code.

Minimum Safe Manning Certificate

Unlike other certificates, the Minimum Safe Manning Certificate does not require an onboard inspection for issuance. Most Flag States establish statutory regulations regarding the number and qualifications of crew members. Port State Control (PSC) inspectors will examine the Safe Manning Certificate if they suspect the vessel is inadequately manned. Port immigration authorities frequently request the Safe Manning Certificate along with copies of the Crew List to verify that the number of crew members on board complies with the document.

International Load Line Certificate

The Load Line Certificate is issued in accordance with the provisions of the International Convention on Load Lines (ICLL) 1966. A vessel’s deadweight is determined by its load line. The maximum depth to which a vessel is permitted to be loaded is referred to as the draft. A vessel’s draft varies depending on the geographical region and the season (due to different water densities). When a vessel’s deadweight is mentioned without qualification, it typically refers to the Summer draft. The maximum draft and the vessel’s draft variations are calculated using the formulas established in the Load Line Convention. Read more about the Load Line Convention in our article: Load Lines.

International Tonnage Certificate

The International Convention on Tonnage Measurement of Ships, adopted in 1969 and entered into force in 1982, established a universal measurement system. Ships registered in or trading with signatory countries must carry a statutory International Tonnage Certificate stating the vessel’s Gross Tonnage (GT) and Net Tonnage (NT). A vessel’s Gross Tonnage is utilized to apply safety regulations, safe manning requirements, and registration fees. Both GT and NT are critical in calculating port dues; thus, the International Tonnage Certificate is essential for international trade.

Maritime Pollution Certificates (MARPOL)

The International Convention for the Prevention of Pollution from Ships, known as the MARPOL Convention, is one of the most vital international maritime treaties concerning environmental protection. This agreement, also referred to as MARPOL 73/78, was first introduced in 1973 and later modified in 1978. MARPOL stands for “Marine Pollution,” and the convention aims to minimize pollution resulting from the discharge of waste, oil, air emissions, and other harmful substances. The MARPOL Convention requires ships of signatory states to carry several statutory certificates, including the following:

International Oil Pollution Prevention Certificate (IOPP)

Marine oil pollution is caused not only by catastrophic oil spills resulting from maritime casualties but also by the routine discharge of cargo tank washings and water ballast from double-bottom tanks that previously contained bunkers. The International Oil Pollution Prevention (IOPP) Certificate verifies that the vessel is equipped with the requisite systems to separate oil from any water discharged overboard. The IOPP Certificate is valid for four years (up to five years according to standard MARPOL provisions). The IOPP Certificate requires the vessel to maintain a SOPEP (Shipboard Oil Pollution Emergency Plan) on board. The SOPEP is a comprehensive manual of instructions and procedures that the crew must follow in the event of any oil pollution incident.

International Pollution Prevention Certificate for the Carriage of Noxious Liquid Substances in Bulk (NLS Certificate)

This certificate covers all cargoes falling under MARPOL Annex II, which primarily applies to chemical tankers. This document, also known as the NLS Certificate, certifies that vessels carrying noxious liquid substances in bulk comply with the discharge standards for residues containing pollutants.

International Sewage Pollution Prevention Certificate (ISPP)

MARPOL Annex IV requires vessels to control marine pollution by sewage. This certificate specifies the vessel’s sewage holding tank and its capacity, or the vessel’s sewage treatment plant, depending on the equipment installed on board, and indicates the number of persons for which the sewage system is certified.

International Air Pollution Prevention Certificate (IAPP)

This certificate verifies compliance with MARPOL Annex VI requirements regarding air pollution, including emission limits for Volatile Organic Compounds (VOCs), Nitrogen Oxides (NOx), Sulphur Oxides (SOx), and other pollutants, as well as regulations concerning shipboard incinerators, fuel oil quality, and exhaust gas cleaning systems (EGCS).

International Energy Efficiency Certificate (IEEC)

Added to the MARPOL Convention in 2011, the IEEC certifies that the vessel complies with energy efficiency requirements. This certificate is ship-specific and subject to surveys and audits. MARPOL certificates are mandatory for vessels registered in one of the contracting states and for vessels intending to trade with MARPOL signatory countries. As of 2019, vessels from MARPOL contracting states accounted for over 99 percent of the world’s merchant tonnage.

International Anti-Fouling System Certificate (IAFS)

Another statutory certificate aimed at environmental protection is the International Anti-Fouling System Certificate. It is a requirement of the International Convention on the Control of Harmful Anti-Fouling Systems on Ships, adopted in 2001. This certificate verifies that the ship’s anti-fouling system does not contain harmful organotin compounds. It also confirms the presence of a sealer coat applied to prevent the leaching of organotin compounds from underlying anti-fouling paint on the ship’s hull or other external surfaces.

Ship Sanitation Certificate (SSC)

The Ship Sanitation Certificate (SSC) was introduced in 2007. The Ship Sanitation Certificate identifies and records all shipboard operations associated with health risks to the crew and passengers, as well as any necessary control measures to be implemented in the event of a public health hazard. The Ship Sanitation Certificate is valid for six months. The renewal process requires a rigorous inspection of the vessel. The Ship Sanitation Certificate may be renewed at any authorized port. Prior to 2007, the required health document was the De-ratting Exemption Certificate. The De-ratting Exemption Certificate was a universal public health control measure designed to mitigate the spread of rodent-borne diseases.

Light Dues Certificate

The Light Dues Certificate is not a safety certificate; rather, it is a receipt for a tax levied by maritime nations based on the vessel’s NT (Net Tonnage) to cover the maintenance costs of navigational aids, such as lighthouses, lightships, and buoys adjacent to the coast. Additionally, some maritime nations levy anchorage and fairway dues. The tax is paid upon the vessel’s first port call, thereby exempting the vessel from further light dues for a specified period as evidenced by the Light Dues Certificate.

Maritime Declaration of Health

In certain ports, the Master must complete and sign a Maritime Declaration of Health to be granted Free Pratique. Free Pratique signifies that the vessel is permitted to make contact with the shore. Frequently, the term Free Pratique is associated with tendering the Notice of Readiness (NOR) to commence laytime calculation. Today, modern merchant vessels communicate with the shore via radio, providing essential assurances to Port Health Authorities that no crew member on board is suffering from or exhibiting symptoms of a contagious disease, allowing Free Pratique to be granted via radio. Nevertheless, in some ports, the vessel is still required to hoist the yellow ‘Quebec’ signal flag and keep it flying until Port Health Authorities grant clearance. Therefore, a Maritime Declaration of Health is required to issue clearance in such ports.

Maritime Labour Certificate (MLC)

All commercial vessels engaged in international trade must hold an MLC Certificate issued under the auspices of the International Labour Organization (ILO) and IMO. By mandating this certificate, the ILO Convention addresses a comprehensive range of labor and social issues, including employment policies, wages, seafarers’ employment agreements, and labor relations. In 2006, the Maritime Labour Convention (MLC) established standards for working and living conditions on board ships, as well as minimum requirements for employment, medical care, etc. Upon passing the inspection, the vessel is issued a Maritime Labour Certificate, verifying its compliance with the convention’s standards. Flag States that have not yet ratified this convention may establish a voluntary compliance inspection program for their vessels until their legislature adopts and codifies the MLC.

Cargo Ship Certificates

Specific certificates are required depending on the vessel type and its specific trading operations. Some of these include:

Cargo Securing Manual (CSM)

The Cargo Securing Manual addresses the safe carriage of non-bulk dry cargoes. All cargo vessels must carry a Cargo Securing Manual detailing the approved methods for securing various types of cargo. The specific characteristics of each vessel must be considered, as the manual focuses on calculating the forces and loads exerted on cargo securing arrangements during adverse weather conditions.

Cargo Gear Certificate

The Cargo Gear Certificate is a requirement of the Flag State’s national regulations; however, it is also essential for complying with occupational health and safety legislation in ports. If the ship’s lifting appliances lack a valid certificate, or if a stevedore/inspector examines the ship’s cargo gear and determines it to be in an unsafe condition, the vessel will be prohibited from conducting cargo operations (loading or discharging) until the deficiencies are rectified.

Hazardous Cargo Certificate (Document of Compliance for the Carriage of Dangerous Goods)

The construction and equipment safety provisions of the SOLAS Convention are predicated on the assumption that the vessel carries only non-hazardous cargoes. However, most cargoes possess at least one hazardous property, and certain cargoes are highly dangerous. Vessels designed to transport dangerous goods are constructed to enhanced standards regarding both the materials used in construction and the equipment installed on board. Shipowners subsequently apply to a Classification Society for a certificate verifying the vessel’s suitability to carry dangerous goods. The Document of Compliance for the Carriage of Dangerous Goods may stipulate specific additional safety measures, such as stowing cargo exclusively on deck, and other directives pertaining to cargoes listed in the International Maritime Dangerous Goods (IMDG) Code.

Certificate of Fitness

A certificate issued by the Flag Administration confirming that the structure, equipment, fittings, arrangements, and materials used in the construction of a chemical tanker comply with the IMO IBC Code (International Code for the Construction and Equipment of Ships Carrying Dangerous Chemicals in Bulk). Such certification may be issued on behalf of the administration by approved Classification Societies. The International Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk is issued following an initial or renewal survey to a chemical tanker engaged in international voyages and complying with the relevant provisions of the Code.

List of Main Statutory Certificates and Documents

Cargo Record Book (MARPOL II / 15.2)
Oil Record Book (MARPOL I / 17 & 36)
International Oil Pollution Prevention Certificate (MARPOL I / 7)
Shipboard Oil Pollution Emergency Plan (SOPEP) (MARPOL I / 37)
Fuel Oil Changeover Procedures and Log Book (MARPOL VI / 14.6)
Crude Oil Washing Operation and Equipment Manual (COW Manual) (MARPOL I / 35)
Record of Oil Discharge Monitoring and Control System for the Last Ballast Voyage (MARPOL I / 31)
Oil Discharge Monitoring and Control (ODMC) Operational Manual (MARPOL I / 31)
Bunker Delivery Note and Representative Sample (MARPOL VI / 18.6 & 18.8.1)
Garbage Record Book (MARPOL V / 9)
Garbage Management Plan (MARPOL V / 9)
International Air Pollution Prevention Certificate (MARPOL VI / 6)
International Pollution Prevention Certificate for the Carriage of Noxious Liquid Substances in Bulk (NLS Certificate) (MARPOL II / 8)
International Sewage Pollution Prevention Certificate (MARPOL IV / 5)
Manufacturer’s Operating Manual for Incinerators (MARPOL VI / 16.7)
Subdivision and Stability Information (MARPOL I / 28)
VOC Management Plan (MARPOL VI / 15.6)
International Anti-Fouling System Certificate (AFS – Annex IV, reg 2.1)
Declaration on Anti-Fouling System (AFS – Annex IV, reg 5.1)
Procedures and Arrangements Manual (P&A Manual) (MARPOL II / 14)
Condition Assessment Scheme (CAS) Statement of Compliance, CAS Final Report, and Review Record (MARPOL I / 20 and I / 21)
Ozone-Depleting Substances Record Book (MARPOL VI / 12.6)
Technical File (NOx Technical Code 2.3.7)
Record Book on Engine Parameters (NOx Technical Code 2.3.7)
Shipboard Marine Pollution Emergency Plan for Noxious Liquid Substances (SMPEP) (MARPOL II / 17)