27 Procedures, Certification, Examination, Maintenance and Reporting of Accidents.

 27.1 Introduction

27.1.1 An example of the format of the Workboat and Pilot Boat Certificates is provided in Appendix 15.

27.1.2 For the purposes of this section:

• SWB1 - means the form for an Application for Examination of a vessel.

• SWB2 - means the report form for a Compliance Examination and Declaration.

27.1.3 Definitions of different types of examination and authorised person can be found in section 2.

27.1.4 The Certifying Authority should decide the extent of the examination based on the type, age and history of the vessel and may give credit for any recent and detailed competent examination of a vessel for which a report is available.

27.2 Requirements and Procedures for Workboats to be Examined and Certificated

27.2.1 The owner/managing agent of a vessel, to be operated under the Code, should;

• .1 choose a Certifying Authority and contact them to obtain a copy of their Application for Examination form, SWB1;

• .2 complete form SWB1and return it to the Certifying Authority; and

• .3 arrange with the Certifying Authority for the vessel to be examined by an authorised person and documented on the report form for a Compliance Examination and Declaration report form, SWB2, as being in compliance with the Code.

27.2.2 Prior to entering into service, the owner/managing agent should be in receipt of a Certificate for the vessel. The Certificate should be in force and displayed in a conspicuous place on board. Where it is not possible to display the Certificate, due to the nature of the vessel (such as open boats), it should be available on board for inspection by a relevant authority and by users of the vessel.

27.2.3 A signed and authenticated copy of the SWB2 form is to be retained on board the vessel. Where it is not reasonable to keep form SWB2 aboard, it may be retained on shore, but must be made available if requested by a relevant authority.

27.3 Compliance Examination and Issue of a Certificate under the Code

27.3.1 The authorised person, as directed by the Certifying Authority, should undertake a compliance examination of the vessel.

27.3.2 The Certifying Authority must be satisfied that the vessel has been designed and built to the appropriate standard as detailed in section 4.

27.3.3 For vessels considered on the basis of safe history of vessel or of design, the Certifying Authority must be satisfied that the requirements of section 4.2.2.6 are fulfilled with regard to confirmation of that safe history and supported by an appropriate structural survey and technical specification.

27.3.4 The arrangements, fittings and equipment provided on the vessel are to be documented on the Compliance Examination and Declaration report form SWB2. Upon satisfactory completion and documentation of the compliance examination, and the required declarations, a copy of the signed report form SWB2 should be forwarded to the Certifying Authority.

27.3.5 Where a vessel is required to have approved stability information, the owner/managing agent must be in possession of an approved Stability Information Booklet before the Certificate is issued.

27.3.6 For all other vessels, the owner/managing agent should provide the Certifying Authority with information necessary to confirm that the stability of the vessel meets the standard required by the Code for the permitted area of operation and/or intended use of the vessel.

27.3.7 Upon satisfactory review of the documented arrangements, hull structure, fittings and equipment provided in compliance with the Code, also the required declarations in the completed report form SWB2 and approval as appropriate of either the Stability Information Booklet or required stability information and fee payments, the Certifying Authority will issue the Certificate.

27.3.8 A Certificate should be valid for not more than five years from the date of examination of the vessel out of the water by the authorised person. For a newly constructed vessel, built under full construction survey for the purposes of this Code, the Certificate may begin from the final in-water compliance examination. The Certificate may be valid for a lesser period of time as determined by the Certifying Authority.

27.3.9 In addition to the Certificate, the Certifying Authority will issue annually an identification disc to be prominently displayed and visible from outside the vessel. This will act as a ready indication to vessel users and any inspectors that the named vessel has been examined and issued with a Certificate valid for the period of time stated on the disc.

27.4 Renewal Examinations

27.4.1 The owner/managing agent should arrange for a renewal examination to be carried out by an authorised person from the chosen Certifying Authority prior to the expiry of the existing certificate. At this examination the vessel should be examined out of the water. Upon satisfactory completion and verification that the arrangements, fittings and equipment documented in the Compliance Examination and Declaration report form SWB2 remain in compliance with the Code and that the vessel and its machinery are in a sound and well maintained condition, the Certificate in force may be endorsed to indicate a 3 month extension. A copy of the report recommending the renewal of the Certificate should be sent to the Certifying Authority.

27.4.2 The Certifying Authority should renew the vessel’s Certificate if it is satisfied that the arrangements, fittings, and equipment documented in the report form SWB2 are in compliance with the Code. The Certificate should be valid for not more than five years from the expiry of the existing Certificate, so long as the renewal examination was completed within three months prior to the expiry of the existing Certificate. If the renewal examination is conducted more than three months prior to the expiry of the existing Certificate, the Certificate should be valid for not more than five years from the completion date of the renewal examination.

27.4.3 Where a renewal examination is completed beyond the expiry of the existing certificate, the new Certificate should be valid for not more than five years from the expiry of the existing certificate, unless it has been agreed in advance with the Certifying Authority that the new Certificate may be dated from the date of completion of the renewal examination.

27.4.4 The Certifying Authority should issue a new SWB2 for the vessel following a renewal examination.

27.5 Intermediate Examinations

27.5.1.1 An examination equivalent to the annual examination, detailed in section 27.6.1.1, with the vessel to be additionally examined out of water, must be carried out on behalf of the Certifying Authority by an authorised person at least once during the life of the certificate, in order that the interval between successive out of water examinations by an authorised person does not exceed three years. The owner/managing agent must arrange with the Certifying Authority for this examination to be carried out.

27.5.1.2 On satisfactory completion of the examination, the authorised person must enter a record of the examination on the report form SWB2 and report the results of the examination to the Certifying Authority.

27.5.1.3 When a vessel cannot be presented for the intermediate examination out of water by the due date, a divers/in-water examination may be accepted in lieu at the discretion of the Certifying Authority. See MGN 546 (M)^footnote (as amended) for guidance including Appendix B which addresses preparations in anticipation of an in-water examination. Special consideration must be given before in-water examination can be considered for vessels which are more than 15 years of age. A submission to the Certifying Authority should be made for consideration if fully justified and supported by the Authorised Persons’ reports concerning the condition of the hull.

ROV (Remotely Operated Vehicle) survey with CCTV/Video link to surface may also be considered in whole or part provided the required scope of survey can be achieved.

Such survey should be carried out by a diving company maintaining a valid certificate for such specific activities issued by a Classification Society which is a United Kingdom Recognised Organisation. See MSN 1672(M+F)^footnote, as amended.

Diving operatives should also be so certified.

The Authorised Person overseeing, and attending, this survey should have appropriate experience, or have received specific training in conducting such surveys to recognised Classification Society standards and scope.

The dive company will present findings during or on completion of the survey followed by a written report of findings, to the satisfaction of the Authorised person.

On the basis of the findings of this survey, the limit date for the out of water examination to follow will meet that procedure described in MGN 546(M), as amended, and be confirmed to the Owner/Managing Agent by the Certifying Authority.

27.6 Annual Examination of a Workboat

27.6.1 Annual Examination by an Authorised Person

27.6.1.1 The owner/managing agent should arrange for an annual examination of a workboat to be carried out by an authorised person, on behalf of the Certifying Authority, within 3 months either side of the anniversary date of the compliance/renewal examination, at intervals not exceeding 15 months. On satisfactory completion of the annual examination, the authorised person should enter a record of the examination on the Compliance Examination and Declaration report form SWB2 and report the results of the examination to the Certifying Authority.

27.6.2 Annual Examination of a Pilot Boat by the Owner/Managing Agent

27.6.2.1 The owner/managing agent must carry out, or arrange for, an annual examination of a vessel within 3 months either side of the anniversary date of the compliance/renewal examination, at intervals not exceeding 15 months, to confirm that the arrangements, fittings and equipment provided on board are in a satisfactory condition and remain as documented in the report form SWB2. Also that the vessel, its machinery, fittings and equipment are in a sound and well maintained condition, and where necessary serviced at the required period.

27.6.2.2 In the case of a vessel issued with a Pilot Boat Certificate, and under certain circumstances a vessel issued with a Workboat Certificate with Pilot Boat Endorsement, the hull and associated fittings are, additionally, to be examined out of the water.

27.6.2.3. The owner/managing agent is to enter a record of a successful examination on the form SWB2 and report the results of the examination to the Certifying Authority.

27.6.2.4 The owner/managing agent should not complete details on the report form SWB2 if the examination reveals that either the vessel, its machinery, fittings or equipment are not sound or they do not comply with those documented in the Compliance Examination and Declaration report form SWB2 or have not been serviced at the required period. The reasons for the owner/managing agent not being allowed to enter details of the examination on the report form SWB2 should be reported immediately to the Certifying Authority for action as necessary. Also, see section 27.11.2.

27.7 Examination Regime.

27.7.1 Table 27.1 provides details of the minimum examination regime applicable to all vessels. For vessels satisfying more than one of the service types, the most onerous examination regime will apply.

27.7.2 Where it is deemed necessary by the authorised person or Certifying Authority, the vessel may need to be examined more often than required by the examination regime Table 27.1. This may require additional examination out of the water at intervals of less than three years, paying special attention to the exterior hull condition, through-hull valves, and exterior steering and propulsion equipment.

27.7.3 For vessels issued with a Light Duty Workboat Certificate as described in section 25.10, annual examinations may be carried out by the owner/managing agent, with a report of findings submitted to the Certifying Authority in a form agreed by the Certifying Authority. At the discretion of the Certifying Authority the mid-term examination carried out by an authorised person may be carried out with the vessel in water.

Table 27.1

Examination Regime

Where: AP = Authorised Person

• AP + Intermediate Examination (IE) (OW) = Compliance/Renewal, Intermediate Out of Water Intermediate and Annual In-Water examinations are conducted by an authorised person.

• Self (OW) + Intermediate Examination (IE) (OW) = Compliance/Renewal and Out of Water Intermediate examinations are conducted by an authorised person. Annual Out of Water examinations are conducted by the owner/managing agent. Such self-surveys should only be undertaken where it is impracticable to undertake normal examination arrangements.

27.8 Additional Requirements for Inflatable and Rigid inflatable Boats

27.8.1 Inflatable and rigid inflatable boats should additionally be tested in accordance with the requirements in section 4.5.3.

27.9 Examination and Certification Requirements and Procedures for Pilot Boats

27.9.1 When a vessel is examined for the issue of a Pilot Boat Certificate or Workboat Certificate with Pilot Boat Endorsement the following requirements are applicable.

27.9.2 The competent harbour authority or the owner/managing agent should arrange for a dedicated pilot boat to be examined by an authorised person at intervals not exceeding 3 years.

27.9.3 An application for the examination of a pilot boat should be made by the competent harbour authority or the owner/managing agent of the boat to the Certifying Authority.

27.9.4 On receipt of the application, the Certifying Authority should arrange for an authorised person to examine the vessel in the manner prescribed in the Code and satisfy themselves that:

• .1 the form of construction, machinery installation and safety equipment is consistent with the standards specified in the Code; and

• .2 the vessel is in all respects satisfactory for the service for which it is intended, having regard to the period for which the Pilot Boat Certificate or Workboat Certificate with Pilot Boat Endorsement is to be issued.

27.9.5 Propeller shaft(s) (other than shaft(s) running in oil) should be drawn for examination at compliance examination and at intermediate survey examinations, at intervals not exceeding three years. A compliance survey carried out on a vessel more than three years old should also include an examination of the propeller shaft.

27.9.6 Propeller shafts running in oil should be withdrawn for examination at intervals not exceeding 10 years, provided that an intermediate examination shows that wear has been insignificant.

27.9.7 The authorised person should record all examinations on the record of particulars for a pilot boat or Compliance Examination Declaration report form (SWB2) for a workboat as appropriate.

27.9.8 When survey examination of repairs, replacements or modifications are undertaken, the authorised person should make records of them on the form of Compliance Examination and Declaration report form SWB2.

27.9.9 The authorised person, if satisfied from the examination that it is proper to do so, should forward to the Certifying Authority the completed forms containing such particulars of the vessel and its equipment as are required to enable the Certifying Authority to issue a Pilot Boat Certificate or make a Pilot Boat Endorsement on a Workboat Certificate, together with a certified copy or copies of certificates issued in respect of the vessel.

27.9.10 Pilot Boat Certificate and Pilot Boat Endorsement of a Workboat Certificate

27.9.10.1 A Pilot Boat Certificate for a dedicated pilot boat, unless the vessel, its machinery or safety equipment is found to be deficient, should have a period of validity not exceeding 5 years from the date of examination of the vessel out of the water by the authorised person. For a newly constructed vessel, built under full construction survey for the purposes of this Code, the Certificate may begin from the final in-water compliance examination. The Certificate may be valid for a lesser period of time as determined by the Certifying Authority.

27.9.10.2 The Pilot Boat Endorsement of a Workboat Certificate should have a period of validity not exceeding 5 years (see 27.3.8), unless the vessel, its machinery or safety equipment are found to be deficient.

27.9.10.3 The Pilot Boat Certificate or Workboat Certificate with Pilot Boat Endorsement should be displayed in a prominent position within the vessel, and a certified copy of the certificate should be retained by the competent harbour authority, and, where appropriate, by the owner/managing agent of the boat.

27.9.10.4 A Pilot Boat Certificate issued to a non-seagoing pilot boat should be issued with an Area Category 5 certificate, with a further limitation on the certificate of the port pilotage limits from where the pilot boat is based. These may be a more restricted area than categorised waters.

27.9.11 Intermediate Examination of a Dedicated Pilot Boat

27.9.11.1 The competent harbour authority or the owner/managing agent of a dedicated pilot boat should arrange for the boat to undergo an intermediate examination, which must be carried out on behalf of the Certifying Authority by an authorised person at least once during the life of the certificate, in order that the interval between successive examinations by an authorised person does not exceed 3 years. For details of the intermediate examinations for dedicated pilot boats, see section 27.7.3.

27.9.11.2 The authorised person should examine the boat in the manner prescribed in sections 27.6.2.1; 27.6.2.2; and 27.9.4 and be satisfied that;

• .1 such parts of the vessel, its machinery and equipment as are specified in the Code and are subject to the survey, remain in good working condition; and

• .2 no major alterations have been made to the vessel, its machinery or equipment, to which the Pilot Boat Certificate relates, without the approval of the Administration.

27.9.11.3 On completion of a satisfactory intermediate examination, the authorised person should endorse the Pilot Boat Certificate accordingly.

27.9.12 Annual Examination by the Owner/Managing Agent of a Dedicated Pilot Boat

27.9.12.1 In lieu of the examination required by 27.6.1, the owner/managing agent of a Pilot Boat must carry out, or arrange for, an annual examination of a vessel within 3 months either side of the anniversary date of the compliance/renewal examination, at intervals not exceeding 15 months, to confirm that the arrangements, fittings and equipment provided on board are in a satisfactory condition and remain as documented in the report form SWB2. Also that the vessel, its machinery, fittings and equipment are in a sound and well maintained condition, and where necessary serviced at the required period.

27.9.12.2 In the case of a vessel issued with a Pilot Boat Certificate, or a vessel issued with a Workboat Certificate with Pilot Boat Endorsement, when the Certifying Authority has concern with the hull and associated fittings of the vessel, may additionally, to be examined out of the water by the Certifying Authority.

27.9.12.3 The owner/managing agent is to enter a record of a successful examination on the form SWB2 and report the results of the examination to the Certifying Authority.

27.9.12.4 The owner/managing agent should not complete details on the report form SWB2 if the examination reveals that either the vessel, its machinery, fittings or equipment are not sound or they do not comply with those documented in the Compliance Examination and Declaration report form SWB2 or have not been serviced at the required period. The reasons for the owner/managing agent not being allowed to enter details of the examination on the report form SWB2 should be reported immediately to the Certifying Authority for action as necessary. Also, see section 27.11.2.

27.9.13 Procedure if a Pilot Boat, its Machinery or Safety Equipment is Deficient

27.9.13.1 When an authorised person determines that the condition of a pilot boat, its machinery or equipment does not correspond substantially with the requirements in the Code, or is such that the vessel is not fit for service, he should advise the competent harbour authority and, where appropriate, the owner/managing agent of the vessel of the corrective action which is required.

27.9.13.2 If a pilot boat is not fit for service, the authorised person should notify the Certifying Authority, and if any corrective action deemed to be required is not taken within a specified period, the Certifying Authority will suspend the validity of the Certificate for the pilot boat, and notify the competent harbour authority in writing. The authorised person should notify the Master of the vessel and, where appropriate, the owner/managing agent of the vessel.

27.9.13.3 The Master of the vessel and, where appropriate, the owner/managing agent of the vessel should deliver to the authorised person, respectively, the Certificate and certified copy of the Certificate. The competent harbour authority should deliver the certified copy of the certificate to the Certifying Authority.

27.9.13.4 When satisfied that corrective action has been taken, the Certifying Authority should restore the validity of the certificate.

27.9.14 Exemptions for Pilot Boats (see 25.6.1)

27.9.14.1 The MCA, acting on behalf of the Secretary of State, may exempt a pilot boat from all or any of the requirements of this Code as may be specified in the exemption on such terms (if any) as may be specified if the MCA is satisfied that compliance with such requirements is either impracticable or unreasonable in the case of that pilot boat and may, subject to giving reasonable notice, alter or cancel any such exemption.

27.10 Appeal Against the Findings of an Examination of a Workboat or Pilot Boat

27.10.1 If an owner/managing agent or competent harbour authority is dissatisfied with the findings of an examination and agreement cannot be reached with the authorised person who carried out the examination, the owner/managing agent or competent harbour authority may appeal to the Certifying Authority to review the findings. At this review, the owner/managing agent or competent harbour authority may call a representative or professional adviser to give opinions in support of the argument against the findings of the examination.

27.10.2 Should the above procedures fail to resolve the disagreement, the owner/managing agent or competent harbour authority may refer the disagreement the Administration.

27.11 Maintaining and Operating the Vessel

27.11.1 The vessel’s Certifying Authority may examine, and the Administration^footnote may inspect^footnote, a certificated vessel at any time.

27.11.2 It is the responsibility of the owner/managing agent to ensure that at all times a vessel is maintained and operated in accordance with the requirements of the Code, the arrangements as documented in the Compliance Examination and Declaration report form SWB2 and any conditions stated on the vessel’s certificate. Additionally, it is the responsibility of the owner/managing agent to ensure that the vessel is maintained in accordance with manufacturer’s recommendations or best engineering practice. If for any reason the vessel does not continue to comply with any of these requirements, the owner/managing agent should notify the Certifying Authority immediately. Also see section 27.13.3.

27.11.3 In cases where the vessel suffers major damage, for example as a result of a collision, grounding, fire or other event, the owner/managing agent must notify the Certifying Authority immediately, explaining the circumstances by which the vessel became damaged. The nature and extent of major repairs are subject to the approval of the Certifying Authority.

27.11.4 Minor damage, detrimental to the safety of the vessel, must also be reported to the Certifying Authority, together with the measures proposed to effect repairs. The Certifying Authority, who may take action as it may deem appropriate, which may include a full or partial examination of the vessel if considered necessary.

27.11.5 The owner/managing agent should notify and seek approval from the Certifying Authority prior to implementing any change or modification to the vessel or its equipment which is covered by the requirements of the Code.

27.12 Accident Reporting

27.12.1 In addition, the owner/managing agent has a statutory requirement to report accidents. The statutory requirements are given in the Merchant Shipping (Accident Reporting and Investigation) Regulations 2012 (SI 2012 No.1743), as amended. MGN 458 (M+F)^footnoteexplains the Regulations and the requirement to report accidents to the Department for Transport’s Marine Accident Investigation Branch (MAIB).

27.13 Other Conditions Applying to Certificates - Validity and Cancellation of Certificates

27.13.1 The validity of a certificate is dependent upon the vessel being maintained, equipped and operated in accordance with the documented arrangements contained in the Compliance Examination and Declaration report form SWB2. Proposals to change any of the arrangements should therefore be agreed in writing with the Certifying Authority before a change is implemented. Copies of the written agreement detailing changes(s) should be appended to the report form SWB2, which is to be retained on board the vessel.

27.13.2 The Certificate will cease to be valid if the intermediate or annual examination as appropriate, including examination of the vessel out of the water, are not completed within the periods specified in the Code. The validity of the certificate should be restored by carrying out the appropriate examination, which, in such circumstances, should consist of the requirements of the examination that was not carried out, but its thoroughness and stringency should have regard to the time this examination was allowed to lapse. Where an examination has been requested more than one month after the required specified period, authorised persons should refer to the Certifying Authority for advice on the enhanced level of examination required. Normally it would be expected that such an examination would be to the same extent as a renewal examination.

27.13.3 When the vessel is found not to have been maintained or equipped or operated in accordance with the arrangements documented in the Compliance Examination and Declaration report form SWB2, the Certifying Authority which issued the Certificate may suspend the Certificate until satisfactory rectification of deficiencies has taken place, or the Certifying Authority may cancel the Certificate.

27.13.4 If the MCA has reasonable grounds to believe that a vessel issued with a Certificate by a Certifying Authority no longer fulfils the requirements of this Code, they may require the Certifying Authority that issued the Certificate to suspend or cancel the Certificate.

27.13.5 When a vessel is sold, the certificate issued by the Certifying Authority on the basis of the compliance examination and owner’s declarations documented in the Compliance Examinations and Declaration report form SWB2 is cancelled automatically and the selling owner/managing agent should return the certificate to the Certifying Authority for formal cancellation and records., A new certificate may be issued to the new owner on receipt by the Certifying Authority of the appropriate application form completed by the new owner. The Certifying Authority should decide the extent of any examination, of the vessel which may be required before a new certificate is issued.

27.13.6 The Administration should be informed, by the Certifying Authority, when a certificate is issued, renewed, cancelled or modified. When a certificate is cancelled, the circumstances should also be reported, for action to be taken as deemed necessary.

27.13.7 The owner of a vessel may transfer to another Certifying Authority at any time. It is for the losing Certifying Authority to decide if it should refund any portion of the fees already paid. On transfer of a vessel, the losing Certifying Authority shall provide information to the gaining Certifying Authority of the status of declarations, examination examinations and inspections; particularly with regard to any areas where the vessel may be deficient or a dispute exists. The extent of any examination required upon transfer, when the vessel is between examinations, in the examination regime in Table 27.1 is to be decided by the gaining Certifying Authority. The unique number allocated by the first Certifying Authority is not to be changed.

27.13.8 Interim Certificates

27.13.8.1 An interim certificate may be issued by a Certifying Authority in order to permit a vessel to trade upon satisfactory completion of the survey in every respect, either for the period while the permanent/full term certificate is being prepared; or upon satisfactory completion of a survey in every respect with the exception of:

• .1 where the vessel is subject to section 11.3 and the lightship weight has been determined by calculation but is still to be finally determined or confirmed in the inclining experiment; and/or

• .2 the ship is required to have approved stability information in accordance with section 11.1.1.2 and the information has been submitted to the Certifying Authority, is on board and complete in all respects, but is still subject to the approval process.

27.13.8.2 The period of validity of any interim certificate may extend for up to five months from the date of issue, at which time or before; it may only be replaced by the full-term certificate, subject to all outstanding exceptions from the survey being completed to the satisfaction of the Certifying Authority. No additional or subsequent interim certificates may be issued until after the next renewal survey.

27.14 UK Vessels Operating Outside the UK

27.14.1 The Workboat Certificate, Pilot Boat Certificate or Workboat Certificate with a Pilot Boat Endorsement is a UK certificate.

27.14.2 Generally, international Conventions do not consider these small vessels and therefore other Maritime Administrations or Port State Authorities are under no obligation to accept UK certificates for vessels in their waters, although some Maritime Administrations or Port State Authorities may accept UK certificates as an equivalent standard to their own.

27.14.3 Guidance for owners/managing agents and Masters wishing to operate their vessels outside the UK has been produced as MGN 416 (M)^footnote.

27.15 Vessels Other than UK^footnote Vessels Operating in UK Waters.

27.15.1 This Code applies equally to vessels other than UK vessels operating from UK ports whilst in UK waters. When Certificates are issued to such vessels, it should be clearly stated on the Certificate “this Certificate is applicable within UK territorial waters only”.

27.16 Letters/Statements of Compliance for Non-UK vessels

27.16.1 This Code does not apply to non-UK vessels while they are not operating from UK ports or in UK waters. Such vessels should not be issued with a Certificate. If the owner/managing agent of such a vessel requires confirmation of compliance with the requirements of this Code they may be issued with a Letter/Statement of Compliance (see Appendix 15) that clearly states that it is not a trading Certificate for the purposes of this Code, and that has no reference to authorisation by the MCA, DfT or the UK.